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
Ketan Bhupendra ShahRaymond James Financial Services, Inc.Citizens Securities, Inc.$1001-31-2017
Tiffany Marie LygaRaymond James Financial Services, Inc.Citizens Securities, Inc.02-24-2016
David Michael StewartRaymond James Financial Services, Inc.CUNA Brokerage Services, Inc.$5002-12-2016
Robert Terrence TinklerRaymond James Financial Services, Inc.Foresters Financial Services, Inc.$10006-08-2010
Mark Stephen ColettaRaymond James Financial Services, Inc.HD Vest Investment Services$5005-15-2015
George K. StambouloglouRaymond James Financial Services, Inc.Infinex Investments, Inc.$2510-21-2019
Barbara Jean DuchamRaymond James Financial Services, Inc.Infinex Investments, Inc.12-21-2015
Frederick Francis Judd IIIRaymond James Financial Services, Inc.Infinex Investments, Inc.02-14-2011
Erika Shawn PapeRaymond James Financial Services, Inc.Key Investment Services LLC06-03-2019
Sophie Sobczynski StevensRaymond James Financial Services, Inc.LPL Financial LLC$5010-11-2019
Alexander Floyd OchseRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-08-2019
Larry Jay EpsteinRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-04-2016
Scott Allen MillerRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-11-2012
Dwayne Cedric StallingsRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-04-2012
Roderick Iain DuxburyRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1010-19-2010
Joseph G. MaurielloRaymond James Financial Services, Inc.MetLife Securities Inc.05-25-2016
Christopher Edward RuppRaymond James Financial Services, Inc.Morgan Stanley$10006-15-2018
Sean Matthew ScrabaRaymond James Financial Services, Inc.Morgan Stanley06-15-2018
Craig Frederick BuhrendorfRaymond James Financial Services, Inc.Morgan Stanley$2506-29-2009
Jill Spencer HoneycombRaymond James Financial Services, Inc.Pruco Securities, LLC.08-13-2015
Kevin David GarganoRaymond James Financial Services, Inc.Prudential Annuities Distributors, Inc02-27-2017
Steven Ownen TrippRaymond James Financial Services, Inc.Raymond James & Associates, Inc.09-13-2016
John Walter Kortze IVRaymond James Financial Services, Inc.Raymond James Financial Services Advisors, Inc$15007-19-2018
Joseph Nathan MarkimRaymond James Financial Services, Inc.Santander Securities LLC04-04-2016
Isabella Roma GriffinRaymond James Financial Services, Inc.UBS Financial Services Inc.05-10-2013
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Showing 1 to 25 of 27 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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