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
David Leon LynnAmeriprise Financial Services, Inc.Oppenheimer & Co. Inc.01-30-2015
Paul Nicholas DonasAmeriprise Financial Services, Inc.Signator Investors, Inc.$2502-06-2015
Marc LevyAmeriprise Financial Services, Inc.MetLife Securities$6202-09-2015
Marc Barrett LevyAmeriprise Financial Services, Inc.MetLife Securities Inc.02-10-2015
Catherine McGrathAmeriprise Financial Services, Inc.MetLife Securities Inc.$1003-16-2015
Ann Lucy HerreroAmeriprise Financial Services, Inc.Edward Jones$10003-27-2015
John Paul Benns Jr.Ameriprise Financial Services, Inc.MetLife Securities Inc.04-15-2015
Sandy Peter Romeo Jr.Ameriprise Financial Services, Inc.UBS Financial Services Inc.04-17-2015
Kalle Jaan RugaAmeriprise Financial Services, Inc.Investacorp, Inc.04-22-2015
Robert James PecoraroAmeriprise Financial Services, Inc.Morgan Stanley$5004-24-2015
Harry ArmonAmeriprise Financial Services, Inc.MML Investors Services, LLC$5006-12-2015
Susan Brooks O'RourkeAmeriprise Financial Services, Inc.Questar Capital Corporation06-24-2015
Neil PalazzoAmeriprise Financial Services, Inc.David Lerner Associates, Inc.$5008-07-2015
Sandra SmithAmeriprise Financial Services, Inc.MJ Whitman$23008-28-2015
Sandra Gay SmithAmeriprise Financial Services, Inc.Etico Partners, LLC$10008-28-2015
Joseph Michael SullivanAmeriprise Financial Services, Inc.Gilford Securities Incorporated$10008-28-2015
Joseph BialoglawAmeriprise Financial Services, Inc.Gilford Financial Corp.$1008-28-2015
George Paul KreuscherAmeriprise Financial Services, Inc.Gilford Financial Corp.$1009-08-2015
Stephen Mark CurryAmeriprise Financial Services, Inc.Gilford Financial Corp.09-08-2015
Michael Joseph UvenioAmeriprise Financial Services, Inc.David Lerner Associates, Inc.$1009-25-2015
Edward S LucciAmeriprise Financial Services, Inc.MetLife Securities Inc.09-25-2015
Charles Francis Giordano Jr.Ameriprise Financial Services, Inc.Empire Asset Management Company12-16-2015
Lauren Leslie KennyAmeriprise Financial Services, Inc.Scottrade, Inc.12-21-2015
Richard Lawrence MazurAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC12-23-2015
Dominic VivoloAmeriprise Financial Services, Inc.RBC Capital Markets, LLC$9201-15-2016
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Showing 76 to 100 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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