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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
James P. WalshAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.02-20-2009
Victor Christopher GarraAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-06-2009
Michael Sebastian GorgoneAmeriprise Financial Services, Inc.Banc of America Investment Services, Inc.03-09-2009
Rodney Lee CampopianoAmeriprise Financial Services, Inc.Banc of America Investment Services, Inc.03-11-2009
James David McmanusAmeriprise Financial Services, Inc.Raymond James Financial Services Advisors, Inc$10003-27-2009
Pamela Putnam SmithAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.$10004-09-2009
Wendy Gail CoppolaAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10005-01-2009
Choong Sik LeeAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.$10005-01-2009
Derek Frank CiampiniAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10005-01-2009
John David O'KeefeAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.$25005-15-2009
Brian Joseph WiegandAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.$50005-22-2009
Arnel Collantes GonzalesAmeriprise Financial Services, Inc.Morgan Stanley$10006-19-2009
Russell Paul KarpfAmeriprise Financial Services, Inc.UBS Financial Services Inc.$25007-02-2009
Bruce M BoehmckeAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$50001-08-2010
Marlene B Barger-BatesAmeriprise Financial Services, Inc.Morgan Stanley$15001-15-2010
Jason Ryan DuguayAmeriprise Financial Services, Inc.MetLife Securities Inc.$10004-06-2010
David Robert LenahanAmeriprise Financial Services, Inc.Morgan Stanley$50009-17-2010
Jeffrey Todd JollyAmeriprise Financial Services, Inc.UBS Financial Services Inc.$25010-19-2010
Darrell Eugene FoxAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)01-12-2011
Athena Elizabeth McGuireAmeriprise Financial Services, Inc.RBC Capital Markets, LLC$10003-09-2011
Lisa Obrien HurleyAmeriprise Financial Services, Inc.National Planning Corporation04-18-2011
Rocco D Paolino Jr.Ameriprise Financial Services, Inc.Janney Montgomery Scott LLC$50007-27-2011
Theodore Charles DavisAmeriprise Financial Services, Inc.Morgan Stanley$50008-11-2011
Arnold GoldbergAmeriprise Financial Services, Inc.Morgan Stanley$50009-30-2011
Christopher DillonAmeriprise Financial Services, Inc.Morgan Stanley09-30-2011
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Showing 1 to 25 of 105 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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