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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Elisabeth Di SorensenOppenheimer & Co. Inc.Ally Securities LLC01-14-2010
Robert Alan CoronaOppenheimer & Co. Inc.Ameriprise Financial Services, Inc.$1009-12-2018
Kevin Hugh OwenOppenheimer & Co. Inc.Blaylock Van, LLC11-01-2010
Nedim SaulOppenheimer & Co. Inc.Concert Wealth Management02-07-2017
Eric Daniel SchulkinOppenheimer & Co. Inc.Gerber Kawasaki Wealth & Investment Management01-02-2018
Timothy Bruce RicheOppenheimer & Co. Inc.Hilltop Securities Inc.10-23-2009
Matthew Joseph BrowneOppenheimer & Co. Inc.J.P. Morgan Securities LLC04-06-2011
Cort BarrettOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-08-2018
Eddy Joseph GutierrezOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$4709-29-2017
Joseph B GuerraOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-29-2017
Rattan K DodejaOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5006-30-2017
Hal R. HoeftOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2505-23-2014
Steven Richard BaadenOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-11-2013
Glenn C HopkinsOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-06-2012
Farnaz NouriOppenheimer & Co. Inc.Morgan Stanley03-19-2014
William C YuenOppenheimer & Co. Inc.Morgan Stanley05-21-2013
Kirk Steven WoodleyOppenheimer & Co. Inc.Morgan Stanley$15005-28-2010
John Brian OgdenOppenheimer & Co. Inc.Morgan Stanley05-28-2010
Clifford Eldridge Slater Jr.Oppenheimer & Co. Inc.Morgan Stanley04-30-2010
George Anthony WienerOppenheimer & Co. Inc.Morgan Stanley06-26-2009
Mitchell Joseph HickeyOppenheimer & Co. Inc.Northwestern Mutual Investment Services, LLC07-08-2015
Steven Edward WesthydemanOppenheimer & Co. Inc.TD Ameritrade, Inc.06-19-2015
Michael Christopher RaissisOppenheimer & Co. Inc.UBS Financial Services Inc.$2505-17-2018
Joe ChanOppenheimer & Co. Inc.UBS Financial Services Inc.01-20-2015
Michael J SquellatiOppenheimer & Co. Inc.UBS Financial Services Inc.01-16-2015
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Showing 1 to 25 of 35 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.


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