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
Carrie Adele O'NeilMerrill Lynch, Pierce, Fenner & Smith IncorporatedEssex Financial Services, Inc.08-16-2010
Michael Joseph GarofaloAllstate Financial Services, LLCTransamerica Capital, Inc.08-16-2010
Frank Joseph Lockwood Jr.UBS Financial Services Inc.Morgan Stanley$10008-18-2010
Clinton E HallHornor, Townsend & Kent, LLCEquity Services, Inc.$15009-01-2010
Derek James AngusMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated09-03-2010
Martin McLaughlin Sr., Martin McLaughlin Jr.UBS Financial Services Inc. Inc.Wells Fargo Advisors$18009-07-2010
Jennifer Elisabeth PollaMerrill Lynch, Pierce, Fenner & Smith IncorporatedMetLife Securities Inc.09-07-2010
Samuel Phillip Belsito IIIWoodbury Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5009-15-2010
Thomas Gerard GreenSaybrus Equity Services, LLCLombard International Distribution Company09-15-2010
William Edward BakerSaybrus Equity Services, LLCLombard International Distribution Company09-15-2010
Robert John SartoriWells Fargo Clearing Services, LLCMorgan Stanley$2509-17-2010
Charles Morton GreenSpringboard Asset Management LLCSymmetry Partners09-17-2010
Terence Martin KaufmannRockhouse Capital, LLCCarolina Capital Markets, Inc.09-20-2010
Martha Liebler GibsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC09-20-2010
Loretta Lang FinckUBS Financial Services Inc.Summit Securities Group LLC09-20-2010
James Edward SeagraveJim Seagrave & Associates, LLCH. Beck, Inc.09-23-2010
Mark Andrew NastriMerrill Lynch, Pierce, Fenner & Smith IncorporatedWaddell & Reed09-23-2010
Stephen Graham MackenzieMerrill Lynch, Pierce, Fenner & Smith IncorporatedMadison Proprietary Trading Group, LLC09-24-2010
Glenn Albert HamlerUBS Financial Services Inc.Stifel, Nicolaus & Company, Incorporated$5009-30-2010
David John ReindelReindel & Reindel Advisory Solutions, LLCBroker Dealer Financial Services Corp.10-04-2010
Jeffrey Todd JollyAmeriprise Financial Services, Inc.UBS Financial Services Inc.$2510-19-2010
Roderick Iain DuxburyRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1010-19-2010
Alan Charles GreenMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$20010-22-2010
Robert C HendersonLansdowne Wealth Management, LLCEdward Jones10-29-2010
Arnold H. Rozany, Anthony J. Falcone, Robert A. Schenck, Terry L. Rodrigues, Christopher P. KachurBenjamin F. Edwards & Co.Wells Fargo Advisors11-16-2010
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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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