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
Zachary Nolan HoyleWells Fargo Clearing Services, LLCMorgan Stanley10-03-2011
Shannon Owen MooreWells Fargo Clearing Services, LLCNorthern Trust Securities, Inc.10-24-2011
Harry Eugene TharpWells Fargo Clearing Services, LLCMorgan Stanley12-02-2011
Jay Kurt BrownWells Fargo Clearing Services, LLCRBC Capital Markets, LLC12-20-2011
Paul Robert HammersmithWells Fargo Clearing Services, LLCLPL Financial LLC01-03-2012
Patrick Joseph CliffordWells Fargo Clearing Services, LLCMorgan Stanley$5001-13-2012
Robert Raymond RobertiWells Fargo Clearing Services, LLCMorgan Stanley02-03-2012
Randal Bertron KeethWells Fargo Clearing Services, LLCRaymond James & Associates, Inc.$10002-23-2012
Naomi Nicole RhodesWells Fargo Clearing Services, LLCMorgan Stanley02-27-2012
John Richardson HarrellWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$20003-21-2012
Roger Stephen SzczypienWells Fargo Clearing Services, LLCChase Investment Services Corp.03-30-2012
John Mark HumphriesWells Fargo Clearing Services, LLCBBVA Compass Investment Solutions, Inc.04-10-2012
Leonid M. OnyiegoWells Fargo Clearing Services, LLCChase Investment Services Corp.04-13-2012
Sandra A BotticelliWells Fargo Clearing Services, LLCMorgan Stanley05-04-2012
Jeffrey NelsonWells Fargo Clearing Services, LLCEdward Jones05-11-2012
Armando Juan DeleonWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10005-25-2012
Alejandro Armando De LeonWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10005-25-2012
Scott Christopher VlasiWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-25-2012
Crystal SalazarWells Fargo Clearing Services, LLCChase Investment Services Corp.07-06-2012
Jason A. HoofnagleWells Fargo Clearing Services, LLCMorgan Stanley$15008-31-2012
Peggy Weisenfelder EtheridgeWells Fargo Clearing Services, LLCMorgan Stanley$10008-31-2012
Christopher Dyer QueenWells Fargo Clearing Services, LLCMorgan Stanley$5008-31-2012
Benton Curtis LacyWells Fargo Clearing Services, LLCBBVA Compass Investment Solutions, Inc.08-31-2012
Carol Elaine WhitleyWells Fargo Clearing Services, LLCWFG Investments, Inc.10-15-2012
Jeanette Mary AllanWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC10-19-2012
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Showing 176 to 200 of 448 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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