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
Brendan Christopher DoranRaymond James & Associates, Inc.MarketAxess Corporation10-09-2009
Joseph Michael CampoRaymond James & Associates, Inc.MF Global Inc.06-14-2010
Christopher James SwansonRaymond James & Associates, Inc.Waddell & Reed11-08-2011
Jeff Donald WolkRaymond James & Associates, Inc.Morgan Stanley$10004-05-2012
Edward Francis TillsRaymond James & Associates, Inc.Morgan Stanley04-11-2013
Brendan Thompson MosesRaymond James & Associates, Inc.Virtu Americas LLC04-15-2013
Michael Anthony GaffneyRaymond James & Associates, Inc.Gleacher & Company Securities, Inc.08-29-2013
Joseph BartumioliRaymond James & Associates, Inc.UBS Financial Services Inc.11-04-2013
Gregory J MitchellRaymond James & Associates, Inc.Morgan Stanley12-06-2013
Alex Ivan GallegoRaymond James & Associates, Inc.Stifel, Nicolaus & Company, Incorporated01-02-2014
Peter Joseph WalshRaymond James & Associates, Inc.Morgan Stanley02-14-2014
Lisa Jane WalshRaymond James & Associates, Inc.Morgan Stanley02-14-2014
James Martin PucciRaymond James & Associates, Inc.Stifel, Nicolaus & Company, Incorporated03-28-2014
James C PucciRaymond James & Associates, Inc.Stifel, Nicolaus & Company, Incorporated03-28-2014
Jason Matthew PucciRaymond James & Associates, Inc.Stifel, Nicolaus & Company, Incorporated03-28-2014
Gary Wayne FroudRaymond James & Associates, Inc.J.P. Morgan Securities LLC12-02-2014
Richard Alfred DevineRaymond James & Associates, Inc.J.P. Morgan Securities LLC12-02-2014
Howard FranzblauRaymond James & Associates, Inc.J.P. Morgan Securities LLC$10012-02-2014
David Brian BrennanRaymond James & Associates, Inc.J.P. Morgan Securities LLC12-02-2014
Al Christopher MyrieRaymond James & Associates, Inc.J.P. Morgan Securities LLC12-02-2014
Carin Jean FrederickRaymond James & Associates, Inc.UBS Financial Services Inc.04-15-2015
David Roger GaecklerRaymond James & Associates, Inc.UBS Financial Services Inc.10-30-2015
Mark Charles MarottaRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$13611-13-2015
Christopher John MahoneyRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$17011-13-2015
Kevin MahoneyRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$17311-13-2015
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Showing 1 to 25 of 75 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.