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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Teresa Rose SoppetRBC Capital Markets, LLCOppenheimer & Co. Inc.01-05-2009
Joseph Thompson BinderRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-05-2009
Dennis Dingman HobbsRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-07-2009
Susan Diane DubowRBC Capital Markets, LLCCitigroup Global Markets Inc.$5001-08-2009
Lance Duncan NewlinRBC Capital Markets, LLCUBS Financial Services Inc.$5001-08-2009
Christopher J DorsiRBC Capital Markets, LLCCitigroup Global Markets Inc.$2501-08-2009
Sean Matthew O'NeillRBC Capital Markets, LLCUBS Financial Services Inc.$2501-08-2009
Shelley Leah JohnsonRBC Capital Markets, LLCUBS Financial Services Inc.$1001-08-2009
William Thomas HedgesRBC Capital Markets, LLCUBS Financial Services Inc.01-08-2009
Bruce Leon KalajianRBC Capital Markets, LLCCitigroup Global Markets Inc.$10001-09-2009
Edward C G Tyree IIIRBC Capital Markets, LLCCitigroup Global Markets Inc.$5001-09-2009
Gary Michael PetrucciRBC Capital Markets, LLCUBS Financial Services Inc.$5001-09-2009
Jeffrey Davis CurrieRBC Capital Markets, LLCUBS Financial Services Inc.01-09-2009
Thomas John BrandtRBC Capital Markets, LLCUBS Financial Services Inc.$20001-16-2009
Rhett Paul Neuman, Brent Lee Hanson, Eric Daniel St. MartinRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$15001-16-2009
Barry Raymon NathansonRBC Capital Markets, LLCWells Fargo Clearing Services, LLC01-16-2009
Andrew Jeff PickettRBC Capital Markets, LLCCitigroup Global Markets Inc.$2501-30-2009
Reva ShakkottaiRBC Capital Markets, LLCNeuberger Berman LLC01-30-2009
Richard A SorensonRBC Capital Markets, LLCUBS Financial Services Inc.02-03-2009
Gary Stephen SennikoffRBC Capital Markets, LLCCitigroup Global Markets Inc.$10002-04-2009
Todd Greaves BosworthRBC Capital Markets, LLCCitigroup Global Markets Inc.$5002-04-2009
Amy E. PrahserRBC Capital Markets, LLCCitigroup Global Markets Inc.02-04-2009
Steven Craig AndersonRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2502-05-2009
Curtis Wallace Faulkner, Elizabeth A. HoefleRBC Capital Markets, LLCMorgan Stanley & Co. LLC02-05-2009
John Milton Haas Jr.RBC Capital Markets, LLCCitigroup Global Markets Inc.$2502-06-2009
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Showing 1 to 25 of 916 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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