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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Thomas Shannon Lott SrSA Stone Wealth Management Inc.Morgan Stanley$5006-12-2009
Michael John WatersEdward JonesMorgan Stanley$2501-19-2010
Kim F LepleyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley03-12-2010
Fletcher Gibson IIRaymond James Financial Services, Inc.Morgan Stanley$5003-16-2010
John Anthony LaceyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5004-06-2010
James Edward KlinglerStifel, Nicolaus & Company, IncorporatedMorgan Stanley05-25-2010
Robert Emmet Seibels IiiStifel, Nicolaus & Company, IncorporatedMorgan Stanley$15005-25-2010
Michael Harlow LuckettStifel, Nicolaus & Company, IncorporatedMorgan Stanley$15005-25-2010
Benjamin Watson Walker IiiStifel, Nicolaus & Company, IncorporatedMorgan Stanley$15005-25-2010
Richard Leon KohnStifel, Nicolaus & Company, IncorporatedMorgan Stanley05-25-2010
Katye S DelashawStifel, Nicolaus & Company, IncorporatedMorgan Stanley$5005-25-2010
Sheree Luker Klingler Michael Luckett Robert Seibels III Benjamin Walker Richard Pee-Wee Kohn Katye DelashawStifel, Nicolaus & Company, IncorporatedMorgan Stanley$80005-27-2010
Robert T MooreMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5007-23-2010
Lehman Benjamin Easterling IiiStifel, Nicolaus & Company, IncorporatedMorgan Stanley09-20-2010
Johnny Floyd DunnStifel, Nicolaus & Company, IncorporatedMorgan Stanley$10010-05-2010
Angelo Ferlisi Randy Laird Bill Morris Pearson MatthewsAmeriprise Financial Services, LLCMorgan Stanley$13410-15-2010
Pearson Compton MatthewsAmeriprise Financial Services, LLCMorgan Stanley$1010-15-2010
Jason M HealyCUNA Brokerage Services, Inc.Morgan Stanley$2511-01-2010
Kimberly Sue CyrStifel, Nicolaus & Company, IncorporatedMorgan Stanley11-30-2010
David F Evans JrStifel, Nicolaus & Company, IncorporatedMorgan Stanley11-30-2010
Steven R HolleyRaymond James Financial Services, Inc.Morgan Stanley12-10-2010
Neil David EggersMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5007-07-2011
Stuart R HammMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley01-18-2012
Peter Pitts Barber SrSA Stone Wealth Management Inc.Morgan Stanley$2503-02-2012
Julie D HelmersMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley03-05-2012
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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.