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
Elizabeth Katherine LottMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-01-2009
Hillel Montram JaffeMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
John William Ryan IIIMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Richard John JacobyCitigroup Global Markets Inc.UBS Financial Services Inc.01-01-2009
Fay SheppardWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-02-2009
Matthew Scott TashjianMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$15001-02-2009
Vincent Nicholas MartinoMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-02-2009
Eric T KreuterUBS Financial Services Inc.Morgan Stanley & Co. LLC$10001-06-2009
Erica HenstAllstate Financial Services, LLCAmeriprise Financial Services, Inc.$101-06-2009
Robert Michael MatluckUBS Financial Services Inc.Canaccord Genuity Securities LLC01-06-2009
Brendan C PerkinsMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$15001-08-2009
Robert Joseph LenihanUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5001-08-2009
Simon Andreas OppligerOppenheimer & Co. Inc.UBS Securities LLC$15001-08-2009
Charles E MccoolUBS Financial Services Inc.Morgan Stanley & Co. LLC$10001-16-2009
John Joseph MckeonUBS Financial Services Inc.Citigroup Global Markets Inc.$1,00001-16-2009
Kristin Elizabeth BloomUBS Financial Services Inc.Morgan Stanley & Co. Incorporated01-16-2009
Michael John FlisH&R Block Financial Advisors, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-16-2009
Ronald Michael GellmannWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2501-16-2009
William David NewmanRaymond James & Associates, Inc.Foresters Financial Services, Inc.$101-16-2009
Daniel N MontanaroPeople's Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-20-2009
Eric Andrew PetersonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-22-2009
Lindley Townsend RawlinsEdward JonesMorgan Stanley & Co. LLC01-23-2009
Michael James ReillyLPL Financial LLCSecurities America, Inc.01-26-2009
Scott A MyrickMetLife Securities Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-26-2009
William Harvey ConnerH&R Block Financial Advisors, Inc.UBS Financial Services Inc.01-26-2009
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Showing 1 to 25 of 2,301 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.

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