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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Kathleen Claire HarneyPacific Wealth Care Inc.1st Global Capital Corp.10-24-2000
John Robert McParlaneWedbush Securities Inc.First Wall Street Corp.$20001-01-2009
John Scott AllingWedbush Securities Inc.First Wall Street Corp.$5001-01-2009
James Patrick StephanWedbush Securities Inc.First Wall Street Corp.$5001-01-2009
David Wei Keung WongWedbush Securities Inc.First Wall Street Corp.$5001-01-2009
Karen Elizabeth BradyWedbush Securities Inc.First Wall Street Corp.01-01-2009
Paul Dean DebbanWedbush Securities Inc.First Wall Street Corp.01-01-2009
Jonathan Carr PerkinsWedbush Securities Inc.First Wall Street Corp.01-01-2009
Robert Frank KinschWedbush Securities Inc.First Wall Street Corp.01-01-2009
Robert Emerson FriedmanWedbush Securities Inc.First Wall Street Corp.01-01-2009
Thomas John HowatWedbush Securities Inc.First Wall Street Corp.01-01-2009
Bradley Scott TitusWedbush Securities Inc.First Wall Street Corp.01-01-2009
Gregory Barton Hendren, Matthew Aaron Hendren, Lisa Diane Castillo, Erik Josef MatternWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15001-02-2009
Don Persons Wyse, David Trent, Rene W. HenriksenUBS Financial Services Inc.Deutsche Bank Securities Inc.$10001-02-2009
Alan Michael WozniakWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10001-02-2009
Anthony Warren NyeUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10001-02-2009
Richard Dennis Namm, John Joseph MoranUBS Financial Services Inc.Morgan Stanley & Co. LLC$5001-02-2009
Jennifer Lynne TurnerLPL Financial LLCRegal Advisory Services, Inc.$5001-02-2009
Stephen Edward SigmonLPL Financial LLCMICG Investment Management, LLC$5001-02-2009
Ralph Garcia Jr., Bradley Jay BarnblattWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2501-02-2009
Thomas Robert Graffeo Jr.LPL Financial LLCVoya Investments Distributor, LLC01-02-2009
Gregory Joseph DavisRaymond James Financial Services Advisors, IncRaymond James Financial Services, Inc.01-02-2009
Brian Stirling SeamanUnited Planners' Financial Services of America A Limited PartnerNext Financial Group, Inc.01-02-2009
Kevin AndersLantern Investments, Inc.Mclaughlin, Piven, Vogel Inc.01-02-2009
James Thomas HutchinsonRaymond James Financial Services Advisors, IncRaymond James Financial Services, Inc.01-02-2009
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Showing 1 to 25 of 12,512 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.

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