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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Gary James HelblingAmeriprise Financial Services, Inc.Oppenheimer & Co. Inc.$5006-14-2019
Patrick George ColliganAmeriprise Financial Services, Inc.Oppenheimer & Co. Inc.$15002-01-2019
Richard Evelyn WaceAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5001-04-2019
Caesar R RossittoAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-08-2018
Joseph John StangoAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$1,00003-14-2018
Jennifer Vuong HeimsAmeriprise Financial Services, Inc.Cornerstone Capital Partners Inc., N.A.$15002-26-2018
Arnold Roy BlumenfeldAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$1,00011-10-2017
William Francis Grant IVAmeriprise Financial Services, Inc.MML Investors Services, LLC11-02-2017
Gregg Thomas MaleriAmeriprise Financial Services, Inc.MML Investors Services, LLC$5011-01-2017
Joseph Enda NolanAmeriprise Financial Services, Inc.MML Investors Services, LLC11-01-2017
Bartley Christopher DamonAmeriprise Financial Services, Inc.UBS Financial Services Inc.10-24-2017
Christopher Cutler CoburnAmeriprise Financial Services, Inc.UBS Financial Services Inc.$15010-20-2017
Janice Marie ReedAmeriprise Financial Services, Inc.UBS Financial Services Inc.$110-20-2017
R. Christopher DamonAmeriprise Financial Services, Inc.UBS Financial Services Inc.$1010-20-2017
David Michael CaragliorAmeriprise Financial Services, Inc.MML Investors Services, LLC$5010-19-2017
Michael Patrick DevivoAmeriprise Financial Services, Inc.MML Investors Services, LLC$5010-19-2017
Michael Thomas DelgalloAmeriprise Financial Services, Inc.MML Investors Services, LLC10-19-2017
Dennis Michael TracyAmeriprise Financial Services, Inc.Oppenheimer & Co. Inc.$15010-13-2017
Jesse M SheldonAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$1,00008-11-2017
Paul Edward SheldonAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$15008-11-2017
Anthony Joseph Williams IIIAmeriprise Financial Services, Inc.SC Distributors, LLC07-21-2017
Nafi Musa HusseinAmeriprise Financial Services, Inc.MetLife Securities Inc.$2503-06-2017
William Carl OstrandAmeriprise Financial Services, Inc.Oppenheimer & Co. Inc.$10002-10-2017
Kimball John BechtoldAmeriprise Financial Services, Inc.Morgan Stanley$10011-11-2016
Jeri Kay CaskaAmeriprise Financial Services, Inc.Morgan Stanley08-22-2016
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Showing 1 to 25 of 81 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.

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