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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Alberto GonzalezsaintgeoursWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.11-28-2011
Andrew Russell MooreWells Fargo Clearing Services, LLCUMB Financial Services, Inc.11-21-2016
Bryan Edward BeattyWells Fargo Clearing Services, LLCThrivent Investment Management Inc.06-01-2012
Carlton Andre HarrisWells Fargo Clearing Services, LLCScottrade, Inc.03-13-2014
Christopher G. NeffWells Fargo Clearing Services, LLCNorthwestern Mutual Investment Services, LLC06-27-2017
Christopher John HarwellWells Fargo Clearing Services, LLCEdward Jones11-05-2015
Christopher KuhnWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-02-2011
Courtney Colleen GarzaWells Fargo Clearing Services, LLCMorgan Stanley09-07-2016
Curt M. KruseWells Fargo Clearing Services, LLCU.S. Bancorp Investments, Inc.$10009-28-2015
Cynthia L RutherfordWells Fargo Clearing Services, LLCFirst Clearing, LLC11-11-2016
Darlene Marie SmithWells Fargo Clearing Services, LLCPurshe Kaplan Sterling Investments12-12-2017
David E SchwartzWells Fargo Clearing Services, LLCLPL Financial LLC02-27-2015
David Patrick LuetkemeyerWells Fargo Clearing Services, LLCMorgan Stanley$5005-13-2010
David WernerWells Fargo Clearing Services, LLCEdward Jones06-20-2017
Dawn Lee DavisWells Fargo Clearing Services, LLCFirst Clearing, LLC11-11-2016
Floyd Gilbert Bickel IIIWells Fargo Clearing Services, LLCMorgan Stanley$15011-15-2011
Gary Charles SaeksWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10001-23-2009
Gary Francis EinigWells Fargo Clearing Services, LLCUBS Financial Services Inc.$22505-31-2016
George Sturdevant WanamakerWells Fargo Clearing Services, LLCHilltop Securities Inc.$10009-27-2013
Grady Shane HukeWells Fargo Clearing Services, LLCRaymond James Financial Services, Inc.$5011-10-2016
Gregory Dean HowardWells Fargo Clearing Services, LLCMorgan Stanley$5010-26-2011
Gregory Steven BennettWells Fargo Clearing Services, LLCMorgan Stanley$2508-22-2016
Gregory Vincent SullivanWells Fargo Clearing Services, LLCBenjamin F. Edwards & Company, Inc.$14303-18-2016
Gregory Voy SpearsWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-26-2015
Howard Eliott ShapiroWells Fargo Clearing Services, LLCFirst Clearing, LLC10-25-2011
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Showing 1 to 25 of 99 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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