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.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Anne M HattonMorgan StanleyBMO Harris Financial Advisors, Inc.07-18-2019
Andrew James ManginMorgan StanleyNexPoint Securities, Inc.10-23-2018
Jeremy Paul AppletonMorgan StanleyCUNA Brokerage Services, Inc.$5007-20-2018
Carol Ann RosenstockMorgan StanleyThree Lakes Securities, LLC01-19-2018
Timothy Michael PiaseckiMorgan StanleyWFA Asset Management Corp10-24-2017
Patricia Carlin Anderson, Jeffrey Allen Novak, Steven SchenkMorgan StanleyUBS Financial Services Inc.$2506-23-2017
Michael Christopher BernardMorgan StanleyWells Fargo Clearing Services, LLC04-28-2017
Susan Marie SykesMorgan StanleyRBC Capital Markets, LLC$5003-10-2017
Todd James BardenMorgan StanleyUBS Financial Services Inc.$1407-22-2016
Michelle Ann MaciosekMorgan StanleyUBS Financial Services Inc.$2502-12-2016
Kurtis Lee MaltbyMorgan StanleyH. Beck, Inc.02-12-2016
Douglas Wayne DickinsonMorgan StanleyThe Leaders Group, Inc.01-26-2016
John Paul Cobey, James Patrick Westphal, Michael Thomas Schiek, James Murphy SiddersMorgan StanleyWells Fargo Clearing Services, LLC$5008-29-2014
Patrick Robert RohdeMorgan StanleyJ.P. Morgan Securities LLC03-10-2014
Daniel Charles BenedumMorgan StanleyWells Fargo Funds Distributor, LLC02-07-2014
John Joseph Lerose IIIMorgan StanleyMetLife Securities Inc.01-31-2014
Lashell Louise LentzMorgan StanleyBMO Harris Financial Advisors, Inc.11-08-2013
Justin Daniel GoninenMorgan StanleyEnrich Financial Partners LLC$5005-30-2013
Debra Ann SteflMorgan StanleyWells Fargo Clearing Services, LLC11-02-2012
Ali GarbaMorgan StanleyWells Fargo Clearing Services, LLC$2508-03-2012
Steven BriggsMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$20006-04-2012
Arthur John Schweitzer, James Gregory PondelMorgan StanleyWells Fargo Clearing Services, LLC$5005-11-2012
Eric Timothy KaplaMorgan StanleyMetLife Securities Inc.08-19-2011
Kurt Robert KoehlerMorgan StanleyM&I Financial Advisors, Inc.$10005-06-2011
Steven John IndermuehleMorgan StanleyEdward Jones$2511-05-2010
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Showing 1 to 25 of 130 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.


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