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
John Wayne JohnsonStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Michael Carter Van StraatenStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Amy Lynn DoughtyStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Andrea Christine JohnsonStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Jonathan B. Ricks Jr.Stifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Matthew Dean PhillipsStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Joseph Adams WallaceStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Mark Anthony RogoStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Patrick Joseph CoreyStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Erik Earl FinangerStifel, Nicolaus & Company, IncorporatedRaymond James Financial Services, Inc.10-23-2009
Mark Steven MerryfieldStifel, Nicolaus & Company, IncorporatedMorgan Stanley$15010-29-2009
Tony David MayStifel, Nicolaus & Company, IncorporatedMorgan Stanley$10010-29-2009
Robert Sabetai AbrahamStifel, Nicolaus & Company, IncorporatedMorgan Stanley$2510-29-2009
Larry Eugene JamesStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC11-04-2009
Samuel Lynn LafeversStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$15011-09-2009
Raymond Alan IversenStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$10011-18-2009
Staci D. Smith LantagneStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC11-19-2009
Brent WoolstenhulmeStifel, Nicolaus & Company, IncorporatedMorgan Stanley12-17-2009
John Sherman SecondStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC12-21-2009
Timothy Patrick O'ConnellStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC12-21-2009
Kimberly Rae KletschkeStifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC$5001-05-2010
Michael Victor SwitchenkoStifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC$5001-21-2010
Bernard Allen Spielman IIStifel, Nicolaus & Company, IncorporatedMorgan Stanley02-01-2010
Keith Allen WalkerStifel, Nicolaus & Company, IncorporatedWells Fargo Investments, LLC02-01-2010
Christopher Glenn NeweyStifel, Nicolaus & Company, IncorporatedAIG Capital Services, Inc.02-01-2010
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Showing 301 to 325 of 1,487 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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