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

Filters

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
Next Page »

Showing 1 to 25 of 15,938 entries

Page 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15

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.

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.