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
Jorge M OliveiraOppenheimer & Co. Inc.Morgan Stanley$5006-14-2019
Hollis Lynn HermanOppenheimer & Co. Inc.Ameriprise Financial Services, Inc.$9702-12-2019
Stephen GirontaOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC$1,00002-06-2019
Daniel Ross SchmiederOppenheimer & Co. Inc.Morgan Stanley01-29-2019
Herbert Spencer ThorntonOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC$15001-25-2019
Whitney C RuggOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-04-2019
Alexander S GarrettOppenheimer & Co. Inc.Ameriprise Financial Services, Inc.$15012-10-2018
Willcox Keith BaileyOppenheimer & Co. Inc.UBS Financial Services Inc.$10012-07-2018
John Howard Kay Jr.Oppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$20011-30-2018
Roger Henry FelberbaumOppenheimer & Co. Inc.RBC Capital Markets, LLC$50011-29-2018
Charles Richard MontgomeryOppenheimer & Co. Inc.ADP Broker-Dealer, Inc.11-13-2018
Martin Lewis WaldmanOppenheimer & Co. Inc.Raymond James & Associates, Inc.$111-02-2018
Oscar Andres RicoOppenheimer & Co. Inc.The GMS Group, LLC$111-02-2018
Larry Alan SchwartzmanOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC$5009-28-2018
Anthony Charles RudaOppenheimer & Co. Inc.B. Riley Wealth Management09-14-2018
Robert Alan CoronaOppenheimer & Co. Inc.Ameriprise Financial Services, Inc.$1009-12-2018
Kevin Lyle Daniel Jr.Oppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5009-11-2018
Gustavo Santos MiramontesOppenheimer & Co. Inc.Wedbush Securities Inc.$5008-13-2018
Sean Daniel BurkeOppenheimer & Co. Inc.The Jeffrey Matthews Financial Group, L.L.C.$10008-13-2018
James Ellington White Jr.Oppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC$15008-07-2018
Raymond Keith MalickiOppenheimer & Co. Inc.Morgan Stanley08-03-2018
Ronald Luther BucherOppenheimer & Co. Inc.Raymond James & Associates, Inc.$9107-26-2018
Michael William NapierOppenheimer & Co. Inc.Morgan Stanley$2507-16-2018
Terence Neal MortonOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC06-19-2018
Mark Roger BogertOppenheimer & Co. Inc.Morgan Stanley$10006-13-2018
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Showing 1 to 25 of 850 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.


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