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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Lea Yukiko OkamuraAmeriprise Financial Services, Inc.Morgan Stanley$2507-27-2018
Christopher Allen BeemanWells Fargo Clearing Services, LLCMorgan Stanley$29208-23-2018
James Aloysius DiepenbrockWells Fargo Clearing Services, LLCMorgan Stanley$10008-29-2018
Mark Joseph ChapmanWells Fargo Clearing Services, LLCMorgan Stanley$10008-29-2018
Alexandra Papazian TelaroWells Fargo Clearing Services, LLCMorgan Stanley08-29-2018
Roy Clifton Jerrolds Jr.LPL Financial LLCMorgan Stanley$5009-13-2018
Daniel Goodman RothschildAmeriprise Financial Services, Inc.Morgan Stanley$10010-05-2018
Michael Morris RothschildAmeriprise Financial Services, Inc.Morgan Stanley$10010-05-2018
Walter Roland StevensonRaymond James & Associates, Inc.Morgan Stanley$10010-11-2018
Joseph KlauzarRaymond JamesMorgan Stanley$6210-23-2018
Ceasar Thomas GarvidaPrepared CapitalMorgan Stanley10-26-2018
Kali Alyse GrantChalice Capital Partners, LLCMorgan Stanley$10011-02-2018
Christopher Brian CarolanChalice Capital Partners, LLCMorgan Stanley$2511-02-2018
Brandon Todd YorkRBC Capital Markets, LLCMorgan Stanley$10011-07-2018
Christopher Michael SpenceRBC Capital Markets, LLCMorgan Stanley$5011-07-2018
Benjamin Patrick Anh SmitsMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley11-12-2018
Sugey PiedraHD Vest Investment ServicesMorgan Stanley11-14-2018
Kurt VolkerAXA Advisors, LLCMorgan Stanley11-20-2018
Matthew James BiggieWells Fargo Clearing Services, LLCMorgan Stanley11-30-2018
Jason William BostianWells Fargo Clearing Services, LLCMorgan Stanley12-07-2018
Tianna Monique McElroyWells Fargo Clearing Services, LLCMorgan Stanley01-03-2019
Sean W. LatimerHighTower Securities, LLCMorgan Stanley01-04-2019
Joris Von HittWells Fargo Clearing Services, LLCMorgan Stanley$10001-18-2019
Mark Francis WaltonWells Fargo Clearing Services, LLCMorgan Stanley$10001-18-2019
Peter Robert MeroWells Fargo Clearing Services, LLCMorgan Stanley$5701-18-2019
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Showing 1 to 25 of 46 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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