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
Jason Stuart DalenRBC Capital Markets, LLCUBS Financial Services Inc.05-31-2019
Teresa Kay FeathermanRBC Capital Markets, LLCOppenheimer & Co. Inc.09-04-2018
Maria Idolina PeraltaRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-22-2018
Allen LangerRBC Capital Markets, LLCUBS Financial Services Inc.11-03-2017
Gregory James KraemerRBC Capital Markets, LLCVanguard Marketing Corporation11-21-2016
Mark S AckelRBC Capital Markets, LLCRobert W. Baird & Co. Incorporated02-18-2011
Sydney Dawn FoxRBC Capital Markets, LLCMorgan Stanley09-10-2010
Daniel Richard FoxRBC Capital Markets, LLCMorgan Stanley09-10-2010
Shea Forester CreedRBC Capital Markets, LLCGlobal Atlantic Distributors, LLC10-15-2009
Joseph A Di Vito JrRBC Capital Markets, LLCUBS Financial Services Inc.03-11-2009
Timothy Duffy CowdreyRBC Capital Markets, LLCBanc of America Investment Services, Inc.$1007-15-2009
Jason William BraunsteinRBC Capital Markets, LLCMorgan Stanley$2508-06-2010
Susan Diane DubowRBC Capital Markets, LLCCitigroup Global Markets Inc.$3301-08-2009
Jason BraunsteinRBC Capital Markets, LLCMorgan Stanley$3908-12-2010
Larry LytleRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5010-03-2017
Harold Glen Hatch JrRBC Capital Markets, LLCMorgan Stanley$5004-22-2013
Daniel FoxRBC Capital Markets, LLCMorgan Stanley$8509-20-2010
William Reilley HerfRBC Capital Markets, LLCStifel, Nicolaus & Company, Incorporated$10010-21-2019
Douglas Steven ManceRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10007-29-2009
Larry LytleRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$11510-03-2017
Benjamin Haydon Spalding IIIRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$15010-31-2019
Cynthia Lou PennerRBC Capital Markets, LLCUBS Financial Services Inc.$15005-31-2019
Gustavo CorteRBC Capital Markets, LLCEquitable Advisors, LLC$15004-02-2018
J Fredrick MartinezRBC Capital Markets, LLCUBS Financial Services Inc.$15011-03-2017
Timothy Joseph DunneRBC Capital Markets, LLCUBS Financial Services Inc.$15005-08-2015
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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.