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.

Latest moves

Results filtered by


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Ardaches PeltekianMorgan Stanley & Co. LLCWamu Investments, Inc.01-01-2009
Daniel Joe BaldwinMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
David Rowan YoungMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Dax Richard FletcherMorgan Stanley & Co. IncorporatedWamu Investments, Inc.01-01-2009
Gregory Thomas FrechMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Jamie Erin ThomaswongNRP Financial, Inc.Morgan Stanley & Co. LLC01-01-2009
Theodore James TadeusiakMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC01-01-2009
William Alan FraserMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Alan Michael WozniakWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00001-02-2009
Anthony Warren NyeUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5001-02-2009
Brian Stirling SeamanUnited Planners' Financial Services of America A Limited PartnerNext Financial Group, Inc.$2501-02-2009
Charla Sue RileyLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1001-02-2009
Dain Noel KirkpatrickMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-02-2009
David Lee ShackelfordH&R Block Financial Advisors, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2009
Donald B Taylor Jr.City National Securities, Inc.Banc of America Investment Services, Inc.$10001-02-2009
Jesse Matrix AmarillasUBS Financial Services Inc.Deutsche Bank Securities Inc.$5001-02-2009
Kevin AndersLantern Investments, Inc.Mclaughlin, Piven, Vogel Inc.01-02-2009
Monika Elizabeth WindleLPL Financial LLCWamu Investments, Inc.01-02-2009
Seana ChungEssex National Securities, LLCAXA Advisors, LLC01-02-2009
Stephen Edward SigmonLPL Financial LLCMICG Investment Management, LLC$1,00001-02-2009
William Richard NolanEssex National Securities, LLCAXA Advisors, LLC01-02-2009
Xuemei WeiUBS Financial Services Inc.Deutsche Bank Securities Inc.01-02-2009
Andy Junnwoei LiuMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley & Co. Incorporated01-05-2009
John Holland RinggenbergJesup & Lamont Securities CorpCredit Suisse Securities (USA) LLC01-05-2009
Kenneth Robert KlauberStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$10001-05-2009
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Showing 1 to 25 of 15,944 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.


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