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
Gregory Barton HendrenWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$12101-02-2009
Allan Harrison ClarkLincoln InvestmentLPL Financial LLC$5001-02-2009
Michael Eugene LongSecurities America, Inc.ePlanning Securities, Inc.01-02-2009
Thomas Robert Graffeo JrLPL Financial LLCVoya Investments Distributor, LLC01-02-2009
Jeffrey Patrick LysaughtGirard Securities, Inc.The Hunter Group01-02-2009
Alan Michael WozniakWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00001-02-2009
Richard S NalbandianLantern Investments, Inc.Mclaughlin, Piven, Vogel Inc.$10001-02-2009
Brian Stirling SeamanUnited Planners' Financial Services of America A Limited PartnerNext Financial Group, Inc.$2501-02-2009
Ralph Garcia JrWells Fargo Clearing Services, LLCUBS Financial Services Inc.01-02-2009
Richard Dennis NammUBS Financial Services Inc.Morgan Stanley & Co. LLC$14501-02-2009
Manuel AriasLantern Investments, Inc.Mclaughlin, Piven, Vogel Inc.01-02-2009
Kevin AndersLantern Investments, Inc.Mclaughlin, Piven, Vogel Inc.01-02-2009
John Joseph MoranUBS Financial Services Inc.Morgan Stanley & Co. LLC$5001-02-2009
Bradley Jay BarnblattWells Fargo Clearing Services, LLCUBS Financial Services Inc.$15001-02-2009
Anthony Warren NyeUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5001-02-2009
Jesse Matrix AmarillasUBS Financial Services Inc.Deutsche Bank Securities Inc.$5001-02-2009
Matthew Aaron HendrenWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1,00001-02-2009
Lisa Diane CastilloWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-02-2009
Erik Josef MatternWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1,00001-02-2009
Monika Elizabeth WindleLPL Financial LLCWamu Investments, Inc.01-02-2009
Charla Sue RileyLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2009
Christopher Charles Andrew AristoState Farm VP Management Corp.AIG Capital Services, Inc.01-02-2009
Xuemei WeiUBS Financial Services Inc.Deutsche Bank Securities Inc.01-02-2009
William Forbes MccollamUBS Financial Services Inc.Morgan Stanley & Co. 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 12,563 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.