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

Results filtered by


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Donna Lee DietersMorgan StanleyMorgan Stanley & Co. Incorporated06-01-2009
William Alexander Whittaker IIMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Carol S. BowmanMorgan StanleyMorgan Stanley & Co. LLC06-01-2009
Ann Marie RiesMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Thomas B HelmsMorgan StanleyMorgan Stanley & Co. Incorporated06-01-2009
Madison Anne CarterMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Peter Raymond MangoldMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Lynn Ann ShookMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Thomas John AlleyMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Deric Kriston MartinMorgan StanleyMorgan Stanley & Co. LLC06-01-2009
Roger Howard PapazianMorgan StanleyMorgan Stanley & Co. LLC06-01-2009
Arthur Herman Harter IIIMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Kevin John KoppMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Michael David EdwardsMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Jason P BurkettUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1006-04-2009
Cameron Cole WilliamsStifel, Nicolaus & Company, IncorporatedMorgan Stanley$5006-10-2009
Glenn Lawrence RayJ.W. Cole Financial, Inc.World Group Securities, Inc.06-10-2009
Fred Carter WilliamsRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$10006-19-2009
Matthew Sam RichUBS Financial Services Inc.Thomas Weisel Partners LLC06-19-2009
John Lee RohlCastle Rock Financial Advisors, LLC.Charles Schwab & Co., Inc.06-24-2009
Darwin Clair Campbell, Matthew Richard MatherlyMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-01-2009
Bart Gene KramerCarpe Diem InvestingUBS Financial Services Inc.07-01-2009
Kevin LewisCarpe Diem InvestingUBS Financial Services Inc.07-01-2009
Gregory Lee HorstmanLPL Financial LLCMorgan Stanley07-02-2009
Craig Arnold ArfstenLPL Financial LLCMorgan Stanley07-02-2009
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Showing 126 to 150 of 2,002 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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