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
Craig Louis SienaStifel, Nicolaus & Company, IncorporatedSterne, Agee & Leach, Inc.$1007-07-2015
David Cohen, Fredrick Bennett, Jeffrey HaikenStifel, Nicolaus & Company, IncorporatedJanney Montgomery Scott$28506-08-2015
Jeffrey L HaikenStifel, Nicolaus & Company, IncorporatedJanney Montgomery Scott LLC$1006-08-2015
Cindy Barbara HellmanStifel, Nicolaus & Company, IncorporatedSterne, Agee & Leach, Inc.06-05-2015
Christopher Edward IhlefeldStifel, Nicolaus & Company, IncorporatedSterne, Agee & Leach, Inc.06-05-2015
Fredrick Ross BennettStifel, Nicolaus & Company, IncorporatedJanney Montgomery Scott LLC$5005-15-2015
Michael Joseph PerroneStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$5003-06-2015
David Alan WeinerStifel, Nicolaus & Company, IncorporatedChrome Capital Management, LLC01-30-2015
Martin Harvey BermanStifel, Nicolaus & Company, IncorporatedJanney Montgomery Scott LLC12-19-2014
Henry Edward Frenzel IIIStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$3710-24-2014
Stephen S. Brown, James P. GoetzStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$2,50010-20-2014
James Peter Goetz Jr.Stifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$10010-20-2014
Eric Wayne KattenStifel, Nicolaus & Company, IncorporatedMorgan Stanley$2509-26-2014
Joseph Anthony Monaco Jr.Stifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC06-25-2014
Kurt UzbayStifel, Nicolaus & Company, IncorporatedMorgan Stanley$25005-02-2014
Kurt UzbayStifel, Nicolaus & Company, IncorporatedMorgan Stanley05-02-2014
Eric Jacob SingerStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC04-25-2014
Sheldon Oscar KramerStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC04-25-2014
Francine Lee FrechterStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC01-16-2014
Michael J. SullivanStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated11-25-2013
Patrick Joseph GaffneyStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated11-25-2013
Thomas Cleland SharpeStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC10-28-2013
Bruce I. GouldStifel, Nicolaus & Company, IncorporatedMorgan Stanley$37406-27-2013
Bruce Ian GouldStifel, Nicolaus & Company, IncorporatedMorgan Stanley$5006-24-2013
Michael Anthony MeyersStifel, Nicolaus & Company, IncorporatedDominick & Dickerman LLC$5005-03-2013
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Showing 76 to 100 of 132 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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