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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Thomas Bruce KeeneUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
James Aubrey Sapp Jr.Wells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$20001-07-2009
Jonathan Scott ParkerWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10001-16-2009
David Eugene LewisCommonwealth Financial NetworkMerrill Lynch, Pierce, Fenner & Smith Incorporated03-06-2009
Janet Lee WilsonCommonwealth Financial NetworkMerrill Lynch, Pierce, Fenner & Smith Incorporated03-13-2009
Harry Lee JacksonLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-19-2009
Jason D. LandersKeel Point Capital, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated04-17-2009
John Randall GraysonLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated06-01-2009
Vester Mandiver Martin IIIEdward JonesMerrill Lynch, Pierce, Fenner & Smith Incorporated$2508-21-2009
Sergio Roberto D'Oliveira, Tod Emery Frick, Leonardo Magalhaes Coutinho Silva, Francisco Dal Poz D'OliveiraMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$15006-04-2010
Amy Elisabeth BaughmanMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated06-04-2010
Sergio D'Oliveira, Francisco D'Oliveira, Leonardo Silva, Tod FrickMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$27906-18-2010
Douglas R. FalkinburgHancock Whitney Investment Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-01-2010
Michael Collins Yarbrough, Jonathan David Lee, Charles Thomas Lee, Samuel Bentley Tucker, George Malone LiddonMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$15008-18-2010
Donna Suzanne CatesAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-18-2011
James Edward Kline, Harold Heath HendersonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2509-16-2011
Mary Onita WierNBC Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5011-23-2011
Lee Russell ApplebaumLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-15-2011
Don Gill, William LaRosaMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$47001-11-2012
Gilbert Todd Meadows IIIWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-01-2012
Henry J HagoodMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$2504-16-2012
Stephen Starling ViseMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$2504-16-2012
Richard A ViseMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated04-16-2012
William Wesley Neighbors Jr.LPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-23-2012
Gaines E. Grelier KohnSynovus Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-31-2012
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Showing 1 to 25 of 75 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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