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
Linda Marie CapobiancoJanney Montgomery Scott LLCBanc of America Investment Services, Inc.$15005-29-2009
Joseph Patrick HassettJanney Montgomery Scott LLCBanc of America Investment Services, Inc.05-29-2009
Joan Mary RegensburgerJanney Montgomery Scott LLCBanc of America Investment Services, Inc.05-29-2009
Salvatore J Tocco IVJanney Montgomery Scott LLCDime Investment Services$5003-14-2012
Stuart Lee PetersonJanney Montgomery Scott LLCJ.P. Morgan Securities LLC10-16-2014
Daniel Joseph CarneyJanney Montgomery Scott LLCJ.P. Morgan Securities LLC10-16-2014
Joseph Bristol KettelleJanney Montgomery Scott LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-18-2015
Roger Freeman GiraudJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$5001-28-2016
Richard Anthony RanoneJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC01-28-2016
Michael Aloysius OflahertyJanney Montgomery Scott LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated04-07-2017
Brendan Patrick FlahertyJanney Montgomery Scott LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$25009-06-2017
Sandra CummingsJanney Montgomery Scott LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated09-06-2017
Bryan Barry PickellJanney Montgomery Scott LLCProvidence Investment Management, LP02-08-2018

Showing 1 to 13 of 13 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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