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.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Michael Francis RomagnoloUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-01-2009
John David SimeoneRaymond James Financial Services Advisors, IncWells Fargo Clearing Services, LLC01-02-2009
Kristopher Raworth WallStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC01-07-2009
Todd Glenn PollockStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$5001-07-2009
Gaspar Vicente GarciaJ. B. Hanauer & Co.Wells Fargo Clearing Services, LLC01-09-2009
Stephen Thomas LanniganBrokersXpress LLCWells Fargo Clearing Services, LLC01-09-2009
Marc Allen YorksonStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$15001-15-2009
Scott Alan SandersStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC01-15-2009
Brian Jeffrey GoldbergUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-23-2009
David Brett King Sr.GunnAllen Financial, IncWells Fargo Clearing Services, LLC01-23-2009
Robert Kennedy TorringtonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-23-2009
Robert Brian DavisBrokersXpress LLCWells Fargo Clearing Services, LLC01-29-2009
Joel Lawrence KarpayUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-30-2009
Rhoda Lionell KarpayUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-30-2009
Jean P CouturierWamu Investments, Inc.Wells Fargo Clearing Services, LLC02-01-2009
Timothy Thomas DoughertyMorgan Stanley & Co. IncorporatedWells Fargo Clearing Services, LLC02-01-2009
Joseph Julian ToranoHSBC Securities (USA) Inc.Wells Fargo Clearing Services, LLC02-02-2009
Nicolas Jesus BarriosUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$15002-03-2009
Richard Martin ArduengoSunTrust Investment Services, Inc.Wells Fargo Clearing Services, LLC02-06-2009
Albert Spelsberg IIILPL Financial LLCWells Fargo Clearing Services, LLC02-13-2009
Mark H PearceRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$10602-13-2009
Roger Daniel Dunson Sr.Raymond James & Associates, Inc.Wells Fargo Clearing Services, LLC02-13-2009
Wendy Beth NamackCommonwealth Financial NetworkWells Fargo Clearing Services, LLC$2502-13-2009
Steven Thomas MossLPL Financial LLCWells Fargo Clearing Services, LLC$2503-06-2009
Mark Andrew TudorMorgan Keegan & Company, Inc.Wells Fargo Clearing Services, LLC03-13-2009
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Showing 1 to 25 of 793 entries

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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.

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