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
John Charles O'KeeffeRaymond James Financial Services, Inc.Citigroup Global Markets Inc.$10002-12-2009
Denise Simone SobczakRaymond James Financial Services, Inc.Citigroup Global Markets Inc.02-12-2009
Kenneth Joseph FitzpatrickRaymond James Financial Services, Inc.Citigroup Global Markets Inc.02-20-2009
Richard Barry KatzRaymond James Financial Services, Inc.Citigroup Global Markets Inc.$5003-02-2009
Robert Fredrick Hoffman IIIRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$15003-20-2009
Jason Mcteague ScheurerRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC03-24-2009
David Leon Shelly Jr.Raymond James Financial Services, Inc.PNC Investments04-24-2009
John Fitzgerald AcostaRaymond James Financial Services, Inc.Citigroup Global Markets Inc.$5004-24-2009
Brian Matthew FernandezRaymond James Financial Services, Inc.Citigroup Global Markets Inc.04-24-2009
James Francis Capen Jr.Raymond James Financial Services, Inc.Citigroup Global Markets Inc.$5005-08-2009
Meaghan HollywoodRaymond James Financial Services, Inc.Foresters Financial Services, Inc.05-19-2009
Timothy Paul CannuliRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-11-2009
Robert James BuckelewRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$20010-20-2009
Brian DorflingerRaymond James Financial Services, Inc.Edward Jones12-03-2009
John Edward FramptonRaymond James Financial Services, Inc.UBS Financial Services Inc.02-26-2010
Denis Joseph KennyRaymond James Financial Services, Inc.LPL Financial LLC04-13-2010
Robert John HeroldRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-07-2010
Mariellen D. StuebeRaymond James Financial Services, Inc.UBS Financial Services Inc.02-03-2011
Joseph James DecandiaRaymond James Financial Services, Inc.INVEST Financial Corporation$15007-15-2011
Raymond Thomas Spinelli Jr.Raymond James Financial Services, Inc.Citizens Securities, Inc.$15010-07-2011
Robert John StahlerRaymond James Financial Services, Inc.LPL Financial LLC12-01-2011
Mark Peter ParisiRaymond James Financial Services, Inc.LPL Financial LLC07-23-2012
Robert Charles Rooke Jr.Raymond James Financial Services, Inc.Morgan Stanley01-16-2013
Raymond John SuraRaymond James Financial Services, Inc.LPL Financial LLC03-06-2013
Eric Robert ListickRaymond James Financial Services, Inc.PNC Investments$2502-28-2014
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Showing 1 to 25 of 126 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.