Advisers on the Move

Never miss a move. The industry's only comprehensive database of financial advisers and brokers changing firms. View over a decade of recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Donald Raymond MonroeUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-30-2009
Richard Wayne NelsonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-30-2009
Benjamin Williamson SydnorUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-30-2009
Jeffrey Philip ZurekUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$101-30-2009
Kenneth Ray Koger Jr.Chase Investment Services Corp.Wells Fargo Clearing Services, LLC$1002-01-2009
Roy Addison Nutt Jr.Citigroup Global Markets Inc.Wells Fargo Clearing Services, LLC$2502-01-2009
George Russell McCurdy Jr.Citigroup Global Markets Inc.Wells Fargo Clearing Services, LLC$5002-01-2009
Timothy Thomas DoughertyMorgan Stanley & Co. IncorporatedWells Fargo Clearing Services, LLC02-01-2009
Alan Scott WinstonMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC02-01-2009
Drew Donald BarlowMorgan Stanley & Co. IncorporatedWells Fargo Clearing Services, LLC02-01-2009
Richard Lloyd GoldmanMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC$15002-01-2009
John R. Sant Amour Jr.Morgan Stanley & Co. IncorporatedWells Fargo Clearing Services, LLC$5002-01-2009
Paul Montgomery AterMorgan Stanley & Co. IncorporatedWells Fargo Clearing Services, LLC02-01-2009
Ivie Phillip Burns IIMorgan Stanley & Co. IncorporatedWells Fargo Clearing Services, LLC$5002-01-2009
Shawn Michael RichardsonMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC$10002-01-2009
James Gray AndersonMorgan Stanley & Co. IncorporatedWells Fargo Clearing Services, LLC02-01-2009
Brian J McKeonMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC$15002-01-2009
Robert Stanley ZaborowskiMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC02-01-2009
Kimberly Kay RuleBanc of America Investment Services, Inc.Wells Fargo Clearing Services, LLC$5002-02-2009
Joseph Julian ToranoHSBC Securities (USA) Inc.Wells Fargo Clearing Services, LLC02-02-2009
Frank Paul HellriegelPNC InvestmentsWells Fargo Clearing Services, LLC02-02-2009
Mark David WilliamsSA Stone Wealth Management Inc.Wells Fargo Clearing Services, LLC$20002-02-2009
Joel Wilson BowlbyD.A. Davidson & Co.Wells Fargo Clearing Services, LLC02-02-2009
John Forman McLeanEdward JonesWells Fargo Clearing Services, LLC$1002-02-2009
Jeffrey Robert BerryUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$1002-02-2009
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Disclaimer & Methodology: The InvestmentNews Advisers on the Move database is designed to capture all recruiting activity of retail financial advisers/teams of advisers as they move from one firm to another. The activity recorded within the database comes from a number of sources, including InvestmentNews and other media reports; press releases; direct submissions that have been reviewed by InvestmentNews; and regulatory filings. To qualify as a move, no more than 60 days can have elapsed between the date an adviser/team leaves one firm and the date they join another. Any adviser registration changes that came as a result of merger & acquisition activity are not recorded as moves in the database. Finally, please note that all AUM data is user-submitted and is not audited by InvestmentNews or any regulatory agency. When AUM data is unavailable, a “ — “ is listed in the record’s AUM field entry. All data and information is the property of InvestmentNews LLC and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews LLC. Data may only be viewed on InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.