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
Lee B JonesStratos Wealth Partners, LtdUnionBanc Investment Services, LLC12-12-2013
Benjamin PorrasEP Wealth AdvisorsCharles Schwab & Co., Inc.03-01-2013
Michael A RosenthalRetirement Benefits GroupLPL Financial LLC03-20-2014
Charles F FowlerAtlantic TrustAltegris Investments, LLC02-24-2014
Gino WangEquitable Advisors, LLCMML Investors Services, LLC02-03-2020
Francis RocheRobert W. Baird & Co. IncorporatedRBC Capital Markets, LLC03-17-2014
Peter Kong John ShawMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-10-2015
Jeffrey KlingerMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC11-15-2013
Larry SchnaidUBS Financial Services Inc.RBC Capital Markets, LLC03-08-2012
Mark FlintBeacon Pointe Wealth Advisors, LLCBrandes Investment Partners, LP01-22-2016
Bryan Garris Nick Garris Orlo Elfes Leslie SagerM. S. Howells & Co.UBS Financial Services Inc.05-28-2020
Morrie SymsonKestra Investment Services, LLCUBS Financial Services Inc.02-04-2014
David MizrahiKestra Investment Services, LLCWells Fargo Clearing Services, LLC02-04-2014
Mark J Grueninger Benjamin C SauerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-14-2014
Nikesh Kadakia Jospeh Pastore Kirk SnyderMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated02-15-2013
Kelly CavesMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated02-15-2012
Shawn Shafer James Forsyth Steven MillerUBS Financial Services Inc.Morgan Stanley01-11-2012
Brad Benter Ken Abady Steve DeMatteoUBS Financial Services Inc.Morgan Stanley04-26-2011
Isaac KimGolden State Wealth ManagementMorgan Stanley02-06-2016
Antonio Tony Fontana Patrick Buzz Burke Clarence Herb SeeseJPMorgan Chase & Co.Wells Fargo Clearing Services, LLC06-02-2014
John DwyerTrevethan Capital PartnersWells Fargo Clearing Services, LLC05-24-2010
Fred HamsayehAegis Capital Corp.Retirement Benefits Group05-10-2013
Michael SchipperRBC Capital Markets, LLCRaymond James02-19-2016
Sean C CartinEP Wealth AdvisorsBernstein Global Wealth Management03-01-2013
Richard Duffy Russell KwokMorgan StanleyJPMorgan Chase & Co.06-24-2014
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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.