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
John James SullivanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10010-30-2009
Kevin W ChauMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10011-06-2009
Johann Mendoza TampincoMerrill Lynch, Pierce, Fenner & Smith IncorporatedChase Investment Services Corp.12-01-2009
William Robert GardnerMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10012-04-2009
Neil S CohenMerrill Lynch, Pierce, Fenner & Smith IncorporatedMetLife Securities Inc.01-21-2010
Rubin MagitMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.01-22-2010
Michael McGillMerrill Lynch, Pierce, Fenner & Smith IncorporatedPruco Securities, LLC.02-01-2010
Arthur Blake ShermanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley02-26-2010
Joseph Salvatore GriecoMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.03-01-2010
Alicia L. RubertiMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.03-01-2010
Karen Lynne BattaglioMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley03-26-2010
Caroline Hardy SalmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley04-16-2010
William Andrew Russell IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedFIS Brokerage & Securities Services LLC04-26-2010
Marvin BenakMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.04-29-2010
Jeremy Saul SteinMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$15005-03-2010
Les NatkoMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$15005-14-2010
Normand Robert SavoieMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2505-14-2010
Nicholas Edward BevadMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley05-14-2010
Gary Neil RingelMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley06-11-2010
Philip Francis SwotkewiczMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$15006-18-2010
James Gerard DwyerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10006-23-2010
Raffaele DeGruttolaMerrill Lynch, Pierce, Fenner & Smith IncorporatedChase Investment Services Corp.$2506-25-2010
Michael ShalhoupMerrill Lynch, Pierce, Fenner & Smith IncorporatedHornor, Townsend & Kent, LLC06-25-2010
Paulo Guilherme De SouzaMerrill Lynch, Pierce, Fenner & Smith IncorporatedIDB Capital Corp.07-02-2010
David Scott Towers, Jason Gregory CapronMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5007-16-2010
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Showing 76 to 100 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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