Advisers on the Move TEST

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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Brad Allen WoodsCUSO Financial Services, L.P.Wells Fargo Clearing Services, LLC01-06-2009
Stephanie Elizabeth GudkaCUSO Financial Services, L.P.Countrywide Investment Services, Inc.01-12-2009
Caroline Helen GeorgiadisCUSO Financial Services, L.P.Raymond James Financial Services, Inc.01-15-2009
Patricia B HernandezCUSO Financial Services, L.P.Citigroup Global Markets Inc.02-10-2009
Brian Trent EdwardsCUSO Financial Services, L.P.Banc of America Investment Services, Inc.02-13-2009
Tom Haipei TanCUSO Financial Services, L.P.Pacific Select Distributors, LLC03-05-2009
James Arthur SimpsonCUSO Financial Services, L.P.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-13-2009
Adelbert Francis DuffyCUSO Financial Services, L.P.UBS Financial Services Inc.03-23-2009
Quang Thi PhanCUSO Financial Services, L.P.Banc of America Investment Services, Inc.04-01-2009
James Michael PriceCUSO Financial Services, L.P.Wells Fargo Clearing Services, LLC04-01-2009
Clinton Robert SmedleyCUSO Financial Services, L.P.Commonwealth Financial Network04-03-2009
John Ray SneddonCUSO Financial Services, L.P.SagePoint Financial, Inc.$2504-06-2009
Mark Fraser McKnightCUSO Financial Services, L.P.Navy Federal Asset Management, LLC04-20-2009
Michael James RodgersCUSO Financial Services, L.P.First Trust Portfolios L.P.05-07-2009
Alfred David BarbatoCUSO Financial Services, L.P.Janney Montgomery Scott LLC05-18-2009
Eustis Gerard HabighorstCUSO Financial Services, L.P.Thrivent Investment Management Inc.06-29-2009
Benjamin Preston Ivey Jr.CUSO Financial Services, L.P.Wells Fargo Clearing Services, LLC07-16-2009
Joseph Daniel MurphyCUSO Financial Services, L.P.The Mutual Fund Store07-27-2009
Michael Jon NagelvoortCUSO Financial Services, L.P.Infinex Investments, Inc.09-01-2009
Stephen Mark SeewerCUSO Financial Services, L.P.Wells Fargo Investments, LLC09-09-2009
Sandra Lee RinkeCUSO Financial Services, L.P.U.S. Bancorp Investments, Inc.10-05-2009
Joseph Anthony TurfaCUSO Financial Services, L.P.AXA Advisors, LLC10-05-2009
Kevin Kristofer RenneCUSO Financial Services, L.P.Cetera Investment Services LLC10-21-2009
Alex Antonio BacayCUSO Financial Services, L.P.MetLife Securities Inc.12-01-2009
Zelalem Baalu GirmaCUSO Financial Services, L.P.William O'Neil Securities Incorporated12-10-2009
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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.