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
Janelle Marie KoesterWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.04-08-2009
Tracey Marie Kenney-BrayWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5004-24-2009
David Suk KoWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated04-24-2009
Richard Earl UmbargerWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$1,00005-01-2009
Lorraine Miranda SalinasWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-04-2009
Lyle Lindsay MeekWells Fargo Clearing Services, LLCRBC Capital Markets, LLC05-14-2009
Mike Chinwoo KimWells Fargo Clearing Services, LLCMorgan Stanley & Co. LLC$1,00005-29-2009
Donald Edson Johnson IIIWells Fargo Clearing Services, LLCNext Financial Group, Inc.05-29-2009
Vincent Peter KowskyWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2505-29-2009
Anna M SchererWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$1,00006-04-2009
Sylvia Helen GeffenWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$15006-04-2009
Gregg Steven ShallanWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$15006-04-2009
Blanche E ZelkoWells Fargo Clearing Services, LLCMorgan Stanley$1,00006-12-2009
Jarret E ConklinWells Fargo Clearing Services, LLCBanc of America Investment Services, Inc.$5006-19-2009
William Eugene YuntWells Fargo Clearing Services, LLCMorgan Stanley$15006-26-2009
James Robert BishopWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10006-26-2009
Jeff Kent BoswellWells Fargo Clearing Services, LLCMorgan Stanley$26406-26-2009
James Dale BurianWells Fargo Clearing Services, LLCMorgan Stanley$1,00006-30-2009
Gary Earl MillsWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00007-01-2009
John William OrendainWells Fargo Clearing Services, LLCMorgan Stanley$1,00008-03-2009
Stephanie Hwei Min NyceWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated08-03-2009
Donna P WillardWells Fargo Clearing Services, LLCMorgan Stanley$5008-06-2009
Prateek AmarWells Fargo Clearing Services, LLCMorgan Stanley$5008-10-2009
Neil ScheinbartWells Fargo Clearing Services, LLCMorgan Stanley$6208-14-2009
Barry Francis VergaWells Fargo Clearing Services, LLCMorgan Stanley$5008-20-2009
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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.