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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Ralph M Autuore Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$2505-29-2009
John E SearingMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$2505-29-2009
Catherine Sharp SmithMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, LLC05-29-2009
Paul Lindsey HarpMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC05-29-2009
Stephan Michael FarberMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.05-29-2009
Mary Lynn CrawfordMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.05-29-2009
Daniel Robert Bott IIMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC05-29-2009
Matthew Paul McCoyMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, LLC$2505-29-2009
Kristina Louise IckesMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.05-29-2009
Teresa Sue Kinney-BishopMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC06-01-2009
Ray Marshall Evans IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley & Co. LLC$5006-01-2009
Jill Golden Aronberg-HellerMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$10006-02-2009
Brian Ronald SliwinskiMerrill Lynch, Pierce, Fenner & Smith IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated06-03-2009
John Stuart MiracleMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.06-04-2009
Michael Alfred RomaMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5006-04-2009
Herbert Stephen SchererMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.06-05-2009
Gregory Jay RustemeyerMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$5006-05-2009
Karen Louise MortimerMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.06-05-2009
Jorge Gomez Del CampoMerrill Lynch, Pierce, Fenner & Smith IncorporatedUbs International Inc.06-05-2009
Stacee Bain CrittendenMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.06-05-2009
Andrew John MorrisonMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$5006-05-2009
Scott S. NotowitzMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5006-10-2009
Steven Edward GriffinMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley06-11-2009
David Edward Haight IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedNew Covenant Funds Distributor, Inc.06-11-2009
Garry Charles PaceMerrill Lynch, Pierce, Fenner & Smith IncorporatedSanford C. Bernstein & Co., LLC06-12-2009
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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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.