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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Chad Nickolas LosonFifth Third Securities, Inc.UBS Financial Services Inc.06-22-2009
Keith William PhilippiFifth Third Securities, Inc.Wells Fargo Clearing Services, LLC03-29-2010
Barry Whitmore CroteauFifth Third Securities, Inc.Wells Fargo Clearing Services, LLC06-28-2010
Michael Avery ReinmundFifth Third Securities, Inc.Morgan Keegan & Company, Inc.03-31-2011
Melva Lynn AustinFifth Third Securities, Inc.M&I Financial Advisors, Inc.07-19-2012
Alexander Bruce GourlayFifth Third Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-15-2012
Jason Allen MitchellFifth Third Securities, Inc.Comerica Securities10-22-2012
Robin Dyan JohnsonFifth Third Securities, Inc.BMO Harris Financial Advisors, Inc.12-04-2012
Benjamin Hollis KnoxFifth Third Securities, Inc.Morgan Stanley$5001-22-2013
Patricia Kay ElwoodFifth Third Securities, Inc.Raymond James Financial Services, Inc.08-13-2013
Shumaila Bahram PiraniFifth Third Securities, Inc.CNL Securities Corp.10-30-2013
Stephen Laurence PeloquinFifth Third Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-31-2013
Thomas Antonio NerneyFifth Third Securities, Inc.SunTrust Investment Services, Inc.10-09-2014
Scott Robert BarlowFifth Third Securities, Inc.PNC Investments12-09-2014
Michael Gary ArgenbrightFifth Third Securities, Inc.SunTrust Investment Services, Inc.$10009-15-2015
Michael BravoFifth Third Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-03-2015
Theresa Marie SchmittFifth Third Securities, Inc.Edward Jones07-28-2016
Timothy Victor BassoFifth Third Securities, Inc.J.P. Morgan Securities LLC10-18-2016
Marcus Abe PennerFifth Third Securities, Inc.Waddell & Reed03-20-2017
Tracy Ann TimmermanFifth Third Securities, Inc.MWA Financial Services Inc.04-04-2017
Timothy Otto SewardFifth Third Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-27-2017
Jennifer Lynn DesmondFifth Third Securities, Inc.Cetera Investment Services LLC10-17-2017
Tammy Ann BetzFifth Third Securities, Inc.SunTrust Investment Services, Inc.01-24-2018
Wendell Lee BunchFifth Third Securities, Inc.CUNA Brokerage Services, Inc.$5006-21-2018
April Vincent SmithFifth Third Securities, Inc.Wells Fargo Clearing Services, LLC07-12-2018
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Showing 1 to 25 of 28 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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