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
Peter Dewitt MartinMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.01-05-2009
Theodore Michael AltholzMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.01-05-2009
Benjamin Alexander Oxnard IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-16-2009
Maceo Samuel SloanMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$102-27-2009
William John DemartinoMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5003-06-2009
Terry S ThompsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC04-24-2009
Glen Russell WilkMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC06-19-2009
Harry Matthews Oldham IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC06-19-2009
Wade Norman RobertsMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC06-19-2009
Dearing Francis Stone IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-17-2009
Michael Louis KoltzMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-17-2009
Elizabeth Grace WhiteMerrill Lynch, Pierce, Fenner & Smith IncorporatedWaddell & Reed07-27-2009
Jeffrey David ChasmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC07-31-2009
Brandon T HattonMerrill Lynch, Pierce, Fenner & Smith IncorporatedFifth Third Securities, Inc.08-04-2009
Jordan Maxwell ShiversMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC$108-24-2009
Christopher Lee JonesMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.09-24-2009
Curtis Daniel FesslerMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC11-09-2009
Gordon Louis MonroeMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5011-13-2009
Barbara D BartMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5011-17-2009
Anthony Joseph Modica Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.11-20-2009
Christopher Curtis GabrielMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5011-20-2009
Charles Tudor LaughlinMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5011-27-2009
Nelson Manuel GarciaMerrill Lynch, Pierce, Fenner & Smith IncorporatedE*TRADE Securities LLC11-30-2009
Alexander S GarrettMerrill Lynch, Pierce, Fenner & Smith IncorporatedCaymus Securities LLC12-09-2009
Peter Edwin ConwayMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley02-10-2010
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Showing 1 to 25 of 193 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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