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
Albert Leonard Blakes IIIRBC Capital Markets, LLCJ. B. Hanauer & Co.10-09-2009
Alison Mills GardnerRBC Capital Markets, LLCMorgan Stanley$5008-31-2017
Ana Maria BrinkleyRBC Capital Markets, LLCStephens11-01-2017
Barbara Ann PhetheanRBC Capital Markets, LLCMorgan Stanley$1002-26-2016
Bradley Steven HaringRBC Capital Markets, LLCMorgan Stanley06-21-2016
David C SternRBC Capital Markets, LLCJ. B. Hanauer & Co.10-09-2009
Dustin Allen SmithRBC Capital Markets, LLCUBS Financial Services Inc.$10004-01-2015
Ellen Ford KriderRBC Capital Markets, LLCJ. B. Hanauer & Co.10-09-2009
Eric Stephen DionRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00005-18-2018
Gary Neil WeissmanRBC Capital Markets, LLCWells Fargo Clearing Services, LLC05-18-2018
Glen J. SchwesingerRBC Capital Markets, LLCUBS Financial Services Inc.$5005-14-2019
Gordon Richard NearingRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15010-18-2018
Howard Alan SmithRBC Capital Markets, LLCJ. B. Hanauer & Co.10-09-2009
Hugh O'ConnorRBC Capital Markets, LLCMorgan Stanley01-29-2013
Irl Andrew SolomonRBC Capital Markets, LLCBarclays Capital Inc.$15001-30-2015
James JahnsenRBC Capital Markets, LLCJ. B. Hanauer & Co.10-09-2009
James Michael EarlRBC Capital Markets, LLCJ. B. Hanauer & Co.10-09-2009
James Robert RubintonRBC Capital Markets, LLCUBS Financial Services Inc.$5004-01-2015
Jeffrey L NovaRBC Capital Markets, LLCRaymond James & Associates, Inc.10-21-2013
John Alexander DunnRBC Capital Markets, LLCMorgan Stanley$1010-31-2017
John Henry KesslerRBC Capital Markets, LLCJ. B. Hanauer & Co.10-09-2009
John Lawrence PerryRBC Capital Markets, LLCWells Fargo Clearing Services, LLC10-01-2018
Kenneth Paul CerrutoRBC Capital Markets, LLCRaymond James & Associates, Inc.$5010-21-2013
Linda Ann NataleRBC Capital Markets, LLCMorgan Stanley01-26-2012
Marc L HarwoodRBC Capital Markets, LLCSidoti & Company, LLC07-05-2018
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Showing 1 to 25 of 40 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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