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
Keith SmithMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC$1009-08-2015
Jay Leon LefkowiczMerrill Lynch, Pierce, Fenner & Smith IncorporatedChimera Securities, LLC09-08-2015
Elizabeth A SullivanMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.09-11-2015
Marni Andrea HandelMerrill Lynch, Pierce, Fenner & Smith IncorporatedVision Brokerage Services, LLC09-16-2015
Kenneth Krause Walker, Richard Lance MorseMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2509-25-2015
Joseph P. Siemens Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$15009-28-2015
James Ian TothMerrill Lynch, Pierce, Fenner & Smith IncorporatedWest Capital Management, Inc.10-02-2015
Lee Rosen, Elana Gofman, Karen LevyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$30010-16-2015
Lee Sandy Rosen, Elana Beth GofmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10010-16-2015
Joshua C CentreMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5010-16-2015
Alicia M. Hinojosa GutierrezMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.10-16-2015
Matthew Adam LermanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMHA Financial Corp10-16-2015
Robert BratmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley10-16-2015
Matthew Harrison MarshallMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley10-16-2015
Stephen Douglas RyanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$15010-22-2015
Nicole Primack AndresMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Wealth Services$60011-02-2015
Gianluca Vincent PalermoMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC11-02-2015
Kelsey Ann MerrittMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC11-02-2015
Terence John McLaughlinMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC11-04-2015
Megan RinaudoMerrill Lynch, Pierce, Fenner & Smith IncorporatedPaychex Securities Corporation11-06-2015
Jose Ignacio AyalaMerrill Lynch, Pierce, Fenner & Smith IncorporatedCaldwell International Securities11-10-2015
Anthony Dane QuattrochiMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley12-02-2015
Ho Ho-Sung ByunMerrill Lynch, Pierce, Fenner & Smith IncorporatedMetLife Securities Inc.$5012-18-2015
Lewis Jonathan BlockMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.01-11-2016
John Mills-Pierre IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley01-15-2016
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Showing 351 to 375 of 615 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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