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
John Howard Kay Jr.Oppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$20011-30-2018
Anthony Charles RudaOppenheimer & Co. Inc.B. Riley Wealth Management09-14-2018
Eric Wellington DeemsOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-06-2017
Nicklaus R SerafiniOppenheimer & Co. Inc.Raymond James & Associates, Inc.07-06-2017
David Andrew BeatonOppenheimer & Co. Inc.Ameriprise Financial Services, Inc.$5005-22-2017
Allen Duane O'BrianOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2503-10-2017
Cheryl Lynn UnderwoodOppenheimer & Co. Inc.Independent Portfolio Consultants, Inc.$1,00001-11-2017
Kevin Thomas LynchOppenheimer & Co. Inc.Cantor Fitzgerald & Co.$101-06-2017
Regina Marie Lynch WickardOppenheimer & Co. Inc.Cantor Fitzgerald & Co.$1001-06-2017
Michael Joseph MurdockOppenheimer & Co. Inc.Ameriprise Financial Services, Inc.$15005-26-2016
Vera AugustyniakOppenheimer & Co. Inc.PNC Investments04-15-2016
Steven M ReausoOppenheimer & Co. Inc.PNC Investments03-02-2016
Athanacia Lallas FreyOppenheimer & Co. Inc.Cambridge Investment Research, Inc.$15012-18-2015
Ryan Colby HowardOppenheimer & Co. Inc.PNC Investments04-22-2015
Angelia Dorthea GroomOppenheimer & Co. Inc.INVEST Financial Corporation11-03-2014
David John BattsOppenheimer & Co. Inc.PNC Investments11-03-2014
Adam Ritter RichardsOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-03-2013
Scott Edward HeidemaOppenheimer & Co. Inc.Edward Jones$15010-02-2013
Kathleen Marie CourtrightOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-21-2013
Kathleen Yvonne ColinOppenheimer & Co. Inc.ICAP Corporates LLC$15003-21-2013
Kenneth Micheal BieriOppenheimer & Co. Inc.Hantz Financial Services, Inc.07-11-2012
John Steven FarquharsonOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC11-04-2011
Lewis Marlin RoweOppenheimer & Co. Inc.LPL Financial LLC08-29-2011
Daniel James WaskiewiczOppenheimer & Co. Inc.Northwestern Mutual Investment Services, LLC08-02-2011
Charles Bagley Ducharme IIOppenheimer & Co. Inc.Park Avenue Securities LLC07-20-2011
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Showing 1 to 25 of 39 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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