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
Thomas Shannon Lott Sr.SA Stone Wealth Management Inc.Morgan Stanley$50006-12-2009
Patrick Martin MullenRaymond James Financial Services, Inc.Morgan Stanley$25007-10-2009
Jonathan L WarrenThe Leaders Group, Inc.Morgan Stanley07-24-2009
Chadwick David CarrickSterne, Agee & Leach, Inc.Morgan Stanley$50009-14-2009
Donald Sherwood LundyAmeriprise Financial Services, Inc.Morgan Stanley$50001-04-2010
Kenneth Dale Griffin Sr.Ameriprise Financial Services, Inc.Morgan Stanley01-15-2010
Virginia Lee NixonRaymond James Financial Services, Inc.Morgan Stanley01-21-2010
William Lee Howell Jr.Ameriprise Financial Services, Inc.Morgan Stanley$50002-01-2010
Kim F. LepleyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10003-12-2010
Fletcher Gibson IIRaymond James Financial Services, Inc.Morgan Stanley$50003-16-2010
John Anthony LaceyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$25004-06-2010
Sergio D'Oliveira, Francisco D'Oliveira, Leonardo Silva, Tod FrickMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$27906-18-2010
Robert Terry MooreMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$50007-23-2010
Bruce Henry SokolRaymond James Financial Services, Inc.Morgan Stanley$10009-01-2010
Lehman Benjamin Easterling Jr.Stifel, Nicolaus & Company, IncorporatedMorgan Stanley$15009-20-2010
Lehman Benjamin Easterling IIIStifel, Nicolaus & Company, IncorporatedMorgan Stanley09-20-2010
Johnny Floyd DunnStifel, Nicolaus & Company, IncorporatedMorgan Stanley$10010-05-2010
Dennis Randall LairdAmeriprise Financial Services, Inc.Morgan Stanley$15010-15-2010
Pearson Compton MatthewsAmeriprise Financial Services, Inc.Morgan Stanley$25010-15-2010
Angelo Michael FerlisiAmeriprise Financial Services, Inc.Morgan Stanley$25010-15-2010
Robert William MorrisAmeriprise Financial Services, Inc.Morgan Stanley$50010-15-2010
Richard Dean Thome Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10010-21-2010
Jason M. HealyCUNA Brokerage Services, Inc.Morgan Stanley$10011-01-2010
Kimberly Sue CyrStifel, Nicolaus & Company, IncorporatedMorgan Stanley$25011-30-2010
David F. Evans Jr.Stifel, Nicolaus & Company, IncorporatedMorgan Stanley$25011-30-2010
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Showing 1 to 25 of 100 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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