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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Thomas Charles StefaniakPinnacle Wealth Management, Inc.LPL Financial LLC01-12-1999
Samuel Lyle TorrezCambridge Investment Research, Inc.RMIN Securities, Inc.01-02-2009
Harry Phillip GoodwinCambridge Investment Research, Inc.Cetera Advisor Networks LLC01-02-2009
Shawna Denise BonnerVoya Financial Advisors, Inc.LPL Financial LLC01-02-2009
Robert Viggo BruceHD Vest Investment ServicesI.M. Wealth Care, LLC01-05-2009
Cathey Hix BrownLPL Financial LLCEdward Jones01-06-2009
Stephanie Elizabeth GudkaCUSO Financial Services, L.P.Countrywide Investment Services, Inc.01-12-2009
Alan Leon HofsteinSecurities America, Inc.Brecek & Young Advisors, Inc.$2501-23-2009
Charles William BourgeoisSecurities America, Inc.Brecek & Young Advisors, Inc.01-23-2009
Edgardo Rafael CintronUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-23-2009
Karla RossSecurities America, Inc.Brecek & Young Advisors, Inc.01-23-2009
Whitney Blaine OtisSecurities America, Inc.Brecek & Young Advisors, Inc.01-23-2009
Eric Daniel Uhlberg, Bert Pierpont Palmer IIUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-29-2009
David Fortner JonesRaymond James & Associates, Inc.UBS Financial Services Inc.$10001-30-2009
Nicholas G. BodeUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-30-2009
Candace Lee AllenWells Fargo Clearing Services, LLCUBS Financial Services Inc.$15002-20-2009
Robert Leonard HartWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2502-20-2009
David Ronald RhodeRBC Capital Markets, LLCCitigroup Global Markets Inc.02-20-2009
Patricia Ann CockellWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.02-20-2009
Gary Wayne KeyfauverRaymond James Financial Services, Inc.AXA Advisors, LLC02-20-2009
Jennifer Rochelle BruceWells Fargo Clearing Services, LLCUBS Financial Services Inc.02-20-2009
Richard Joseph PeaceFSC Securities CorporationAdvantage Capital Corporation$5002-27-2009
Barbara Lee KlenovichFSC Securities CorporationAdvantage Capital Corporation$1002-27-2009
Timothy George Thorold BarnettCaledonia Wealth Management, Ltd.Agile Advisors Inc.03-04-2009
Hc Tad Willenbrock III, Elizabeth Jones WillenbrockUBS Financial Services Inc.Morgan Stanley & Co. LLC03-13-2009
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Showing 1 to 25 of 2,003 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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