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
Edmund Joseph Regan IIRBC Capital Markets, LLCMorgan Stanley$14302-19-2016
Andrew J. BaileyRBC Capital Markets, LLCMorgan Stanley02-01-2016
Kevin James CaputoRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$10001-15-2016
Young M. ChungRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10001-06-2016
Thomas Christophe PrenticeRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10001-06-2016
Michael Gray SchipperRBC Capital Markets, LLCRaymond James & Associates, Inc.$5001-05-2016
Jamie TamRBC Capital Markets, LLCOppenheimer & Co. Inc.07-24-2015
Michael ShermanRBC Capital Markets, LLCOppenheimer & Co. Inc.07-24-2015
Rachel Ann PaulinRBC Capital Markets, LLCFirst Republic Securities Company, LLC10-03-2014
Martin A Klein IIIRBC Capital Markets, LLCJ.P. Morgan Securities LLC$20006-25-2014
Wesley David PreviantRBC Capital Markets, LLCMorgan Stanley06-18-2014
William Walton BrownRBC Capital Markets, LLCJ.P. Morgan Securities LLC$10006-12-2014
Christopher Hans Wells, Ryan John Souligny, Jeremy Alfred PurschRBC Capital Markets, LLCMorgan Stanley01-10-2014
Lynn Ann BolandRBC Capital Markets, LLCOppenheimer & Co. Inc.11-22-2013
Jonathan Allan Resin, Philip Stephen Hammitt, Erin Lindsey HamptonRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10009-20-2013
Carolyn Bethany HurleyRBC Capital Markets, LLCPenniall & Associates08-13-2013
Kristian Pfeil SorensenRBC Capital Markets, LLCMorgan Stanley$2506-07-2013
Robert Bruce Marshall, William Gardner MarshallRBC Capital Markets, LLCMorgan Stanley05-01-2013
Clark Richard Morgan, Ronald Lynn ChapmanRBC Capital Markets, LLCMorgan Stanley$5002-06-2013
Benjamin Alan GoldbergRBC Capital Markets, LLCCitigroup Global Markets Inc.02-01-2013
Brian Lee RichmondRBC Capital Markets, LLCCitigroup Global Markets Inc.02-01-2013
Michael Allan IsolaRBC Capital Markets, LLCUBS Financial Services Inc.12-11-2012
Donald Ian Mills, Steven Eugene Lahre, Jeffrey Jon Fink, Brian Christopher NeaultRBC Capital Markets, LLCMorgan Stanley$10011-09-2012
Courtney E. AllenRBC Capital Markets, LLCMorgan Stanley11-09-2012
Christian Theodore ReuterRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5008-17-2012
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Showing 51 to 75 of 102 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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