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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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
John T. QuiggleFirst Citizens Investor Services, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$50010-23-2019
Joshawa W. HardingNYLIFE Securities LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-22-2019
Andy Mai NguyenComerica SecuritiesWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-22-2019
Karen Leigh WardStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$10010-21-2019
Ellen M. FitzgeraldD.A. Davidson & Co.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-21-2019
William George GodfreyOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-21-2019
Michael J. MackowiakMorgan StanleyWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-21-2019
Bradley Evan BerdowCapital Bank and Trust CompanyWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-21-2019
John Howell SwiftLPL Financial LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$50010-18-2019
Jeffrey Scott SmithMorgan StanleyWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$50010-18-2019
Michael James OsborneJ.P. Morgan Securities LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-18-2019
John Bratton Dubose IVAshton Thomas Private WealthWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-18-2019
Michael David MachnowskiThe Berry GroupWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-18-2019
Oliver Farrell CraganThe Berry GroupWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-18-2019
Sarah G BerryThe Berry GroupWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-18-2019
Elizabeth Ann PlunkettJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$15010-17-2019
Christopher James OzazewskiJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$50010-17-2019
Eric B. DeckerJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$50010-17-2019
Matthew Gene PfeiferJ.P. Morgan Securities LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-17-2019
Frank Xiaohuan FangSecurian Financial Services, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-17-2019
Victor H. AvilaU.S. Bancorp Investments, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-16-2019
Anthony Scott CaronMorgan StanleyWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-16-2019
Patricia Ann CockellRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$10010-15-2019
Dee Antman WalkerRoyal Alliance Associates, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$50010-15-2019
Jason Bradley JohnsonLPL Financial LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-15-2019
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Showing 1 to 25 of 262 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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