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
Philip Thomas Garigan IIIRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00004-23-2018
Joseph Stradling BallantyneRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00011-09-2017
Stacy Hadnot QuiriRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00011-09-2017
Allen LangerRBC Capital Markets, LLCUBS Financial Services Inc.$111-03-2017
Joseph Fredrick MartinezRBC Capital Markets, LLCUBS Financial Services Inc.$15011-03-2017
Larry LytleRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5010-03-2017
Gregory James KraemerRBC Capital Markets, LLCVanguard Marketing Corporation11-21-2016
William Joseph HertzogRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00006-01-2016
Timothy Joseph DunneRBC Capital Markets, LLCUBS Financial Services Inc.$15005-08-2015
Charles Joseph Pisoni Jr.RBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$25009-12-2014
Teresa M AgrestaRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated08-29-2014
Samuel Todd LeeRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$15008-28-2014
Harold LangerRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-18-2012
John Gerald O'NeillRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-18-2012
Aaron Joseph CrowleyRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$50010-07-2011
Daniel Richard FoxRBC Capital Markets, LLCMorgan Stanley09-10-2010
Sydney Dawn FoxRBC Capital Markets, LLCMorgan Stanley09-10-2010
Jason William BraunsteinRBC Capital Markets, LLCMorgan Stanley$2508-06-2010
Shea Forester CreedRBC Capital Markets, LLCGlobal Atlantic Distributors, LLC10-15-2009
Michael John DwyerRBC Capital Markets, LLCRobert W. Baird & Co. Incorporated09-28-2009
Douglas Steven ManceRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10007-29-2009
Timothy Duffy CowdreyRBC Capital Markets, LLCBanc of America Investment Services, Inc.$1007-15-2009
Mark Gerard DewaneRBC Capital Markets, LLCUBS Financial Services Inc.$15005-04-2009
Joseph A Di Vito Jr.RBC Capital Markets, LLCUBS Financial Services Inc.03-11-2009
Susan Diane DubowRBC Capital Markets, LLCCitigroup Global Markets Inc.$3301-08-2009
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Showing 1 to 25 of 26 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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