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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Erik Allen O'KeefeAmeriprise Financial Services, Inc.AXA Advisors, LLC07-01-2009
Mark David CohenAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.$10010-05-2009
Bryant Paul WeintraubAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.10-05-2009
Donald Paul JohannesAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.10-05-2009
Alan A MelamedAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.10-05-2009
Lev David BrickmanAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.10-05-2009
Peter Joseph Barone Sr.Ameriprise Financial Services, Inc.TD Wealth Management Services Inc.11-20-2009
Lawrence Jan RosenAmeriprise Financial Services, Inc.FIS Brokerage & Securities Services LLC03-08-2010
Mary Elizabeth FairchildAmeriprise Financial Services, Inc.Lincoln Financial Advisors Corporation05-07-2010
Ziyah Ruth EsbenshadeAmeriprise Financial Services, Inc.National Planning Corporation05-19-2010
Terence Joseph BarnettAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.06-18-2010
Normand Richard Fluet Jr.Ameriprise Financial Services, Inc.Signator Investors, Inc.08-03-2010
Vincent A MennitiAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.10-01-2010
Jonathan Ian EhrlichAmeriprise Financial Services, Inc.Tower Square Securities, Inc.11-22-2010
Harold Milton BrandellAmeriprise Financial Services, Inc.HD Vest Investment Services12-15-2010
Kerry Marie PhelanAmeriprise Financial Services, Inc.Foresters Financial Services, Inc.01-04-2011
Shamir Dov HirschAmeriprise Financial Services, Inc.Chase Investment Services Corp.02-16-2011
Joshua Daniel Brown, Ronald Alston RienasAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-29-2011
Jeffrey Paul StognerAmeriprise Financial Services, Inc.Raymond James Financial Services, Inc.$5005-06-2011
James Harold VenezianoAmeriprise Financial Services, Inc.Chase Investment Services Corp.06-08-2011
Timothy Ray HiltonAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2507-29-2011
Charles Robert SpeerAmeriprise Financial Services, Inc.Edward Jones$2508-25-2011
Sheila Leah SpicehandlerAmeriprise Financial Services, Inc.Morgan Stanley09-30-2011
Sheila SpicehandlerAmeriprise Financial Services, Inc.Morgan Stanley$20010-03-2011
Eric Matthew PennaAmeriprise Financial Services, Inc.AXA Advisors, LLC11-02-2011
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Showing 1 to 25 of 213 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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