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
Stephen Randall KlineLPL Financial LLCRBC Capital Markets, LLC10-01-2009
Karen L OgardRobert W. Baird & Co. IncorporatedWells Fargo Clearing Services, LLC10-02-2009
Stanley Alan BensonAmeriprise Financial Services, Inc.Ameriprise Advisor Services, Inc.10-05-2009
Stewart Lasher StothoffAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.10-05-2009
Brian David OrinickAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.10-05-2009
Kevin Lewis KuntzAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.10-05-2009
Kenneth Eric SwopeAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.10-05-2009
Daniel Brian SchultzAmeriprise Financial Services, Inc.Ameriprise Advisor Services, Inc.10-05-2009
Keith Herbert StechmesserThrivent Investment Management Inc.OneAmerica Securities, Inc.10-09-2009
Timothy ZabelinTD Ameritrade Investment Management, LLCTransamerica Capital, Inc.10-16-2009
Paul Daniel ComcowichMerrill Lynch, Pierce, Fenner & Smith IncorporatedBanc of America Investment Services, Inc.10-23-2009
Charles Graham ShawCapital Wealth Advisors, LLCProEquities, Inc.10-23-2009
Daniel Raymond FigliolaAlpine Capital Partners, LLCColdstream Securities, Inc.10-30-2009
Gary Bryan SmyMorgan StanleyUBS Financial Services Inc.11-03-2009
Thomas Michael BohRobert W. Baird & Co. IncorporatedWells Fargo Clearing Services, LLC11-13-2009
Raymond Alan IversenStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$10011-18-2009
Jerry John HoffmannHoffmann HermansonSRS Capital Advisors, Inc.11-19-2009
Daniel Harlan GilbertsonCommonwealth Financial NetworkRoyal Alliance Associates, Inc.$10011-20-2009
Heather Lynn PachecoMerrill Lynch, Pierce, Fenner & Smith IncorporatedOld Mutual Investment Partners11-30-2009
Edwin Eugene DoerffelWedbush Securities Inc.UBS Financial Services Inc.12-02-2009
Michael Robert McDonaldLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-08-2009
James Mitchell RyanMorgan StanleyRoyal Alliance Associates, Inc.12-14-2009
Eric Joseph HoelterThrivent Investment Management Inc.Transamerica Capital, Inc.12-15-2009
Russ Curtis RauhauserCornerstone Investment Advisors, LLCCHANNER/RAUHAUSER, LLC01-01-2010
Charles Michael StoverUSAA Financial Advisors, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-03-2010
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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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