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
Gary Scott Jefferson, Nikolas Scott JeffersonUBS Financial Services Inc.Citigroup Global Markets Inc.$10001-05-2009
Sonia Prentice GrahamRaymond James & Associates, Inc.Morgan Stanley & Co. LLC01-30-2009
Lori Michelle BrownRaymond James & Associates, Inc.Morgan Stanley & Co. LLC01-30-2009
Kevin Thomas HornWells Fargo Clearing Services, LLCBanc of America Investment Services, Inc.$5002-05-2009
Jonathan D. PhanMML Investors Services, LLCPark Avenue Securities LLC02-11-2009
Melissa Ann KohlerLPL Financial LLCUBS Financial Services Inc.02-25-2009
Joseph Clayton GillilandRaymond James & Associates, Inc.Citigroup Global Markets Inc.$15002-27-2009
Debra Leanne PiercyWells Fargo Clearing Services, LLCBanc of America Investment Services, Inc.$1002-27-2009
Carrell Kirk BillingsleyFSC Securities CorporationAdvantage Capital Corporation02-27-2009
Matthew Scott JeterRaymond James & Associates, Inc.Citigroup Global Markets Inc.02-27-2009
William Earl ElderRaymond James Financial Services, Inc.Morgan Stanley & Co. LLC$2503-20-2009
Jacob Andrew SpringerRaymond James Financial Services, Inc.Morgan Stanley & Co. LLC03-20-2009
David Ryan PresleyLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-20-2009
Jenine Rochelle StaffordThrivent Investment Management Inc.Citigroup Global Markets Inc.03-23-2009
Raymond Ivory Tucker Jr.Wells Fargo Clearing Services, LLCCitigroup Global Markets Inc.03-27-2009
Mark Edward DuttonStephensMerrill Lynch, Pierce, Fenner & Smith Incorporated$15004-03-2009
Roger Louis O'Quin Jr.Wells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$5004-03-2009
Sydney Leigh GilbertWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$1004-03-2009
James Edward Brain Jr.StephensMerrill Lynch, Pierce, Fenner & Smith Incorporated04-03-2009
Keith Arnn WestmorelandStephensMerrill Lynch, Pierce, Fenner & Smith Incorporated04-03-2009
William Hamilton PeekCrews & Associates, Inc.Morgan Stanley & Co. LLC04-03-2009
Gail Holley ClarkEdward JonesU.S. Bancorp Investments, Inc.$1004-13-2009
Britton Lane NowellArvest Wealth ManagementU.S. Bancorp Investments, Inc.05-01-2009
Bunny Brown LeeMorgan StanleyMorgan Stanley & Co. LLC$10006-01-2009
Casey Andrew HuieMorgan StanleyMorgan Stanley & Co. LLC$10006-01-2009
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Showing 1 to 25 of 472 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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