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
Daniel Timothy LombardiMerrill Lynch, Pierce, Fenner & Smith IncorporatedChase Investment Services Corp.01-21-2009
B Thomas Thomas CalfeeMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.05-06-2009
Carla Jean LangMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$10605-29-2009
Robert K PrestonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley & Co. LLC05-29-2009
James Royal Kirchner Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.06-19-2009
Gilbert J MauroMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-30-2009
Chad Alex KazosMerrill Lynch, Pierce, Fenner & Smith IncorporatedFidelity Brokerage Services LLC$5009-14-2009
James J FalcioneMerrill Lynch, Pierce, Fenner & Smith IncorporatedRaymond James & Associates, Inc.09-23-2009
Isaac Mrose LibermanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.10-15-2009
Mark A MillerMerrill Lynch, Pierce, Fenner & Smith IncorporatedM.E.B. Options Inc.10-15-2009
Anthony Jon SegobianoMerrill Lynch, Pierce, Fenner & Smith IncorporatedEdward Jones$110-16-2009
Gary Allen SeitzMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10010-23-2009
Patrick Arthur NoonanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley10-23-2009
Thomas Andrew NoonanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley10-23-2009
Giulio Joseph LiotineMerrill Lynch, Pierce, Fenner & Smith IncorporatedZacks Investment Management, Inc.11-06-2009
John Francis KarstrandMerrill Lynch, Pierce, Fenner & Smith IncorporatedEdward Jones12-07-2009
Bradley Scott RamlerMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley02-18-2010
Richard Robert Shalla Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedNYLIFE Securities LLC04-05-2010
Michelle Jacquelyn PlaceMerrill Lynch, Pierce, Fenner & Smith IncorporatedInvesco Capital Markets, Inc.$5004-29-2010
Richard S O'HaraMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$105-13-2010
Richard Mark TadenMerrill Lynch, Pierce, Fenner & Smith IncorporatedEdward Jones05-24-2010
William R GriffioenMerrill Lynch, Pierce, Fenner & Smith IncorporatedChicago Investment Group, LLC06-25-2010
Kathryn Scott MedemaMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-08-2010
Brian RocheMerrill Lynch, Pierce, Fenner & Smith IncorporatedInvesco Distributors, Inc.$5007-30-2010
Kelli Darner WangMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC07-30-2010
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Showing 1 to 25 of 285 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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