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
Pedro Paulo Silva, Andre De Oliveira MendesMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.07-02-2009
Joshua Charles StrimpleMerrill Lynch, Pierce, Fenner & Smith IncorporatedEdward Jones07-06-2009
John Hall Haselton, Jason Daniel PatrickMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$15007-07-2009
Julie Kay Lane-Bockelman, Kenneth Richard Johnson, James Steven GaveganMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC07-08-2009
Thomas Edward Jackson, Margaret Childs DunnMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$20007-10-2009
Jocelyn Reitzel SullivanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5007-10-2009
Mark Hodo MillerMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC07-10-2009
Timothy Martin HickmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-10-2009
Matthew C. SloanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-10-2009
Luke Charles Schell, Howard Leon WooMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-10-2009
Loni Lee AngMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-10-2009
Kerry Bridget VetterMerrill Lynch, Pierce, Fenner & Smith IncorporatedLegagroup, LLC07-13-2009
Richard William Post Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$15007-17-2009
Milton Ken TanakaMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10007-17-2009
Karen A. IgarashiMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$1007-17-2009
Joel Jay Spitz, William Philip CeroneMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-24-2009
Charles David Kaye IIMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC07-24-2009
Philip Owen GottlickMerrill Lynch, Pierce, Fenner & Smith IncorporatedCarolina Capital Markets, Inc.07-27-2009
John Thomas TrzeciakMerrill Lynch, Pierce, Fenner & Smith IncorporatedE*TRADE Securities LLC07-27-2009
Elizabeth Grace WhiteMerrill Lynch, Pierce, Fenner & Smith IncorporatedWaddell & Reed07-27-2009
Philip CupoMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC07-27-2009
Ryan Matthew PurvisMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-28-2009
Christopher Jonathan Asher, Kevin Brent CollisonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-29-2009
Justin Ajay SinghMerrill Lynch, Pierce, Fenner & Smith IncorporatedPruco Securities, LLC.07-29-2009
Matthew Hilton LeeMerrill Lynch, Pierce, Fenner & Smith IncorporatedLincoln Financial Securities Corporation$1008-03-2009
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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.

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