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
Peter Lawrence WagnerAXA Advisors, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Richard John JacobyCitigroup Global Markets Inc.UBS Financial Services Inc.$15001-01-2009
Elizabeth Katherine LottMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-01-2009
John William Ryan IIIMorgan Stanley & Co. LLCUBS Financial Services Inc.$10001-01-2009
Hillel Montram JaffeMorgan Stanley & Co. LLCUBS Financial Services Inc.$15001-01-2009
Frank Paul Zocco Jr.LPL Financial LLCLincoln Financial Advisors Corporation01-02-2009
Matthew Scott TashjianMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$2501-02-2009
Vincent Nicholas MartinoMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-02-2009
Fay SheppardWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-02-2009
Erica HenstAllstate Financial Services, LLCAmeriprise Financial Services, LLC01-06-2009
Gregg Thomas MaleriMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-06-2009
Francois Patrik MarquisMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-06-2009
Robert Michael MatluckUBS Financial Services Inc.Canaccord Genuity Securities LLC01-06-2009
Eric T KreuterUBS Financial Services Inc.Morgan Stanley & Co. LLC$10001-06-2009
Carlos M. HenriquesSecurities Service Network, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-07-2009
Simon Andreas OppligerOppenheimer & Co. Inc.UBS Securities LLC01-08-2009
Brendan C. PerkinsMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-08-2009
Robert Joseph LenihanUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10001-08-2009
Kathleen Quitno SchleherNorthwestern Mutual Investment Services, LLCCitigroup Global Markets Inc.01-13-2009
Julian Luis DiazMetLife Securities Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-15-2009
William David NewmanRaymond James & Associates, Inc.Foresters Financial Services, Inc.01-16-2009
Michael John FlisH&R Block Financial Advisors, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1001-16-2009
John Joseph McKeonUBS Financial Services Inc.Citigroup Global Markets Inc.01-16-2009
Kristin Elizabeth BloomUBS Financial Services Inc.Morgan Stanley & Co. Incorporated01-16-2009
Charles E McCoolUBS Financial Services Inc.Morgan Stanley & Co. LLC$15001-16-2009
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Showing 1 to 25 of 3,035 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.