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
Kenneth Joseph Fisher IIIRBC Capital Markets, LLCFerris, Baker Watts, LLC$2503-13-2009
Brian Michael GriffinRBC Capital Markets, LLCFerris, Baker Watts, LLC$2503-13-2009
Jeffrey Marvin JoyRBC Capital Markets, LLCFerris, Baker Watts, LLC$2503-13-2009
James Paul WymanRBC Capital Markets, LLCFerris, Baker Watts, LLC$2503-13-2009
Michael Richard LintelmanRBC Capital Markets, LLCFerris, Baker Watts, LLC03-13-2009
James Philip SporrerRBC Capital Markets, LLCFerris, Baker Watts, LLC03-13-2009
Michael Joseph CondronRBC Capital Markets, LLCFerris, Baker Watts, LLC03-13-2009
Sanford Lee EhrenreichRBC Capital Markets, LLCFerris, Baker Watts, LLC03-13-2009
Ralph David EastwickRBC Capital Markets, LLCCitigroup Global Markets Inc.03-26-2009
Jeffrey Donald HallRBC Capital Markets, LLCCitigroup Global Markets Inc.$15005-07-2009
Eric Donald PetersonRBC Capital Markets, LLCCitigroup Global Markets Inc.05-28-2009
Mark Richard SnyderRBC Capital Markets, LLCMorgan Stanley$15006-11-2009
Charles Albert Koch Jr., Timothy Wayne EngleRBC Capital Markets, LLCMorgan Stanley$15006-11-2009
Brian Alden FieldsRBC Capital Markets, LLCMorgan Stanley$5006-11-2009
Kurt Patrick Luckenbill, James Spottswood Gibson, Heidi Martha DuckworthRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$10008-11-2009
Michael Joseph NagleRBC Capital Markets, LLCUBS Financial Services Inc.09-03-2009
Louis Anthony VaraneseRBC Capital Markets, LLCJ. B. Hanauer & Co.10-09-2009
Eric James StephenRBC Capital Markets, LLCJ. B. Hanauer & Co.10-09-2009
Christopher John PuscianRBC Capital Markets, LLCJ. B. Hanauer & Co.10-09-2009
James Patterson Sterrett Jr.RBC Capital Markets, LLCJ. B. Hanauer & Co.10-09-2009
Scott Alexander KarkennyRBC Capital Markets, LLCMorgan Stanley$5003-02-2012
Scott Alan Sides, Thomas Bradley McCracken, Brock Raymond Hively, Joshua Patrick SmeltzerRBC Capital Markets, LLCMorgan Stanley$5004-19-2012
Denise Renee PotterRBC Capital Markets, LLCMorgan Stanley04-19-2012
Jean Craige PepperRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10005-31-2012
Kathryn Edith MacdonaldRBC Capital Markets, LLCMorgan Stanley08-24-2012
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Showing 1 to 25 of 67 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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