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
Nina E ParramoreOppenheimer & Co. Inc.Morgan Stanley06-01-2009
Robert Merrill CarterOppenheimer & Co. Inc.Morgan Stanley$15006-17-2009
Neil LeclairOppenheimer & Co. Inc.Morgan Stanley$50006-17-2009
Russell Lee OganOppenheimer & Co. Inc.Morgan Stanley$15006-19-2009
Steven Bruce GutheitAmeriprise Financial Services, Inc.Morgan Stanley$35006-19-2009
Kelly Ann DobranskiOppenheimer & Co. Inc.Morgan Stanley06-19-2009
Robert Dirlam ThompsonOppenheimer & Co. Inc.Morgan Stanley06-22-2009
Odalys Delfina VisbalChase Investment Services Corp.Morgan Stanley07-01-2009
Matthew C. SloanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$50007-10-2009
Vergil Haven RorerWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley$50007-15-2009
Thomas Richard Ehrbar IIRaymond James & Associates, Inc.Morgan Stanley$10007-31-2009
Richard Darrell OttWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley$10008-06-2009
Richard David OttWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley$10008-06-2009
Mara Ellen LevittMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$15008-06-2009
Brian Christopher CoatoamMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$50008-06-2009
Seymour KatzMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10008-14-2009
John Anthony RiccoMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley08-14-2009
Sheila Lee GabelMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley08-24-2009
Melissa MattesonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10008-28-2009
Robert Mark LeidnerMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$15008-28-2009
Ernst Chad LeidnerMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$25008-28-2009
Charles Anthony SperrazzaMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$25009-11-2009
John William SwaineRaymond James Financial Services, Inc.Morgan Stanley$25009-16-2009
Jeffrey Paul KnowlesAmeriprise Financial Services, Inc.Morgan Stanley$50009-18-2009
Neil David SchwartzWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley$10010-02-2009
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Showing 1 to 25 of 1,105 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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