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

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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
Krista PiccoWells Fargo Clearing Services, LLCFirst Clearing, LLC01-06-2009
Ronald Michael GellmannWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15001-16-2009
Scott Edward KellyWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$1003-06-2009
Matthew David TrueWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.03-06-2009
Vincent Carl Feijoo Jr.Wells Fargo Clearing Services, LLCBanc of America Investment Services, Inc.$2503-27-2009
Christian FragosoWells Fargo Clearing Services, LLCBanc of America Investment Services, Inc.03-27-2009
David Dudley OsbornWells Fargo Clearing Services, LLCHSBC Securities (USA) Inc.$1004-06-2009
Richard Andre QuirionWells Fargo Clearing Services, LLCBanc of America Investment Services, Inc.$5004-27-2009
George W MurphyWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$2505-01-2009
Sylvia Nelly GuinanWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$2505-29-2009
Douglas Alan BrownWells Fargo Clearing Services, LLCWells Fargo Investments, LLC10-06-2009
Bryan Dean MurphyWells Fargo Clearing Services, LLCUBS Financial Services Inc.$15002-26-2010
Steven Thomas NorrisWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-17-2010
George Haven Welker IIIWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-24-2010
Robert John SartoriWells Fargo Clearing Services, LLCMorgan Stanley$2509-17-2010
Jarrod Fletcher SlaterWells Fargo Clearing Services, LLCJanney Montgomery Scott LLC$15002-22-2011
Jo Ann Swatt-CsireWells Fargo Clearing Services, LLCChase Investment Services Corp.07-01-2011
Anne Maureen DebowesWells Fargo Clearing Services, LLCChase Investment Services Corp.07-01-2011
Daniel R. SmithWells Fargo Clearing Services, LLCMetLife Securities Inc.08-12-2011
Scott James MastoccioloWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-13-2012
Katherine Louise BernardiWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2504-20-2012
John Stephan JeeWells Fargo Clearing Services, LLCMorgan Stanley$10007-05-2012
Michele Jeanne WatermanWells Fargo Clearing Services, LLCPeople's Securities, Inc.08-10-2012
Jeffrey Bart CohenWells Fargo Clearing Services, LLCCAP Advisors LLC10-05-2012
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Showing 1 to 25 of 96 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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