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
Howard Hughes Fry Jr.Stifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$5005-08-2009
Holly Michelle BarowayStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$15005-29-2009
Eric Michael MayStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$10005-29-2009
Fred Carter WilliamsRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$10006-19-2009
Julie Kay Lane-Bockelman, Kenneth Richard Johnson, James Steven GaveganMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC07-08-2009
Thomas Edward MahoneyRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC07-27-2009
Karen L OgardRobert W. Baird & Co. IncorporatedWells Fargo Clearing Services, LLC10-02-2009
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
Doug John GriffithLPL Financial LLCWells Fargo Clearing Services, LLC04-29-2010
James Edwin PetersonMorgan StanleyWells Fargo Clearing Services, LLC$10006-11-2010
Kenneth James PayneLPL Financial LLCWells Fargo Clearing Services, LLC09-30-2010
Dennis Michael Dougherty, Bryan Louis WhiteUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10008-05-2011
Anthony Raymond PrzecheraLPL Financial LLCWells Fargo Clearing Services, LLC08-19-2011
Fred Clyde SpolianskyMorgan StanleyWells Fargo Clearing Services, LLC$15010-14-2011
Chadwick Royce KeelerMorgan StanleyWells Fargo Clearing Services, LLC10-14-2011
Harry Scott KoplarAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$2511-11-2011
Daniel Kit LassenAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC11-11-2011
Andrew KrantzRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$5005-15-2012
William Blaine KurtzUBS Financial Services Inc.Wells Fargo Clearing Services, LLC07-18-2012
Debra Rae SchillingWaddell & ReedWells Fargo Clearing Services, LLC08-15-2012
Eric Andrew KammererFirst Financial Equity CorporationWells Fargo Clearing Services, LLC08-30-2012
Patrick Edwin DowlinLPL Financial LLCWells Fargo Clearing Services, LLC11-23-2012
Joseph Michael NallyStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$2511-30-2012
Kelly Marie HeppeRobert W. Baird & Co. IncorporatedWells Fargo Clearing Services, LLC01-17-2013
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Showing 1 to 25 of 92 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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