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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Richard Woolworth OakfordSource Capital Group, Inc.Janney Montgomery Scott LLC$50002-17-2009
Steven Norbert BanalettiLPL Financial LLCJanney Montgomery Scott LLC$10006-17-2009
Frederick William SpoorCoburn & Meredith, Inc.Janney Montgomery Scott LLC$25007-08-2010
Jarrod Fletcher SlaterWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Janney Montgomery Scott LLC$15002-22-2011
Joseph David FalconeWaddell & ReedJanney Montgomery Scott LLC$10003-24-2011
Rocco D Paolino Jr.Ameriprise Financial Services, Inc.Janney Montgomery Scott LLC$50007-27-2011
Mark Leslie MohanUBS Financial Services Inc.Janney Montgomery Scott LLC$25010-31-2011
Elma Lee MohanUBS Financial Services Inc.Janney Montgomery Scott LLC$10006-29-2012
Gregory RomatzickMerrill Lynch, Pierce, Fenner & Smith IncorporatedJanney Montgomery Scott LLC01-31-2013
Laurence Robert WhitneyAmeriprise Financial Services, Inc.Janney Montgomery Scott LLC$25001-09-2014
Gerald Irwin MaisnerRBC Capital Markets, LLCJanney Montgomery Scott LLC$10012-15-2014
Lisa Dawn NekrichRBC Capital Markets, LLCJanney Montgomery Scott LLC$50012-15-2014
James Albert PettitAmeriprise Financial Services, Inc.Janney Montgomery Scott LLC$25001-21-2015
Daniel Stephen Remigino Sr.Buell Securities Corp.Janney Montgomery Scott LLC$50003-06-2015
David Bruce TopkinStifel, Nicolaus & Company, IncorporatedJanney Montgomery Scott LLC$50006-10-2016
Ross Weller GallowayMorgan StanleyJanney Montgomery Scott LLC$50005-26-2017
Stacy Lee CapobiancoMorgan StanleyJanney Montgomery Scott LLC05-26-2017
John Fortuna Jr.LPL Financial LLCJanney Montgomery Scott LLC06-16-2017
Alison Shirley PerrinAmeriprise Financial Services, Inc.Janney Montgomery Scott LLC$50009-19-2017
Richard Joseph CardinalLPL Financial LLCJanney Montgomery Scott LLC$10005-31-2019
Jonathan Mark FairbanksMutual Securities, Inc.Janney Montgomery Scott LLC09-26-2019

Showing 1 to 21 of 21 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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