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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Lloyd William Montgomery IIIRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-17-2009
Nikolaus K. WearschRaymond James Financial Services, Inc.Morgan Stanley$10011-23-2009
James Bradley WattRaymond James Financial Services, Inc.UBS Financial Services Inc.11-23-2009
Ted Mason TignorRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-01-2009
Ann Marie WestRaymond James Financial Services, Inc.MetLife Securities Inc.12-01-2009
John Vincent WeitzelRaymond James Financial Services, Inc.Transamerica Financial Advisors, Inc12-01-2009
Matthew B. CallanRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-01-2009
Douglas Emerson SmithRaymond James Financial Services, Inc.Morgan Stanley$5012-03-2009
Brian DorflingerRaymond James Financial Services, Inc.Edward Jones12-03-2009
Brian Timothy DuffyRaymond James Financial Services, Inc.Edward Jones12-04-2009
Richard Chadwick DavisRaymond James Financial Services, Inc.First Citizens Financial Plus, Inc.12-04-2009
Gary Mac MitchellRaymond James Financial Services, Inc.Raymond James & Associates, Inc.12-11-2009
Roger Warren MooreRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-11-2009
Kevin James BallRaymond James Financial Services, Inc.Raymond James & Associates, Inc.12-18-2009
Martina Delese GoddardRaymond James Financial Services, Inc.Cetera Investment Services LLC01-05-2010
Derek Seiyu UeharaRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$20001-07-2010
John Denison ArmatiRaymond James Financial Services, Inc.Morgan Stanley$5001-08-2010
Scott William McDermottRaymond James Financial Services, Inc.Morgan Stanley$2501-08-2010
John Joseph TekavecRaymond James Financial Services, Inc.Cetera Investment Services LLC01-11-2010
Holly Cooper StallworthRaymond James Financial Services, Inc.Cetera Investment Services LLC01-11-2010
Terry Lynn NibargerRaymond James Financial Services, Inc.Cambridge Investment Research, Inc.$5001-19-2010
Keith Harold HolstenRaymond James Financial Services, Inc.Edward Jones$5001-22-2010
Raleigh E. Horne Jr.Raymond James Financial Services, Inc.UBS Financial Services Inc.$10002-02-2010
William Leonard Berry Jr.Raymond James Financial Services, Inc.Raymond James & Associates, Inc.$15002-03-2010
Andrew Michael Vargo Jr.Raymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-04-2010
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Showing 226 to 250 of 2,330 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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