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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Kevin Michael BroderickOppenheimer & Co. Inc.Citigroup Global Markets Inc.01-08-2009
Anibal Drelichman Jr.Oppenheimer & Co. Inc.Citigroup Global Markets Inc.03-20-2009
Guido Jorge AlvarezOppenheimer & Co. Inc.Citigroup Global Markets Inc.03-20-2009
Christopher John BriggsOppenheimer & Co. Inc.Citigroup Global Markets Inc.04-17-2009
James Patrick HartyOppenheimer & Co. Inc.Citigroup Global Markets Inc.$15004-17-2009
Charles Arthur RuttenbergOppenheimer & Co. Inc.Citigroup Global Markets Inc.$104-17-2009
Stephen Robert MatlackOppenheimer & Co. Inc.Janney Montgomery Scott LLC$2511-18-2010
Robert Dale FisherOppenheimer & Co. Inc.Morgan Stanley05-20-2011
Scott ShulmanOppenheimer & Co. Inc.RBC Capital Markets, LLC$10008-22-2011
Jim MoodyOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-09-2012
George W Fellows Jr.Oppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$20011-14-2012
Clara Ines MontanezOppenheimer & Co. Inc.Morgan Stanley01-22-2013
Kamal Asad MalhisOppenheimer & Co. Inc.Edward Jones07-01-2013
Evan A. ChiarenzelliOppenheimer & Co. Inc.Voya Financial Advisors, Inc.08-16-2013
Alexi SaccoOppenheimer & Co. Inc.UBS Financial Services Inc.09-24-2013
Mark Christopher HughesOppenheimer & Co. Inc.UBS Financial Services Inc.$2511-10-2014
Thomas Wilbur JewsburyOppenheimer & Co. Inc.TD Ameritrade Investment Management, LLC01-05-2015
Dean Andrew BahniukOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2502-20-2015
Brian Justin BermanOppenheimer & Co. Inc.RBC Capital Markets, LLC10-01-2015
Robert Michael Dougherty Jr.Oppenheimer & Co. Inc.Capital Portfolio Management, Inc.$5008-05-2016
Allison Marie TaylorOppenheimer & Co. Inc.SunTrust Investment Services, Inc.09-29-2016
Gerhard OlsenOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$12710-13-2017
Cole Alexander SamuelsOppenheimer & Co. Inc.Charles Schwab & Co., Inc.06-14-2018
Larry Alan SchwartzmanOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC$5009-28-2018
Edward Robert Dudlik IIIOppenheimer & Co. Inc.Morgan Stanley12-18-2018
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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.