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
Craig Frederick BuhrendorfRaymond James Financial Services, Inc.Morgan Stanley$2506-29-2009
Jeffrey David RockwellCommonwealth Financial NetworkMerrill Lynch, Pierce, Fenner & Smith Incorporated07-10-2009
Richard Angelo StalloneRAS Capital Services, Inc.Raymond James Financial Services, Inc.07-16-2009
Sedigheh NowrouzzadehCambridge Investment Research, Inc.MML Investors Services, LLC07-24-2009
Philip Owen GottlickMerrill Lynch, Pierce, Fenner & Smith IncorporatedCarolina Capital Markets, Inc.07-27-2009
Frank Clinton Rogers IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$5008-14-2009
Robin Remick PinkhamRobin Pinkham Investment Advisory, LLCWestport Resources Investment Services, Inc.08-19-2009
Vincent Dominick CrudoRBC Capital Markets, LLCMorgan Stanley$2508-21-2009
Anne AslanNorthwestern Mutual Investment Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated08-25-2009
Lucas Alexander Van ZandtWaddell & ReedWells Fargo Clearing Services, LLC$10009-01-2009
Thomas Walker PringleLPL Financial LLCMutual Service Corporation09-08-2009
Peter Michael FrikkerInfinex Investments, Inc.Voya Financial Advisors, Inc.09-24-2009
Stephen SenetckyAXA Advisors, LLCMetLife Securities Inc.09-24-2009
Jeremy Bennett BeitelLPL Financial LLCInfinex Investments, Inc.09-25-2009
Victor E. Chiarelli IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley09-25-2009
John Leslie PerkinsJeffrey N. Mehler, CFP LLCCompass Planning Associates, Inc.09-30-2009
Sean P. LewisInfinex Investments, Inc.Cetera Advisor Networks LLC10-01-2009
Richard Patrick MorrowMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated10-01-2009
Richard Francis ChimelewskiInfinex Investments, Inc.Cetera Advisor Networks LLC10-02-2009
David Mattew RyanAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.$5010-05-2009
Rosario ManninoAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.$1010-05-2009
Thomas Patrick Collins Jr.Ameriprise Financial Services, Inc.Ameriprise Advisor Services, Inc.10-05-2009
Daniel Lawrence FreddinoAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.10-05-2009
Douglas Alan BrownWells Fargo Clearing Services, LLCWells Fargo Investments, LLC10-06-2009
Cheryl Spiegel HinzeSecurities Service Network, LLCCommonwealth Financial Network10-07-2009
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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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