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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Abu B M FarukhRaymond James & Associates, Inc.Morgan Stanley$5002-29-2012
Alana P ScottRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5006-30-2017
Andrew James StoutRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15010-04-2012
Andrew Michael WaldbaumRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5007-10-2014
Anthony Charles HanRaymond James & Associates, Inc.Deutsche Bank Securities Inc.$5009-06-2016
Barbara Ruth NodaRaymond James & Associates, Inc.Deutsche Bank Securities Inc.09-06-2016
Benjamin Bader RoseRaymond James & Associates, Inc.Howe Barnes Hoefer & Arnett, Inc.$10004-01-2011
Bruce Howard TreitmanRaymond James & Associates, Inc.Deutsche Bank Securities Inc.$3,61509-06-2016
Caspar Tudor-PoleRaymond James & Associates, Inc.J.P. Morgan Securities LLC04-12-2018
Charles James SmithRaymond James & Associates, Inc.Howe Barnes Hoefer & Arnett, Inc.$2504-01-2011
Christopher Allen HornerRaymond James & Associates, Inc.Morgan Stanley10-25-2010
Christopher James NolanRaymond James & Associates, Inc.Morgan Stanley$5010-20-2017
Christopher S. WengRaymond James & Associates, Inc.UBS Financial Services Inc.05-30-2019
Clinton Grant GravesRaymond James & Associates, Inc.Morgan Stanley$6902-26-2016
Collin Larry RiglerRaymond James & Associates, Inc.RBC Capital Markets, LLC12-14-2017
Dana Paul GoldfarbRaymond James & Associates, Inc.Oppenheimer & Co. Inc.$5002-19-2010
Darian Jason CohenRaymond James & Associates, Inc.Deutsche Bank Securities Inc.09-06-2016
David Barrett BermanRaymond James & Associates, Inc.Oppenheimer & Co. Inc.$10009-15-2014
David Brian HolmesRaymond James & Associates, Inc.Deutsche Bank Securities Inc.$10009-06-2016
David F NeunuebelRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$5004-11-2014
David Scott NotricaRaymond James & Associates, Inc.Morgan Stanley08-28-2009
David TrunecekRaymond James & Associates, Inc.Compak Securities, Inc.08-02-2013
Deanna V DerosaRaymond James & Associates, Inc.Morgan Stanley$25710-20-2017
Derek Robert MarquisRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$15003-26-2009
Douglas Alfred BerlRaymond James & Associates, Inc.Deutsche Bank Securities Inc.09-06-2016
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Showing 1 to 25 of 107 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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