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
Arthur Richard FalkowitzJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$101-23-2009
Michael Herbert StrochlicJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$5001-23-2009
Alan Scott WinstonMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC02-01-2009
Richard Lloyd GoldmanMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC02-01-2009
Christopher Andrew RussoUBS Financial Services Inc.Wells Fargo Clearing Services, LLC02-06-2009
Raymond Thomas MinicucciUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5002-06-2009
John P. O'Leary Jr.UBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5002-20-2009
Frederick Gerald WeemanMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC02-25-2009
Sean Edward HattrickUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10002-27-2009
James Ray CottoMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC03-01-2009
John Edward CarlMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC03-01-2009
Stephan Otto ScribnerEssex National Securities, LLCWells Fargo Clearing Services, LLC03-01-2009
Thomas Francis NilesMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC03-01-2009
Peter Anthony MeizelsStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC03-06-2009
Ronald Richard WaseleskiAmerican Portfolios Financial Services, Inc.Wells Fargo Clearing Services, LLC03-06-2009
William Roger McguinnRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$3203-06-2009
Mark Andrew CooleyCadaret, Grant & Co., Inc.Wells Fargo Clearing Services, LLC$2503-11-2009
Gregory Thomas MatzelleJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$5003-20-2009
Robert E Cappello Jr.Janney Montgomery Scott LLCWells Fargo Clearing Services, LLC$5003-20-2009
Paul A PadovaniMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC03-31-2009
Javier Oswald LoraHSBC Securities (USA) Inc.Wells Fargo Clearing Services, LLC04-04-2009
John Francis SchaferJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$15004-23-2009
Lisa Ann BruleJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$15004-23-2009
Michael John BoylanStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC04-27-2009
John Joseph Kubica Jr.UBS Financial Services Inc.Wells Fargo Clearing Services, LLC$15004-29-2009
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Showing 1 to 25 of 441 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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