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
John Michael WalshRBC Capital Markets, LLCAllianz Life Financial Services, LLC08-06-2014
Daniel Joseph EnrightRBC Capital Markets, LLCAmeriprise Financial Services, Inc.07-16-2019
Bjorn William AmundsonRBC Capital Markets, LLCAmeriprise Financial Services, Inc.$10001-04-2016
John GieseRBC Capital Markets, LLCBarclays Capital Inc.04-16-2012
William James Hocking, Daniel James HockingRBC Capital Markets, LLCCitigroup Global Markets Inc.$15005-11-2009
William Timothy OlsonRBC Capital Markets, LLCCitigroup Global Markets Inc.03-26-2009
David Paul OlsonRBC Capital Markets, LLCCitigroup Global Markets Inc.03-26-2009
Anthony Francis RickerRBC Capital Markets, LLCDougherty & Company LLC$2504-17-2009
Paul Vincent MulroyRBC Capital Markets, LLCFerris, Baker Watts, LLC03-13-2009
Austin Richard BalmRBC Capital Markets, LLCForesters Financial Services, Inc.09-19-2016
Peter Gustave Opp, Jessica Rae Wright, Joel Charles KozlakRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10001-18-2019
Carter Harrison FreemanRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5006-12-2017
Benjamin J FreemanRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated06-12-2017
Joseph Martin PicheRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1,00004-20-2017
Kyle NielsenRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-21-2017
Mark James SmithRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$4901-18-2017
Steven E CulbertRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2501-18-2017
Gregory D LunakRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-17-2017
Jesse Andrew BengtsonRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2508-22-2014
Jeffrey Jones MarsRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated04-01-2009
Richard Charles KnowltonRBC Capital Markets, LLCMorgan Stanley$5009-28-2018
Paul Richard MeyerRBC Capital Markets, LLCMorgan Stanley$9010-11-2017
Douglas James ThompsonRBC Capital Markets, LLCMorgan Stanley$2510-17-2014
Thomas Arthur SwanRBC Capital Markets, LLCMorgan Stanley11-20-2013
Stephen William DaviesRBC Capital Markets, LLCMorgan Stanley05-23-2013
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Showing 1 to 25 of 58 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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