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
Henry MarinMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC02-24-2012
Brian Joseph FinnertyMerrill Lynch, Pierce, Fenner & Smith IncorporatedR.W.Pressprich & Co.03-23-2012
Peter Gonzalez Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedAvatar Securities, LLC03-23-2012
James Scott BishopMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley03-29-2012
Daniel Paul VartigianMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-20-2012
Brett A KoeppelMerrill Lynch, Pierce, Fenner & Smith IncorporatedDynasty Capital Partners, Inc.04-23-2012
Kim PotvinMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley05-04-2012
Marina G. MichaelMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.05-07-2012
Anthony Michael Recco Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedRBC Capital Markets, LLC$5005-11-2012
Michael Joseph KelleyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley06-07-2012
Peter J CocolarasMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2506-08-2012
Eric S. JohnsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedWaddell & Reed06-18-2012
Suzanne Renee KatzMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley06-22-2012
Yatin Kirtikumar DoshiMerrill Lynch, Pierce, Fenner & Smith IncorporatedHSBC Securities (USA) Inc.06-29-2012
Jesse DowningMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC06-29-2012
Steven ScherMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley08-09-2012
Lee Miller, Andrew PleatMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$18308-10-2012
D Lee MillerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$2508-10-2012
Thomas George WordenMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley08-10-2012
Andrew Kenneth PleatMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.08-10-2012
Dominick Michael MolinaroMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.08-13-2012
Michael Andrew AndersonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$1008-16-2012
Timothy James TassoMerrill Lynch, Pierce, Fenner & Smith IncorporatedEchotrade LLC08-20-2012
Jonathan Patrick BrechtMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley08-31-2012
Cijin HuMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley09-17-2012
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Showing 176 to 200 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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