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
Elizabeth Andrea AllenAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10002-11-2009
Geoffrey Weber MurvinAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10002-13-2009
Francisco Javier TorresAmeriprise Financial Services, Inc.Morgan Stanley & Co. LLC$50002-27-2009
Robert Lawrence WaxmanAmeriprise Financial Services, Inc.UBS Financial Services Inc.04-29-2009
Paul D RosenfeldAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.$50005-08-2009
Christopher John JacobiAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$20005-28-2009
Keith Michael KunzigAmeriprise Financial Services, Inc.UBS Financial Services Inc.06-03-2009
Steven Lawrence LevinsonAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$15006-12-2009
Steven Bruce GutheitAmeriprise Financial Services, Inc.Morgan Stanley$35006-19-2009
Karen Megale HarveyAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$50007-17-2009
Jeffrey Paul KnowlesAmeriprise Financial Services, Inc.Morgan Stanley$50009-18-2009
Jeffrey Paul BadamoAmeriprise Financial Services, Inc.UBS Financial Services Inc.$15009-25-2009
Eric J. NegronAmeriprise Financial Services, Inc.Colonial Brokerage, Inc.10-01-2009
Geoffrey Allen JonesAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$50010-02-2009
Andrew Malcolm YaleAmeriprise Financial Services, Inc.UBS Financial Services Inc.10-06-2009
Diego Alberto RodriguezAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$15011-06-2009
Charles Stuart JenkinsAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$10012-18-2009
Michael Douglas WaltersAmeriprise Financial Services, Inc.Morgan Stanley$25012-18-2009
Scott Louis LevineAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$25001-04-2010
Michael Louis CowanAmeriprise Financial Services, Inc.UBS Financial Services Inc.$50001-08-2010
Christopher David BuchananAmeriprise Financial Services, Inc.Newbridge Securities Corporation$50001-08-2010
Richard Joseph LandiAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)01-13-2010
Dorothy Alice AdairAmeriprise Financial Services, Inc.New England Securities$10001-21-2010
Alan Howard BleckerAmeriprise Financial Services, Inc.SII Investments, Inc.$25001-22-2010
Samuel Albert RothbergAmeriprise Financial Services, Inc.Morgan Stanley$10002-05-2010
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Showing 1 to 25 of 438 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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