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
George A. TaylorMerrill Lynch, Pierce, Fenner & Smith IncorporatedWaddell & Reed05-13-2015
Ryan Nelson ToddMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC$10005-29-2015
James Joseph Ertmann, Benjamin Stephen FosterMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-21-2015
Jim Ertmann, Ben FosterMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays$80007-28-2015
John B. RosencransMerrill Lynch, Pierce, Fenner & Smith IncorporatedConsolidated Trading LLC08-10-2015
Larry B GoldbergMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC08-28-2015
Sean Keene Jamison, Steven Herbert TeublMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.09-03-2015
Bryan E. StallardMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC09-04-2015
Christopher Baldwin, Thomas Tyndorf, Andrew SkoglundMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Wealth Services$3,50010-08-2015
Christopher John Baldwin, Thomas Mark Tyndorf, Andrew Peter Skoglund, Daniel James AliagaMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC10-08-2015
Nancy Ann ArangoMerrill Lynch, Pierce, Fenner & Smith IncorporatedCommonwealth Financial Network$10010-27-2015
John Andrew Attard, William Jerry Strnad, Joseph Michael Catalano, Brett Jeremy SierakowskiMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10011-04-2015
Vicki Ann RiosMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC12-01-2015
Janine OlearyMerrill Lynch, Pierce, Fenner & Smith IncorporatedCetera Advisor Networks LLC12-16-2015
Nathan Pearce LinkMerrill Lynch, Pierce, Fenner & Smith IncorporatedNational Securities Corporation12-21-2015
Jeffrey J HerrMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.01-08-2016
Peter John LappinMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.01-08-2016
Trent Alan AhlersMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley01-08-2016
Bradley Nathan WissMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley01-15-2016
Gale Beatrice PadillaMerrill Lynch, Pierce, Fenner & Smith IncorporatedInvestment Professionals, Inc.02-03-2016
Stephen R. ZimmermanMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC02-26-2016
Brad A. BartelsMerrill Lynch, Pierce, Fenner & Smith IncorporatedInvestment Professionals, Inc.$2503-07-2016
James P. McQuinnMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.03-29-2016
Matthew Alexander PfisterMerrill Lynch, Pierce, Fenner & Smith IncorporatedFidelity Brokerage Services LLC03-30-2016
John Demarest DiefenbachMerrill Lynch, Pierce, Fenner & Smith IncorporatedWilliam Blair03-31-2016
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Showing 101 to 125 of 214 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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