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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Robert Timothy HigginsWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10003-01-2019
Edward Russell FromeWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.$101-25-2019
Kendra Elizabeth KlahrWells Fargo Clearing Services, LLCSantander Securities LLC01-09-2019
Allen Robert RosenbergWells Fargo Clearing Services, LLCMorgan Stanley$10011-28-2018
William Gerald O'Brien Jr.Wells Fargo Clearing Services, LLCMorgan Stanley$5011-28-2018
Daniel Aaron EngelWells Fargo Clearing Services, LLCTD Ameritrade, Inc.10-26-2018
David Michael Kolter Jr.Wells Fargo Clearing Services, LLCEdward Jones$109-14-2018
Duy Thanh VoWells Fargo Clearing Services, LLCAmerican Portfolios Financial Services, Inc.08-29-2018
Shawn David PearsonWells Fargo Clearing Services, LLCPNC Investments$15008-28-2018
Jason Luis RodriguezWells Fargo Clearing Services, LLCGoldman Sachs & Co.05-08-2018
Kathleen Patricia CicchinoWells Fargo Clearing Services, LLCPFS Investments Inc.03-13-2018
Thomas David KimmettWells Fargo Clearing Services, LLCEdward Jones$5002-23-2018
Emmanuel AngelopoulosWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-05-2018
David Alex MastroWells Fargo Clearing Services, LLCKey Investment Services LLC12-12-2017
Pierre Rumenigay CheryWells Fargo Clearing Services, LLCScottrade, Inc.12-12-2017
J Douglas Douglas RivaWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$112-08-2017
Philip J Fiore IIIWells Fargo Clearing Services, LLCMML Investors Services, LLC12-05-2017
Robert Joseph Sullivan Jr.Wells Fargo Clearing Services, LLCCitizens Securities, Inc.12-05-2017
William Roy Cashman IIIWells Fargo Clearing Services, LLCPNC Investments$2511-30-2017
Kevin Darnell NewmuisWells Fargo Clearing Services, LLCCitizens Securities, Inc.$15011-17-2017
Joseph Thomas JosephWells Fargo Clearing Services, LLCOppenheimer & Co. Inc.$5009-29-2017
Eric Joseph BonoWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.09-20-2017
Damon Mitchell DerstineWells Fargo Clearing Services, LLCMorgan Stanley$109-01-2017
Kenneth Charles Welsh Jr.Wells Fargo Clearing Services, LLCMorgan Stanley$8209-01-2017
Joseph Michael ConnellyWells Fargo Clearing Services, LLCPacer Financial, Inc.08-22-2017
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Showing 1 to 25 of 349 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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