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
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
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
Clinton Robert SmedleyCUSO Financial Services, L.P.Commonwealth Financial Network04-03-2009
Mark Fraser McKnightCUSO Financial Services, L.P.Navy Federal Asset Management, LLC04-20-2009
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
Stephen Mark SeewerCUSO Financial Services, L.P.Wells Fargo Investments, LLC09-09-2009
Joseph Anthony TurfaCUSO Financial Services, L.P.AXA Advisors, LLC10-05-2009
Sylvia Yuk Kwai HoCUSO Financial Services, L.P.NYLIFE Securities LLC04-14-2010
John Trezza Jr.CUSO Financial Services, L.P.Infinex Investments, Inc.05-19-2010
John Todd AndersonCUSO Financial Services, L.P.CUNA Brokerage Services, Inc.07-07-2010
Bryan Patrick FarrisseyCUSO Financial Services, L.P.CUNA Brokerage Services, Inc.07-07-2010
Lester John De PeraltaCUSO Financial Services, L.P.Edward Jones08-19-2010
John Guenther HallerCUSO Financial Services, L.P.Fifth Third Securities, Inc.09-17-2010
Kristin Anna ChimCUSO Financial Services, L.P.RiverSource Distributors, Inc.01-03-2011
Richard Allen KellerCUSO Financial Services, L.P.Edward Jones01-04-2011
Michael Owen SelbyCUSO Financial Services, L.P.LPL Financial LLC02-01-2011
Maro Artemio PazCUSO Financial Services, L.P.Workman Securities Corporation$1002-03-2011
David Anthony KanongataaCUSO Financial Services, L.P.Wells Fargo Clearing Services, LLC03-11-2011
Michael Lawrence MullenCUSO Financial Services, L.P.Transamerica Capital, Inc.03-28-2011
Michael Dean SmeengeCUSO Financial Services, L.P.Infinex Investments, Inc.$1004-18-2011
Craig A. ShipmanCUSO Financial Services, L.P.TIAA-CREF Individual & Institutional Services, LLC04-18-2011
Daniel Patrick BernabeCUSO Financial Services, L.P.Wells Fargo Clearing Services, LLC04-21-2011
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Showing 1 to 25 of 271 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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