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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
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
Neil David SchwartzWells Fargo Clearing Services, LLCMorgan Stanley$10010-02-2009
Susan Marie HiteWells Fargo Clearing Services, LLCMorgan Stanley$15002-26-2010
James Whitfield Warren IIIWells Fargo Clearing Services, LLCMorgan Stanley$5002-26-2010
Michael Charles RothenbergWells Fargo Clearing Services, LLCMorgan Stanley$2505-11-2010
Jennifer Aites GuadizWells Fargo Clearing Services, LLCMorgan Stanley$2507-02-2010
Thomas William HegartyWells Fargo Clearing Services, LLCMorgan Stanley$5007-28-2010
Brian M BeattieWells Fargo Clearing Services, LLCMorgan Stanley$5007-28-2010
Charles Alan BergmanWells Fargo Clearing Services, LLCMorgan Stanley08-13-2010
Michael Ira SchwarzbergWells Fargo Clearing Services, LLCMorgan Stanley08-13-2010
Gregory D. VelhoWells Fargo Clearing Services, LLCMorgan Stanley10-29-2010
Bradley Alan RoubWells Fargo Clearing Services, LLCMorgan Stanley$10002-02-2011
Stephen Walter BrooksWells Fargo Clearing Services, LLCMorgan Stanley$15002-18-2011
Jeffrey Allan KassowerWells Fargo Clearing Services, LLCMorgan Stanley$5005-26-2011
Sean Christopher KiltauWells Fargo Clearing Services, LLCMorgan Stanley$5006-03-2011
Michael David HopkinsWells Fargo Clearing Services, LLCMorgan Stanley$2507-11-2011
James MageroWells Fargo Clearing Services, LLCMorgan Stanley$2507-13-2011
Nicholas J. MageroWells Fargo Clearing Services, LLCMorgan Stanley07-13-2011
Roger Alan RolfeWells Fargo Clearing Services, LLCMorgan Stanley$10008-19-2011
Brian H. RolfeWells Fargo Clearing Services, LLCMorgan Stanley$1008-19-2011
Chad Wesley SpencerWells Fargo Clearing Services, LLCMorgan Stanley08-19-2011
Scott Thomas BradyWells Fargo Clearing Services, LLCMorgan Stanley10-21-2011
Brian Irving StoneWells Fargo Clearing Services, LLCMorgan Stanley$5011-10-2011
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Showing 1 to 25 of 106 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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