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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
William James BassowMorgan Stanley1st Global Capital Corp.$5003-15-2010
Glen Edward YoungMorgan StanleyAshton Young, Inc.$10003-09-2020
Charles J. HahnMorgan StanleyBarclays Capital Inc.04-07-2014
Catherine Bowen DanielMorgan StanleyBarclays Capital Inc.04-15-2013
Karen Lynn PoppemaMorgan StanleyBenjamin F. Edwards & Company, Inc.07-12-2019
Walter James Hails Jr.Morgan StanleyCharles Schwab & Co., Inc.05-14-2019
Ronny AclucheMorgan StanleyChase Investment Services Corp.10-04-2012
Anthony John TreboldiMorgan StanleyChase Investment Services Corp.09-28-2012
Robin Simone SpencerMorgan StanleyChase Investment Services Corp.06-01-2012
Patrick Joseph DowneyMorgan StanleyChase Investment Services Corp.$2501-13-2012
Kristie Lynn WaldorfMorgan StanleyChase Investment Services Corp.10-11-2011
Jim Alan Jarvis IIMorgan StanleyChase Investment Services Corp.10-10-2011
Erik D. KentMorgan StanleyCitizens Securities, Inc.03-12-2019
David D. Janke Jr.Morgan StanleyCitizens Securities, Inc.03-24-2016
Sarah Rose KloppenburgMorgan StanleyCity Securities Corporation03-20-2017
James Valley StuartMorgan StanleyComerica Securities$10002-04-2011
Jonathan P. WolfeMorgan StanleyEdward Jones08-23-2019
Joseph Andrew Rey Jr.Morgan StanleyEdward Jones$1005-31-2013
Reuben Robert RashtyMorgan StanleyFifth Third Securities, Inc.02-05-2020
Christian L BrandemihlMorgan StanleyFirst Heartland Consultants, Inc.08-12-2010
Kevin Dale GautMorgan StanleyGuggenheim Distributors, LLC10-04-2012
Lawrence Clay SpencerMorgan StanleyGWN Securities Inc.11-04-2010
Roger J KlauerMorgan StanleyHRT Execution Services LLC10-23-2012
Peter James AlmerothMorgan StanleyINVEST Financial Corporation06-28-2010
Zachary Steven PaulMorgan StanleyJ.P. Morgan Securities LLC07-17-2018
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Showing 1 to 25 of 146 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.