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
Larry John SwansonAmeriprise Financial Services, Inc.UBS Financial Services Inc.$5006-03-2009
Keith Michael KunzigAmeriprise Financial Services, Inc.UBS Financial Services Inc.06-03-2009
Steven Lawrence LevinsonAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$15006-12-2009
Craig Matthew SutherlandAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-16-2009
David John RichAmeriprise Financial Services, Inc.Janney Montgomery Scott LLC$2506-19-2009
Arnel Collantes GonzalesAmeriprise Financial Services, Inc.Morgan Stanley06-19-2009
Barry Wayne JateffAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.$5006-22-2009
Kurt Marcus CarlsonAmeriprise Financial Services, Inc.Banc of America Investment Services, Inc.$5006-26-2009
Jason David DunnAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.06-30-2009
Steven Daniel DuncanAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.06-30-2009
Kyle Steven LuthyAmeriprise Financial Services, Inc.UBS Financial Services Inc.$2507-01-2009
Erik Allen O'KeefeAmeriprise Financial Services, Inc.AXA Advisors, LLC07-01-2009
Joseph Dominic De FalcoAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.$10007-09-2009
Gregg Allan LarsonAmeriprise Financial Services, Inc.Vickerman & Driscoll Financial Advisors, Inc.07-14-2009
Karen Megale HarveyAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5007-17-2009
Charles F. ThalheimerAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-17-2009
Fouad Hussein Zeaiter, John Henry HaanAmeriprise Financial Services, Inc.Commonwealth Financial Network07-31-2009
Phillip Gerald BucknerAmeriprise Financial Services, Inc.Fidelity Brokerage Services LLC08-10-2009
Bradley Gene WalkoviakAmeriprise Financial Services, Inc.NYLIFE Securities LLC08-19-2009
Gary Scott SpencerAmeriprise Financial Services, Inc.Long Grove Trading Co.08-31-2009
Keith Wayne NugentAmeriprise Financial Services, Inc.USAA Financial Advisors, Inc.$1009-09-2009
Justin Arthur VartanianAmeriprise Financial Services, Inc.Waddell & Reed09-16-2009
Geoffrey Allen JonesAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5010-02-2009
David Jay BrandtAmeriprise Financial Services, Inc.Ameriprise Advisor Services, Inc.$5010-02-2009
David Lee KarpanAmeriprise Financial Services, Inc.Ameriprise Advisor Services, Inc.$2510-02-2009
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Showing 51 to 75 of 3,309 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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