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

Results filtered by


Adviser(s) Firm joining Firm leaving AUM ($M) Date
John Anthony NolePaulson Investment Company LLCAegis Capital Corp.$10007-15-2016
David Lawrence KanenKanen Wealth Management LLCAegis Capital Corp.03-23-2016
Bradley Gatewood GeiseVoya Financial Advisors, Inc.Aegis Capital Corp.03-09-2016
Sanjiv M. SasteRaymond James Financial Services, Inc.Aegis Capital Corp.02-18-2016
Michael PadillaWells Fargo Clearing Services, LLCAegis Capital Corp.$5009-24-2012
Sharon Myra TartAmerican Portfolios Financial Services, Inc.Aegis Capital Corp.04-17-2009
Lizbeth Tracy BloomArive Capital MarketsAlexander Capital, L.P.05-19-2015
Mabel LopezCentaurus Financial, Inc.Allen & Company of Florida, Inc.08-26-2016
Aaron Fay ShroyerJ.W. Cole Financial, Inc.Allen & Company of Florida, Inc.09-14-2015
Violeta B. SaludInvestacorp, Inc.Allen & Company of Florida, Inc.$1007-28-2010
Kim S DixonMerrill Lynch, Pierce, Fenner & Smith IncorporatedAllen, Mooney & Barnes Brokerage Services, LLC$2509-04-2015
Brian David StokesMorgan StanleyAllianceBernstein Investments, Inc.09-14-2009
Cameron A CaprioVentureMFO LLCAllianceBernstein L.P.07-05-2019
Scott C. BarberAmeriprise Financial Services, Inc.AllianceBernstein L.P.11-21-2016
Ivan Miguel MendozaWells Fargo Advisors Financial Network, LLCAllianceBernstein L.P.04-13-2016
Joseph William LawrenceNeuberger Berman LLCAllianceBernstein L.P.01-05-2015
Paul Selby DolcimascoloUBS Financial Services Inc.AllianceBernstein L.P.$10007-15-2014
Pedro A. FernandezUBS Financial Services Inc.AllianceBernstein L.P.04-28-2014
Barry Allen SchwartzUBS Financial Services Inc.AllianceBernstein L.P.06-12-2013
Christopher R. CoramUBS Financial Services Inc.AllianceBernstein L.P.03-04-2013
Moshe Ron BaninUBS Financial Services Inc.AllianceBernstein L.P.02-13-2013
Marc R. AngleMerrill Lynch, Pierce, Fenner & Smith IncorporatedAllianceBernstein L.P.01-14-2013
Christopher Jeremy MacfarlaneRobert W. Baird & Co. IncorporatedAllianceBernstein L.P.08-12-2011
Lance P. RossOppenheimer & Co. Inc.AllianceBernstein L.P.$1011-01-2010
Alberto Fernando CosioMerrill Lynch, Pierce, Fenner & Smith IncorporatedAllianceBernstein L.P.$1008-10-2009
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Showing 26 to 50 of 8,423 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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