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
Robert Merrill CarterOppenheimer & Co. Inc.Morgan Stanley06-17-2009
Russell Lee OganOppenheimer & Co. Inc.Morgan Stanley06-19-2009
Kelly Ann DobranskiOppenheimer & Co. Inc.Morgan Stanley06-19-2009
Matthew C. SloanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-10-2009
Vergil Haven RorerWells Fargo Clearing Services, LLCMorgan Stanley$5007-15-2009
Richard Darrell OttWells Fargo Clearing Services, LLCMorgan Stanley$10008-06-2009
Richard David OttWells Fargo Clearing Services, LLCMorgan Stanley08-06-2009
Robert Mark Leidner, Ernst Chad Leidner, Melissa MattesonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley08-28-2009
Charles Anthony SperrazzaMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2509-11-2009
Neil David SchwartzWells Fargo Clearing Services, LLCMorgan Stanley$10010-02-2009
John Owen Jones IVMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley10-09-2009
Patrick William MackeyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2511-20-2009
Robert James NolanRaymond James & Associates, Inc.Morgan Stanley12-01-2009
Frank Parker Durand, David Bryan GallentineWells Fargo Advisors Financial Network, LLCMorgan Stanley12-10-2009
George James ZeckKovack Securities Inc.Morgan Stanley$1001-15-2010
Samuel Albert RothbergAmeriprise Financial Services, Inc.Morgan Stanley02-05-2010
Derek Amron GrimmMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5002-18-2010
Susan Marie HiteWells Fargo Clearing Services, LLCMorgan Stanley$15002-26-2010
James Whitfield Warren IIIWells Fargo Clearing Services, LLCMorgan Stanley$5002-26-2010
Susan Pounds ChandlerOppenheimer & Co. Inc.Morgan Stanley$15003-12-2010
Eugene Scott KellerWells Fargo Advisors Financial Network, LLCMorgan Stanley$5003-17-2010
Joseph Alan Giangreco Jr.Raymond James Financial Services, Inc.Morgan Stanley$10003-26-2010
Russ Guard & Jacob DuffyRobert W. Baird & Co.Morgan Stanley$15003-28-2010
Michael Charles RothenbergWells Fargo Clearing Services, LLCMorgan Stanley$2505-11-2010
Michael T. DegenovaAPW Capital, Inc.Morgan Stanley05-17-2010
Next Page »

Showing 1 to 25 of 578 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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