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
Fay SheppardWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-02-2009
Ronald Michael GellmannWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15001-16-2009
Eric Andrew PetersonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1001-22-2009
Victor Irving AdlerJanney Montgomery Scott LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10002-13-2009
William Frank MatzingerLincoln Financial Advisors CorporationMerrill Lynch, Pierce, Fenner & Smith Incorporated03-13-2009
Fritz Andrew Dahlgren Jr.LPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-27-2009
Dean Homer GauglerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10004-24-2009
Jeffrey David RockwellCommonwealth Financial NetworkMerrill Lynch, Pierce, Fenner & Smith Incorporated07-10-2009
Anne AslanNorthwestern Mutual Investment Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated08-25-2009
Richard Patrick MorrowMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated10-01-2009
Donald Angelo Debiase Jr.Stifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated02-26-2010
Merritt Michael Zahner, James Matthew FlynnMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5005-14-2010
Steven Thomas NorrisWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-17-2010
James Flynn, Rance Hillier, Merritt ZahnerMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$15005-19-2010
George Haven Welker IIIWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-24-2010
William James Mills IVMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated06-02-2010
Derek James AngusMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated09-03-2010
Samuel Phillip Belsito IIIWoodbury Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5009-15-2010
Roderick Iain DuxburyRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1010-19-2010
Julia Anne Teresa Peloso-BarnesMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$15007-28-2011
Anthony Dominic Corona IIIMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated10-21-2011
John Thomas D'AddonaMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$2510-28-2011
James S Hurley Jr.Morgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated10-28-2011
Scott James MastoccioloWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-13-2012
Joseph James MatthewsMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-27-2012
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Showing 1 to 25 of 112 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.

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