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
Jerome David KingUBS Financial Services Inc.Wells Fargo Clearing Services, LLC02-02-2009
Michael Anthony DowdUBS Financial Services Inc.Wells Fargo Clearing Services, LLC02-04-2009
Lynnette HoodWells Fargo Clearing Services, LLCWells Fargo Clearing Services, LLC02-05-2009
Richard M. ArduengoSunTrust Investment Services, Inc.Wells Fargo Clearing Services, LLC02-06-2009
Michael Orvin NimmoUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10002-06-2009
Raymond Thomas MinicucciUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$15002-06-2009
Christopher Andrew RussoUBS Financial Services Inc.Wells Fargo Clearing Services, LLC02-06-2009
Christian Michael NimmoUBS Financial Services Inc.Wells Fargo Clearing Services, LLC02-06-2009
Andrea Dawn BradfordCetera Advisor Networks LLCWells Fargo Clearing Services, LLC02-09-2009
Frank A DyerStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC02-09-2009
Mark Allen TobinStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$5002-10-2009
John Edward McCloskey Jr.Stifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC02-10-2009
Ronald Jacob DawsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC02-10-2009
Derek James PritchardBancWest Investment Services, Inc.Wells Fargo Clearing Services, LLC02-11-2009
James Joseph ErnstJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$5002-11-2009
Clark Christopher ManganJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$2502-11-2009
David Charles RankinJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC02-11-2009
Robert Christopher DuffUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10002-11-2009
Terry Leroy KershnerWaddell & ReedWells Fargo Clearing Services, LLC02-12-2009
Gail Henrietta Vandyke-CroteauLPL Financial LLCWells Fargo Clearing Services, LLC02-12-2009
Matthew James WorthingtonHornor, Townsend & Kent, LLCWells Fargo Clearing Services, LLC$5002-13-2009
Albert Spelsberg IIILPL Financial LLCWells Fargo Clearing Services, LLC$2502-13-2009
Matthew George WatsonRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$2502-13-2009
Randall Arthur JohnsonRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$5002-13-2009
Wendy Beth NamackCommonwealth Financial NetworkWells Fargo Clearing Services, LLC$2502-13-2009
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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.