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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Mark A. FinelliPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$50008-15-2019
Glenn Richmond RoyalPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$50006-14-2019
Michele Alice JonesPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$50006-14-2019
Natalie Carol PichaPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated06-14-2019
Jonathan David MarkoePurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$50010-05-2018
Simon Matthew HolfordPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10005-18-2018
Iain Alexander WhytePurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$50005-18-2018
Virgil John RutiliPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated03-09-2018
Tonya Nicole SmoakePurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$15003-23-2017
Xerxes Soli MullanPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$50003-23-2017
Michael Patrick DowdPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$50009-21-2016
Frank Joseph PolsinelloPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated05-09-2016
Chad Steven LeveronePurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$50011-16-2015
Brieanne Hamelin DaceyPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated11-13-2015
Sarah Lyn KeysPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated11-06-2015
Diane Marie ManuelPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10010-01-2015
Ivan Orlando HernandezPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10009-04-2015
Michael Scott WagnerPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10009-04-2015
Steven Alan WagnerPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$50009-04-2015
Cherie Dale CohenPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated09-04-2015
Diana C. TorrePurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated09-04-2015
Brian R. FlynnPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$25006-11-2015
Lance Corey SchmidtPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated02-23-2015
David Brower RussellPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10007-25-2014
Herman Lubomir RijPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10005-02-2014
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Showing 1 to 25 of 54 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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