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
Bruce Lin, Michael Hartmeyer, Patrick ChanWells Fargo AdvisorsMerrill Lynch, Pierce, Fenner & Smith Incorporated$14208-29-2014
Bruce Poshou LinWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10008-29-2014
Bruce T. McMillanWells Fargo AdvisorsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10504-26-2013
Bruce Thomas McMillanWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5004-26-2013
Bryan Anthony DiazLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-11-2018
Bryan BuchertCitigroup Global Markets Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-31-2017
Bryan LudwigWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1007-29-2016
Bryce Steven McConnellMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated09-01-2016
Caleb PorterFirst Republic Securities Company, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-18-2016
Calvin Tatkwan WattMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated04-22-2016
Carl Charles Martin IlgRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5008-28-2019
Carlos E BetancourtJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-03-2018
Carmencita Protacio CalawayJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2506-06-2018
Carol Rita SymonsU.S. Bancorp Investments, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-13-2012
Carol Valentin Munoz Jr.Wedbush Securities Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-26-2009
Carole Ann Nero, Kevin Michael CoyleMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated01-13-2017
Catharine Milligan HobbsWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1002-13-2009
Catherine Theresa PietroJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated08-10-2018
Cau-Min LiMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-01-2016
Chad David CohenUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5011-18-2011
Chad Lawton ParkerRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5009-04-2012
Charla Sue RileyLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2009
Charles Fernand Farrell IISecurities America, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15006-25-2009
Charles Henry Shreve IIILPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1004-12-2018
Charles J. LynchJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated06-04-2018
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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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