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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Stanley Diane DionneMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-06-2009
Richard William Walesch Jr., Verlin Kim HeimanMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-09-2009
Jeffrey Scott SimmonsMerrill Lynch, Pierce, Fenner & Smith IncorporatedPrincipal Securities, Inc.02-18-2009
Thomas Francis NelsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$15003-10-2009
Ioannis Konstantinos MitsisMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.03-11-2009
Ziad Emil Habayeb, Emile Nabil HabayebMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.03-27-2009
Michael Joseph Kelleher, Jeffrey Alan SilvermanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-03-2009
Floyd Devoe Jordan, Stephen Patrick McGovernMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.05-13-2009
Luther Matthew Byrd, Paul Lindsey HarpMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$5005-29-2009
Jill Golden Aronberg-HellerMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$10006-02-2009
Jesus RomeroMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$15007-02-2009
Pedro Paulo Silva, Andre De Oliveira MendesMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.07-02-2009
Matthew C. SloanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-10-2009
Matthew Hilton LeeMerrill Lynch, Pierce, Fenner & Smith IncorporatedLincoln Financial Securities Corporation$1008-03-2009
Alberto Fernando CosioMerrill Lynch, Pierce, Fenner & Smith IncorporatedAllianceBernstein L.P.$1008-10-2009
Laurie Maxine Wynn, Alec Matthew LindenauerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10008-21-2009
Morris Ernesto GordonMerrill Lynch, Pierce, Fenner & Smith IncorporatedPruco Securities, LLC.08-24-2009
Bruce Randy SearingMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.08-25-2009
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
Lara Elisabeth FinebloomMerrill Lynch, Pierce, Fenner & Smith IncorporatedNew England Securities09-16-2009
John Owen Jones IVMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley10-09-2009
Constantine John TsonasMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC10-13-2009
Kenneth Homer KubikMerrill Lynch, Pierce, Fenner & Smith IncorporatedBanc of America Investment Services, Inc.$15010-23-2009
Stephen Michael CallariMerrill Lynch, Pierce, Fenner & Smith IncorporatedBanc of America Investment Services, Inc.$15010-23-2009
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Showing 1 to 25 of 531 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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