Advisers on the Move TEST

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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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Leslie Ann BiggersAXA Advisors, LLCMML Investors Services, LLC01-01-2009
David Rowan YoungMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10001-01-2009
William Alan FraserMorgan Stanley & Co. LLCUBS Financial Services Inc.$15001-01-2009
Theodore James TadeusiakMorgan Stanley & Co. LLCWells Fargo Clearing Services, LLC01-01-2009
Daniel Joe BaldwinMorgan Stanley & Co. LLCUBS Financial Services Inc.$2501-01-2009
Gregory T. FrechMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Ardaches PeltekianMorgan Stanley & Co. LLCWamu Investments, Inc.01-01-2009
William Richard NolanEssex National Securities, LLCAXA Advisors, LLC01-02-2009
Seana ChungEssex National Securities, LLCAXA Advisors, LLC01-02-2009
Thomas Robert Graffeo Jr.LPL Financial LLCVoya Investments Distributor, LLC01-02-2009
Stephen Edward SigmonLPL Financial LLCMICG Investment Management, LLC01-02-2009
Monika Elizabeth WindleLPL Financial LLCWamu Investments, Inc.01-02-2009
Charla Sue RileyLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2009
Jeffrey Patrick LysaughtGirard Securities, Inc.The Hunter Group01-02-2009
Brian Stirling SeamanUnited Planners' Financial Services of America A Limited PartnerNext Financial Group, Inc.$5001-02-2009
Kevin AndersLantern Investments, Inc.Mclaughlin, Piven, Vogel Inc.01-02-2009
Dale Jerome ImmekusHBW Securities LLCHBW Securities LLC01-02-2009
David Lee ShackelfordH&R Block Financial Advisors, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-02-2009
Shane Garrett YonstonPacific West Securities, Inc.Cambridge Investment Research, Inc.01-02-2009
Young M. ChungMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Investments, LLC01-02-2009
Dain Noel KirkpatrickMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-02-2009
Robert Rotstan Jr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-02-2009
Don Persons WyseUBS Financial Services Inc.Deutsche Bank Securities Inc.$10001-02-2009
Richard Dennis NammUBS Financial Services Inc.Morgan Stanley & Co. LLC$5001-02-2009
David TrentUBS Financial Services Inc.Deutsche Bank Securities Inc.01-02-2009
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Showing 1 to 25 of 21,826 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.