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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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Timothy L. O'ConnorMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-10-2009
Timothy Martin HickmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$25007-10-2009
Timothy Patrick CostelloMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-10-2009
William Taulbee Smith IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC07-10-2009
Kerry Bridget VetterMerrill Lynch, Pierce, Fenner & Smith IncorporatedLegagroup, LLC$10007-13-2009
Maher Joseph MajdalaniMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-15-2009
Dearing Francis Stone IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-17-2009
Jon M NarducciMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-17-2009
Karen A IgarashiMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2507-17-2009
Michael Louis KoltzMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-17-2009
Milton Ken TanakaMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10007-17-2009
Richard William Post Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$5007-17-2009
Charles David Kaye IIMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$15007-24-2009
Gregory Alan LopezMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-24-2009
Joel Jay Spitz, William Philip CeroneMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-24-2009
Michele PhillippiMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-24-2009
Elizabeth Grace WhiteMerrill Lynch, Pierce, Fenner & Smith IncorporatedWaddell & Reed07-27-2009
Jill Marie VantineMerrill Lynch, Pierce, Fenner & Smith IncorporatedTransamerica Capital, Inc.07-27-2009
John Thomas TrzeciakMerrill Lynch, Pierce, Fenner & Smith IncorporatedE*TRADE Securities LLC$107-27-2009
Philip CupoMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC07-27-2009
Philip Owen GottlickMerrill Lynch, Pierce, Fenner & Smith IncorporatedCarolina Capital Markets, Inc.$5007-27-2009
Ryan Matthew PurvisMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5007-28-2009
Christopher Jonathan Asher, Kevin Brent CollisonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-29-2009
Dominic Bryan RainoMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-29-2009
Justin Ajay SinghMerrill Lynch, Pierce, Fenner & Smith IncorporatedPruco Securities, LLC.07-29-2009
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Showing 326 to 350 of 7,752 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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