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.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Matthew WinthropAegis Capital Corp.RBC Capital Markets, LLC$1010-16-2017
Samuel Mickle Fox IVAmeriprise Financial Services, Inc.RBC Capital Markets, LLC$10011-11-2011
Gary Steven HalterJanney Montgomery Scott LLCRBC Capital Markets, LLC$10011-09-2018
Benjamin Howard HalterJanney Montgomery Scott LLCRBC Capital Markets, LLC11-09-2018
Trisha Lynn SauerMerrill Lynch, Pierce, Fenner & Smith IncorporatedRBC Capital Markets, LLC$5001-24-2014
Ryan James BirgeMorgan StanleyRBC Capital Markets, LLC08-31-2017
Abby Wolman McElroyMorgan StanleyRBC Capital Markets, LLC$10008-30-2017
Steven Michael CaputoMorgan StanleyRBC Capital Markets, LLC$2509-09-2011
Michael Victor SwitchenkoStifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC$5001-21-2010
Patrick Francis DuffUBS Financial Services Inc.RBC Capital Markets, LLC$10010-09-2015
Christopher James PowersWealth Management Group of North America, LLCRBC Capital Markets, LLC12-10-2018
David Wilson DrullardWells Fargo Clearing Services, LLCRBC Capital Markets, LLC$1006-02-2016
Karen Ann BlanchardWells Fargo Clearing Services, LLCRBC Capital Markets, LLC02-12-2016
William Matthew LawlorWells Fargo Clearing Services, LLCRBC Capital Markets, LLC11-28-2014
Robert Charles Batick Jr.Westport Capital Markets, LLCRBC Capital Markets, LLC$2506-17-2011

Showing 1 to 15 of 15 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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