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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
James Richard SevillaStifel, Nicolaus & Company, IncorporatedMorgan Stanley06-12-2009
James David OestreichStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$20006-15-2009
William Mills BrownStifel, Nicolaus & Company, IncorporatedMorgan Stanley$2506-16-2009
Steven John BartosStifel, Nicolaus & Company, IncorporatedMorgan Stanley06-17-2009
Roy Kevin WilliamsStifel, Nicolaus & Company, IncorporatedMorgan Stanley06-17-2009
Michael Lewis ClabaughStifel, Nicolaus & Company, IncorporatedMorgan Stanley$10006-19-2009
Frederick Louis Ridgway Jr.Stifel, Nicolaus & Company, IncorporatedMorgan Stanley06-19-2009
Robert Stephen Bacskai Jr.Stifel, Nicolaus & Company, IncorporatedMorgan Stanley$2506-23-2009
Susan Jean AllanStifel, Nicolaus & Company, IncorporatedMorgan Stanley$2506-23-2009
David Bennett WoffindinStifel, Nicolaus & Company, IncorporatedMorgan Stanley$1006-23-2009
Robert Peter CampolongoStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$5006-24-2009
Daniel John O'Mara Jr.Stifel, Nicolaus & Company, IncorporatedMorgan Stanley$2506-26-2009
Christian Hax McCullough IIIStifel, Nicolaus & Company, IncorporatedMorgan Stanley06-29-2009
Charles Crawford ShimerStifel, Nicolaus & Company, IncorporatedMorgan Stanley06-30-2009
Mark Charles DarnellStifel, Nicolaus & Company, IncorporatedMorgan Stanley06-30-2009
James Charles KilleenStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$10007-06-2009
Kevin Lee FronekStifel, Nicolaus & Company, IncorporatedRobert W. Baird & Co. Incorporated07-08-2009
Gregory Paul FreemanStifel, Nicolaus & Company, IncorporatedRobert W. Baird & Co. Incorporated07-08-2009
Roger Albert BaughmanStifel, Nicolaus & Company, IncorporatedRobert W. Baird & Co. Incorporated07-09-2009
James Paisley BangsStifel, Nicolaus & Company, IncorporatedMorgan Stanley07-13-2009
Charles Havnor Coakley Jr.Stifel, Nicolaus & Company, IncorporatedRobert W. Baird & Co. Incorporated07-13-2009
Kathleen Driscoll ReasorStifel, Nicolaus & Company, IncorporatedLPL Financial LLC07-20-2009
Mark Anthony OttenStifel, Nicolaus & Company, IncorporatedMorgan Stanley$5007-23-2009
Michael Thomas PuenteStifel, Nicolaus & Company, IncorporatedMorgan Stanley$5007-29-2009
James Oneill LenaghanStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.08-14-2009
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Showing 126 to 150 of 1,485 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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