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.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves

Filters

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Timothy Jason RileyWells Fargo Clearing Services, LLCMorgan Stanley06-26-2019
James John BannWells Fargo Clearing Services, LLCMorgan Stanley$5004-26-2019
Charles Michael CollinsWells Fargo Clearing Services, LLCMorgan Stanley05-20-2016
Sara Renee SteigerwaldWells Fargo Clearing Services, LLCMorgan Stanley05-06-2016
Stephen E. SchlauWells Fargo Clearing Services, LLCMorgan Stanley10-06-2015
Steven Francis O'BrienWells Fargo Clearing Services, LLCMorgan Stanley$5005-29-2015
Gary Alan Kling, Lynn Joy AndersonWells Fargo Clearing Services, LLCMorgan Stanley$2505-11-2015
Richard Michael SofiakWells Fargo Clearing Services, LLCMorgan Stanley$2505-01-2015
Munther B. AbdallahWells Fargo Clearing Services, LLCMorgan Stanley$2505-01-2015
Bernard B NeumanWells Fargo Clearing Services, LLCMorgan Stanley$10001-16-2015
Jonathan J NeumanWells Fargo Clearing Services, LLCMorgan Stanley$10001-16-2015
Stanford Reid SlovinWells Fargo Clearing Services, LLCMorgan Stanley$5001-16-2015
Alan FishmanWells Fargo Clearing Services, LLCMorgan Stanley$2501-16-2015
Patrick Kennedy CallaghanWells Fargo Clearing Services, LLCMorgan Stanley01-16-2015
Chin-Hui SuWells Fargo Clearing Services, LLCMorgan Stanley01-16-2015
Thomas Joseph PuccinelliWells Fargo Clearing Services, LLCMorgan Stanley01-16-2015
Steven Christopher UrosevichWells Fargo Clearing Services, LLCMorgan Stanley$5001-09-2015
Brian Louis VallowWells Fargo Clearing Services, LLCMorgan Stanley$2504-25-2014
John Thorp Blunt Jr.Wells Fargo Clearing Services, LLCMorgan Stanley06-05-2013
James Albert HuntWells Fargo Clearing Services, LLCMorgan Stanley04-18-2013
Stephen Allen FreidinWells Fargo Clearing Services, LLCMorgan Stanley$15007-19-2012
Larry Michael MallesWells Fargo Clearing Services, LLCMorgan Stanley$5007-19-2012
Matthew Lowell BrochWells Fargo Clearing Services, LLCMorgan Stanley$2509-30-2011
Judith Ann McNiffWells Fargo Clearing Services, LLCMorgan Stanley$2507-22-2011
James Van MooreWells Fargo Clearing Services, LLCMorgan Stanley$5005-13-2011
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Showing 1 to 25 of 32 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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