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
Kevin James ReganMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley08-17-2011
Eric A FreyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2508-22-2011
Roberta Michelle WagnerMerrill Lynch, Pierce, Fenner & Smith IncorporatedFidelity Brokerage Services LLC09-14-2011
Pat C MurphyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5009-15-2011
Scott D FredereksenMerrill Lynch, Pierce, Fenner & Smith IncorporatedHSBC Securities (USA) Inc.$2509-19-2011
Dante P BattagliaMerrill Lynch, Pierce, Fenner & Smith IncorporatedHSBC Securities (USA) Inc.$5009-23-2011
Jon SchulzMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2509-23-2011
Leonard KinsmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$11310-26-2011
June Ann SabahMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$20010-28-2011
James Edward FooteMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$20810-28-2011
Sheena Clare MarrMerrill Lynch, Pierce, Fenner & Smith IncorporatedDavid Lerner Associates, Inc.11-04-2011
Damianos TheodorouMerrill Lynch, Pierce, Fenner & Smith IncorporatedMetLife Securities Inc.11-21-2011
Alan F SheldonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMutual of Omaha Investor Services, Inc.$5011-21-2011
Robert F DudleyMerrill Lynch, Pierce, Fenner & Smith IncorporatedOppenheimer & Co. Inc.11-25-2011
Ernest M CsakMerrill Lynch, Pierce, Fenner & Smith IncorporatedEdward Jones12-02-2011
Julia BattagliaMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10012-05-2011
Terence M Higgins JrMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Securities LLC12-07-2011
Adam G LipskiMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2512-12-2011
Michael JawienMerrill Lynch, Pierce, Fenner & Smith IncorporatedEmpire Asset Management Company12-27-2011
Jeremy MaddenMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$2501-03-2012
Pavel ZbornikMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-03-2012
Ernesto PuteriMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley01-03-2012
Jimmy QuanMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$5001-10-2012
Thomas Charles NastasiMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10001-11-2012
Jesse M SilverMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5001-11-2012
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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.