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 Askin FugerStifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.$15005-11-2009
James Richard JunodStifel, Nicolaus & Company, IncorporatedMorgan Stanley$5006-12-2009
Mark Charles DarnellStifel, Nicolaus & Company, IncorporatedMorgan Stanley06-30-2009
Vincent John O'BrienStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Steven Austin YenshawStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Jonathan B. Ricks Jr.Stifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Scott Metzner, Thomas AndisonStifel, Nicolaus & Company, IncorporatedA.G. Edwards & Sons06-10-2010
Thomas Christopher LewisStifel, Nicolaus & Company, IncorporatedMorgan Stanley01-28-2011
Joseph Robert GreenStifel, Nicolaus & Company, IncorporatedEdward Jones$5005-21-2012
Lynn Louise ColbyStifel, Nicolaus & Company, IncorporatedMorgan Stanley12-12-2012
Philip William SloanStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$20009-30-2013
Douglas Ray SpurlockStifel, Nicolaus & Company, IncorporatedRobert W. Baird & Co. Incorporated06-10-2015
Susan Louise RoseStifel, Nicolaus & Company, IncorporatedOppenheimer & Co. Inc.$22808-02-2016
Kevin Patrick CusackStifel, Nicolaus & Company, IncorporatedOppenheimer & Co. Inc.$22508-02-2016
Joseph Tyler HorlingsStifel, Nicolaus & Company, IncorporatedOppenheimer & Co. Inc.$15008-02-2016
James T. ShusterStifel, Nicolaus & Company, IncorporatedOppenheimer & Co. Inc.$2508-02-2016
Shawn Michael KersjesStifel, Nicolaus & Company, IncorporatedOppenheimer & Co. Inc.08-02-2016
Emily Jayne RoweStifel, Nicolaus & Company, IncorporatedOppenheimer & Co. Inc.08-02-2016
Jeff Tutor, Natasha SparksStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$20012-08-2016
Michael Anderson, Alvin Spencer, Richard Williams & Chris ArmourStifel, Nicolaus & Company, IncorporatedWells Fargo Advisors$60012-08-2016
Alvin Vernon Spencer Jr.Stifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$15012-08-2016
Jeffrey Michael TutorStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$11312-08-2016
Michael M AndersonStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC12-08-2016
Mark Andrew WielingaStifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC$2502-10-2017
Mark Wielinga, Rosario PetrizzoStifel, Nicolaus & Company, IncorporatedRBC Wealth Management$18002-13-2017
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Showing 1 to 25 of 53 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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