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
Franz Albert KochMerrill Lynch, Pierce, Fenner & Smith IncorporatedNational Securities Corporation09-28-2010
Louis CappitelliMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$11010-01-2010
Julian C. Lopez Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley10-08-2010
Ronald Stephen PricenorMerrill Lynch, Pierce, Fenner & Smith IncorporatedBB&T Investment Services, Inc.10-18-2010
Michael Hurshel Cook, Richard Robert DwyerMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley11-12-2010
Dean Thomas LarsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC11-29-2010
Brian J. HoweMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley11-29-2010
Jesse Robert Anderson, Christopher Patrick McKelveyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5001-07-2011
Kimberly C. FurbishMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley01-07-2011
Nancy J. MarciniakMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley01-14-2011
Michael Jeffrey HartMerrill Lynch, Pierce, Fenner & Smith IncorporatedT. Rowe Price Investment Services, Inc.01-28-2011
Bruce Eliot Legates Jr., Nicholas Allen CarrMerrill Lynch, Pierce, Fenner & Smith IncorporatedCharles Schwab & Co., Inc.$5002-18-2011
Kevin James KingMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5002-18-2011
Joel Richard FishkinMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.02-18-2011
Jeffrey Joseph FlitMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10003-10-2011
Lawrence William HallMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$20003-18-2011
Christopher C PashleyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10003-18-2011
Alfonso JimenezMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC03-31-2011
Bradford Cresson PriceMerrill Lynch, Pierce, Fenner & Smith IncorporatedEdward Jones04-18-2011
Sandra Anne CarterMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC04-25-2011
John Anthony FranzMerrill Lynch, Pierce, Fenner & Smith IncorporatedMaxim Group LLC04-25-2011
Timothy Glen DumasMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Keegan & Company, Inc.$5004-29-2011
Roger Allen JonesMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley05-17-2011
Lee Carlton McCormickMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley06-06-2011
Russell Martin Brander Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedSunTrust Investment Services, Inc.06-17-2011
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Showing 126 to 150 of 532 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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