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
Cindy Speigner CornetteMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.05-01-2009
Catherine Sharp SmithMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.$2505-29-2009
Matthew Paul MccoyMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.05-29-2009
Robert Wooten AndersonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-07-2009
Stefan Daniel GertschMerrill Lynch, Pierce, Fenner & Smith IncorporatedChickasaw Securities, LLC09-28-2009
Daniel Alan SlowinskiMerrill Lynch, Pierce, Fenner & Smith IncorporatedTD Ameritrade Investment Management, LLC10-15-2009
Ronny KwonMerrill Lynch, Pierce, Fenner & Smith IncorporatedWaddell & Reed03-22-2010
Todd C BrannonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-28-2010
Rebecca Loyd FrazierMerrill Lynch, Pierce, Fenner & Smith IncorporatedEdward Jones$15004-30-2010
Steven Riley CoffmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10007-28-2010
Charles Dale WatsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley09-10-2010
Nicholas Wayne HodgeMerrill Lynch, Pierce, Fenner & Smith IncorporatedVALIC Financial Advisors, Inc.10-01-2010
Andrew Stuart MumpowerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5001-07-2011
Sarah S MooreMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC03-31-2011
Greg W SniderMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley06-10-2011
Eric Brett HardingMerrill Lynch, Pierce, Fenner & Smith IncorporatedSunTrust Investment Services, Inc.$106-20-2011
Louise Chamberlain BairnsfatherMerrill Lynch, Pierce, Fenner & Smith IncorporatedWiley Bros.-Aintree Capital, LLC06-22-2011
John Hugh WheelerMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$3506-30-2011
Lawrence Alan SchafferMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-20-2011
Sharon Elise HammerMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley08-23-2011
Justin Lee ChildressMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley09-02-2011
Charles Mathison Tyndal IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedWaddell & Reed10-25-2011
Roger Alton Rhodes Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedFifth Third Securities, Inc.03-19-2012
Cindy TrammellMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley04-16-2012
Brett Tyler HuntMerrill Lynch, Pierce, Fenner & Smith IncorporatedCincinnati Analysts, Inc.04-18-2012
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Showing 1 to 25 of 84 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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