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
Roberto BaergaMerrill Lynch, Pierce, Fenner & Smith IncorporatedPopular Securities, LLC04-17-2009
Rattan K DodejaMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$1004-17-2009
Joseph Alan LikensMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley & Co. LLC04-17-2009
John Mark BrightonMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$1004-17-2009
Phil Hung NguyenMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.04-17-2009
Jay Brady ThaxtonMerrill Lynch, Pierce, Fenner & Smith IncorporatedFidelity Brokerage Services LLC04-21-2009
Bertin Marc Stuckart Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-22-2009
David George RucknoMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-22-2009
Wayne Fay LeeMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-23-2009
Ellis LukenMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.04-24-2009
Charles Siu Lun MokMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5004-24-2009
Steven Alan WagnerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5004-24-2009
Daniel Michael Nolan Sr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$15004-24-2009
Robert Case DuncanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$2504-24-2009
Jeffrey Russell SweersMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$15004-24-2009
Courtney John KwasMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.04-24-2009
Christine L DiemidioMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.04-24-2009
William Michael CoffeyMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$15004-24-2009
Cherie Dale CohenMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-24-2009
John Matthew LiviaMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.04-24-2009
Diana C. TorreMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-24-2009
Mandy Judith RofeMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$15004-24-2009
Michael David WelchMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.04-24-2009
Ted HamstraMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.04-24-2009
Terry Sloan ThompsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$10004-24-2009
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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.