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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Michael Drake WoodsMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5011-06-2009
Brett Michael WoodsMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley11-06-2009
Bryan J. WollheimMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5011-25-2009
Eddie J HavinsWells Fargo Clearing Services, LLCMorgan Stanley$10001-22-2010
Jacob Andrew DuffyRobert W. Baird & Co. IncorporatedMorgan Stanley$5003-12-2010
Lucille Ann DenosUBS Financial Services Inc.Morgan Stanley$5006-09-2010
Gary Wayne RogersWells Fargo Clearing Services, LLCMorgan Stanley$5007-29-2010
Jason William BraunsteinRBC Capital Markets, LLCMorgan Stanley$10008-06-2010
Jason BraunsteinRBC Wealth ManagementMorgan Stanley$3908-12-2010
Sydney Dawn FoxRBC Capital Markets, LLCMorgan Stanley09-10-2010
Daniel Richard FoxRBC Capital Markets, LLCMorgan Stanley09-10-2010
Anne Marie SpitzerUBS Financial Services Inc.Morgan Stanley09-16-2010
Daniel FoxRBC Wealth ManagementMorgan Stanley$8509-20-2010
Nicolas B. CastanedaMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5010-01-2010
Kent Garry ForseyHillspring Financial, Inc.Morgan Stanley10-20-2010
Gerald Lee PeraWells Fargo Clearing Services, LLCMorgan Stanley10-27-2010
Ewell Burton Butler Jr.Wells Fargo Clearing Services, LLCMorgan Stanley10-27-2010
Shawn Arthur WelchWells Fargo Clearing Services, LLCMorgan Stanley10-29-2010
John Russell GrahamWells Fargo Clearing Services, LLCMorgan Stanley$10001-03-2011
Mary Mercedes WhiteAmeriprise Financial Services, Inc.Morgan Stanley02-04-2011
David Lee ToddWells Fargo Clearing Services, LLCMorgan Stanley$5002-25-2011
Theresa Campbell ThorsonUBS Financial Services Inc.Morgan Stanley$2506-10-2011
Matthew Michael MeyerUBS Financial Services Inc.Morgan Stanley06-29-2011
Matthew Meyer, Christian StoutUBS Financial Services Inc.Morgan Stanley$13307-04-2011
Wayne Cary BallingerWells Fargo Clearing Services, LLCMorgan Stanley08-26-2011
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Showing 1 to 25 of 112 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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