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
Willcox Keith BaileyOppenheimer & Co. Inc.UBS Financial Services Inc.$10012-07-2018
Gary Marshall FriedmanOppenheimer & Co. Inc.Raymond James Financial Services, Inc.$5003-29-2018
Spencer Jones GarrettOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-20-2017
Harold Rucker VincentOppenheimer & Co. Inc.BB&T Investment Services, Inc.$104-20-2017
Shahzeib ParvezOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-22-2016
Thomas Norwood Anderson IIIOppenheimer & Co. Inc.UBS Financial Services Inc.$15007-02-2014
William Randolph ViaOppenheimer & Co. Inc.BB&T Securities, LLC05-15-2014
Everette Maurice Hardee IIIOppenheimer & Co. Inc.RBC Capital Markets, LLC$15005-11-2012
James William Coburn Jr.Oppenheimer & Co. Inc.RBC Capital Markets, LLC$15005-11-2012
Lelis Marina PondOppenheimer & Co. Inc.RBC Capital Markets, LLC05-11-2012
Mark Roy PondOppenheimer & Co. Inc.RBC Capital Markets, LLC05-11-2012
William J KavanaghOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15004-27-2012
Deborah A GoodermuthOppenheimer & Co. Inc.RBC Capital Markets, LLC03-11-2011
John Raymond KnudsonOppenheimer & Co. Inc.RBC Capital Markets, LLC03-11-2011
Kendall Dunn AveryOppenheimer & Co. Inc.RBC Capital Markets, LLC$15003-11-2011
Warren Ellwood Rowe Jr.Oppenheimer & Co. Inc.RBC Capital Markets, LLC$10003-11-2011
Daniel Stuart HellerOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC$5010-08-2010
Charles Allen Heyl IIOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC$5009-03-2010
James George StamesOppenheimer & Co. Inc.UBS Financial Services Inc.$10004-24-2009
Lynley R CavanaughOppenheimer & Co. Inc.Stanford Group Company$103-18-2009
Christopher Shepherd LongOppenheimer & Co. Inc.Stanford Group Company03-17-2009
David Maitland InnesOppenheimer & Co. Inc.Stanford Group Company03-17-2009
Robert C Long Jr.Oppenheimer & Co. Inc.Stanford Group Company$15003-09-2009

Showing 1 to 23 of 23 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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