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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
David Ronald RhodeRBC Capital Markets, LLCCitigroup Global Markets Inc.$15002-20-2009
Michael Wayne NorvellRBC Capital Markets, LLCUBS Financial Services Inc.04-03-2009
Eric Paul SchulzeRBC Capital Markets, LLCB. C. Ziegler and Company$4706-28-2011
Andrew KrantzRBC Capital Markets, LLCWells Fargo Clearing Services, LLC05-15-2012
David Evans Nepeta Godec Patty EckelberryRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$17709-14-2012
David John EvansRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-14-2012
Nepeta Heike GodecRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15009-14-2012
Christopher Keith BryantRBC Capital Markets, LLCEdward Jones$2511-13-2012
Caroline HansenRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$5009-03-2014
Cash Alan FreemanRBC Capital Markets, LLCEdward Jones02-02-2015
Michael K WarneRBC Capital Markets, LLCUBS Financial Services Inc.$15007-08-2015
Ron Allen ZimmermannRBC Capital Markets, LLCMorgan Stanley10-21-2015
Gary A PetersonRBC Capital Markets, LLCMorgan Stanley$15010-21-2015
Ron Zimmermann Gary Peterson Phillip DispenseRBC Capital Markets, LLCMorgan Stanley$13211-13-2015
Kim Louise RitchieRBC Capital Markets, LLCMorgan Stanley04-28-2016
Ryan S GriegoRBC Capital Markets, LLCMorgan Stanley$14004-28-2016
Jim Murray Ryan Griego Desiree Jara Kimberly RitchieRBC Capital Markets, LLCThe Gryphon Group$23806-10-2016
Christopher James CoburnRBC Capital Markets, LLCRobert W. Baird & Co. Incorporated09-20-2018
Marc Timothy Pasquariello-WilliamsRBC Capital Markets, LLCMorgan Stanley03-06-2019
Roger M SmithRBC Capital Markets, LLCFirst Allied Securities, Inc.08-08-2019
Lawrence Scott Pann Donnie DeYoungRBC Capital Markets, LLCUBS Financial Services Inc.$32508-22-2019
Lawrence Scott PannRBC Capital Markets, LLCUBS Financial Services Inc.$10008-22-2019
Donnie DeyoungRBC Capital Markets, LLCUBS Financial Services Inc.08-22-2019
Darwin Clair CampbellRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1,00009-04-2019
Matthew Richard MatherlyRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15009-04-2019
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Showing 1 to 25 of 37 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.