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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Frank Michael D'AntuonoRBC Capital Markets, LLCUBS Financial Services Inc.03-26-2020
Dennis Carl LambertRBC Capital Markets, LLCMorgan Stanley03-13-2020
Ruth Boyer WhitlockRBC Capital Markets, LLCMorgan Stanley03-13-2020
Lindsay Sarah LambertRBC Capital Markets, LLCMorgan Stanley03-13-2020
Kendall Ray PfutzenreuterRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2501-24-2020
Kristi Lynn OwensRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-24-2020
Kevin Len CliftRBC Capital Markets, LLCMorgan Stanley$25006-14-2019
Matthew Douglas SheldahlRBC Capital Markets, LLCMorgan Stanley06-14-2019
Kyle Frederick CliftRBC Capital Markets, LLCMorgan Stanley06-14-2019
Harold Louis Green Jr.RBC Capital Markets, LLCRaymond James & Associates, Inc.$5004-22-2019
Ramakrishna GaliRBC Capital Markets, LLCUBS Financial Services Inc.$5001-31-2019
Joyce Mary MianiRBC Capital Markets, LLCMorgan Stanley05-11-2018
Robert Joseph FreyRBC Capital Markets, LLCMorgan Stanley$15005-11-2018
Cary Joseph TuckerRBC Capital Markets, LLCMorgan Stanley$5005-11-2018
Beth Ann JohnsonRBC Capital Markets, LLCMorgan Stanley$1005-11-2018
Robert George Dillenback IVRBC Capital Markets, LLCMorgan Stanley05-11-2018
Daniel Lord AustinRBC Capital Markets, LLCRaymond James & Associates, Inc.$10004-09-2018
Lindsey K. VickersRBC Capital Markets, LLCAXA Advisors, LLC11-27-2017
Carsten FrederiksenRBC Capital Markets, LLCMorgan Stanley11-02-2017
Paul Vincent HendershotRBC Capital Markets, LLCMorgan Stanley11-02-2017
William Ernest StockumRBC Capital Markets, LLCHilltop Securities Inc.10-10-2017
Robert Allen SmithRBC Capital Markets, LLCHilltop Securities Inc.08-04-2017
Tracy Annette HoltRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$5008-01-2017
Charles Robert CarsonRBC Capital Markets, LLCWells Fargo Clearing Services, LLC07-17-2017
Kevin Brent RobertsRBC Capital Markets, LLCMorgan Stanley$28405-24-2017
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Showing 1 to 25 of 101 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.