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
Steven David LewisRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$10005-06-2019
Frank Catrena Vargas Jr.RBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00005-01-2019
Scott D. BurnsRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$10005-01-2019
Arch F HoffmanRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-06-2019
Lu XuRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-06-2019
James Brian Lucas SugayRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$5002-20-2019
Brandon Todd YorkRBC Capital Markets, LLCMorgan Stanley$10011-07-2018
Christopher Michael SpenceRBC Capital Markets, LLCMorgan Stanley$5011-07-2018
Nicholas Blaise CirielloRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5010-12-2018
Elizabeth Louise ZimmerRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-12-2018
Brian Christian DentRBC Capital Markets, LLCUBS Financial Services Inc.$10008-16-2018
Adam Seth KreutnerRBC Capital Markets, LLCUBS Financial Services Inc.08-16-2018
Bruce Farrell RosenRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00008-15-2018
Frederick Oldshue Robertshaw Jr.RBC Capital Markets, LLCWells Fargo Clearing Services, LLC$5007-18-2018
John Randall PrinceRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5005-24-2018
Keith Michael LoegeringRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10005-22-2018
Timothy John CecchinRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-03-2018
Aaron Joseph SiskRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-03-2018
Travis Armand TownsendRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-03-2018
Douglas Keys GapperRBC Capital Markets, LLCJ.P. Morgan Securities LLC03-23-2018
Carlton Brien PaceRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$2501-16-2018
George Brian CastrillonRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-31-2017
Alan Edward GoldsteinRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$27210-27-2017
Larry Kirk PrutchRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10010-27-2017
Neil K FujitaRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-27-2017
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Showing 1 to 25 of 98 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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