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
John Mcguire Heckler Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley & Co. LLC01-06-2009
Kevin Michael BroderickOppenheimer & Co. Inc.Citigroup Global Markets Inc.01-08-2009
Robert Joseph ButtarazziStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$15001-09-2009
Frederick L Shreves III, Matthew Thomas CarroccioWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.01-09-2009
Keith J. AptonUBS Financial Services Inc.Morgan Stanley & Co. LLC$10001-15-2009
Victor Owen RoyUBS Financial Services Inc.Morgan Stanley & Co. LLC01-15-2009
Gregory H. MarcusUBS Financial Services Inc.Morgan Stanley & Co. LLC$15001-30-2009
Paul D AndrewsUBS Financial Services Inc.Morgan Stanley & Co. LLC$5001-30-2009
Timothy Reath Jr.UBS Financial Services Inc.Morgan Stanley & Co. LLC$5002-06-2009
Robert KwiatkowskiFolger Nolan Fleming Douglas IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$2502-06-2009
John Gardiner Evans Jr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.$1002-06-2009
Brian Christpoher TurnerWells Fargo Clearing Services, LLCUBS Financial Services Inc.02-06-2009
Pamela Nichols HoweUBS Financial Services Inc.Morgan Stanley & Co. LLC02-12-2009
Robert S. Samuel Wright, Todd Hume NicholsUBS Financial Services Inc.Wells Fargo Clearing Services, LLC02-13-2009
Daniel Seth ParnesWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.02-20-2009
Scott Edward DeffinbaughRBC Capital Markets, LLCLPL Financial LLC$15002-27-2009
Albert Leroy LindquistFSC Securities CorporationAdvantage Capital Corporation$5002-27-2009
David William BorensteinWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.02-27-2009
Kenneth Andrew SpragueWells Fargo Clearing Services, LLCMorgan Stanley & Co. LLC02-27-2009
Susan Marie HovanecRBC Capital Markets, LLCFerris, Baker Watts, LLC$20003-13-2009
Mary Loretta MathiasRBC Capital Markets, LLCFerris, Baker Watts, LLC$15003-13-2009
Shawn Bransby O'ReillyRBC Capital Markets, LLCFerris, Baker Watts, LLC$15003-13-2009
Loren Leroy DanielsonRBC Capital Markets, LLCFerris, Baker Watts, LLC$15003-13-2009
Kathleen Diane CabralesRBC Capital Markets, LLCFerris, Baker Watts, LLC$10003-13-2009
Ian Oliver CrandallRBC Capital Markets, LLCFerris, Baker Watts, LLC$10003-13-2009
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Showing 1 to 25 of 457 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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