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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Christopher John RoeringWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$15001-09-2009
Peter V CarusoWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$15001-09-2009
Michael David MachnowskiWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$15001-09-2009
Paul Francis DiianniWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$10001-09-2009
Michael Smith KelleherWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$5001-09-2009
Patrick Bernard HollandWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.01-09-2009
Dwain Allen DadolyWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$5002-04-2009
Bradley Wayne SmallWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$15002-20-2009
William George BelezosWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.02-20-2009
Gregory Joseph LeeWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.02-20-2009
Christopher James GoliniWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.05-08-2009
Kellie Dianne JacquesWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.05-08-2009
Marissa G KivettWells Fargo Clearing Services, LLCMorgan Stanley09-22-2009
George Ross Birch Jr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.$10012-03-2009
Kevin Edward BirchWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10012-03-2009
Stephen Albert ZahkaWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5005-28-2010
Kenneth Thomas ConnorsWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.08-26-2010
David Hughes LeblondWells Fargo Clearing Services, LLCMorgan Stanley$10009-16-2010
John Adam Ptak Jr.Wells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-03-2011
Dominique Anne DonovanWells Fargo Clearing Services, LLCInvestors Capital Corp.07-11-2011
Leland Thomas OldhamWells Fargo Clearing Services, LLCUBS Financial Services Inc.$15009-30-2011
Alan Bradley StaytonWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5009-30-2011
Christopher John McCarthyWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-07-2011
John C. RileyWells Fargo Clearing Services, LLCMorgan Stanley11-30-2011
Brian Richard CunniffWells Fargo Clearing Services, LLCUBS Financial Services Inc.07-09-2012
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Showing 1 to 25 of 80 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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