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
Joseph Bristol KettelleMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC07-31-2009
Gina Marie LeclairMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.08-14-2009
Joel Barry RaskinMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10008-14-2009
John Anthony LicciardelloMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.08-14-2009
John Francis MorrisMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.11-02-2009
Phillip David HardinMerrill Lynch, Pierce, Fenner & Smith IncorporatedNew England Securities$2511-30-2009
Steven John FosterMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitizens Securities, Inc.11-30-2009
Frank Thomas MarzellaMerrill Lynch, Pierce, Fenner & Smith IncorporatedSecurities Service Network, LLC12-14-2009
Alan J Hadad Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedEdward Jones01-19-2010
Erik Christ LarsenMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Investments, LLC05-19-2010
Patrick Andre SierMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley10-14-2010
William Champlain Lippincott IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedEquity Services, Inc.11-22-2010
Mohammed Ahmad AaterMerrill Lynch, Pierce, Fenner & Smith IncorporatedTD Ameritrade Investment Management, LLC$10002-07-2011
Joan Scheherezade KhattabMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$15003-03-2011
Mark Stewart KenneyMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC03-21-2011
Peter Nicholas CuddyMerrill Lynch, Pierce, Fenner & Smith IncorporatedPruco Securities, LLC.05-23-2011
Reid Hartley HansenMerrill Lynch, Pierce, Fenner & Smith IncorporatedMetLife Securities Inc.08-19-2011
Kathryn M WellesMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley08-29-2011
Daniel Christopher BakebergMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$110-03-2011
Jeffrey Becker SongcoMerrill Lynch, Pierce, Fenner & Smith IncorporatedLPL Financial LLC12-05-2011
Jason Anthony RuelMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley03-19-2012
Henry Earl Evans IVMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley06-11-2012
Kevin M PattonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMMC Securities LLC06-25-2012
Scott A KadishMerrill Lynch, Pierce, Fenner & Smith IncorporatedLPL Financial LLC07-30-2012
Dorit Lana Louise KagyMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC10-19-2012
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Showing 1 to 25 of 78 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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