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
Stephan F DiolWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1,00001-02-2009
Teresa Rose SoppetRBC Capital Markets, LLCOppenheimer & Co. Inc.01-05-2009
Michael Neil MazurskyNorth Star Investment Services, Inc.Long Grove Trading Co.$2501-05-2009
Daniel ResnickJ.P. Morgan Securities LLCGoldman Sachs & Co.01-05-2009
Harvey Allan KaluznaSPCEvergreen Investment Advisors LLC$5001-07-2009
Brian Frederick RandallRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$10001-09-2009
Kenneth Lee NettletonRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$5001-09-2009
Vicky S CampbellRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC01-09-2009
Todd Andrew MontgomeryLPL Financial LLCWells Fargo Clearing Services, LLC$2501-09-2009
Robert Wesley FoersterlingUBS Financial Services Inc.Morgan Stanley & Co. LLC01-09-2009
Rachel D IronsUBS Financial Services Inc.Morgan Stanley & Co. LLC$2501-09-2009
Thomas William KosandaNorthwestern Mutual Investment Services, LLCFirst Heartland Capital, Inc.01-12-2009
Michael Arthur SebaldLandolt Securities, Inc.ePlanning Securities, Inc.01-15-2009
Linda Brandi MozzoneLPL Financial LLCWells Fargo Clearing Services, LLC01-16-2009
Robert Adolph DavitUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-16-2009
Benjamin John MillerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-16-2009
Susan Lynn EssesPrincipal Securities, Inc.Lincoln Financial Advisors Corporation01-21-2009
Daniel TIMOTHY LombardiMerrill Lynch, Pierce, Fenner & Smith IncorporatedChase Investment Services Corp.01-21-2009
Jeffrey Allan HeilmanAusdal Financial Partners, Inc.Waterstone Financial Group, Inc.$10001-22-2009
Barton Reid WarrenMWA Financial Services Inc.Country Capital Management Company01-23-2009
James Gerard HagedornChicago Partners Investment Group LLCThe Mosaic Financial Group, LLC01-26-2009
Liem Thanh NguyenState Farm VP Management Corp.Citigroup Global Markets Inc.01-27-2009
Todd Matthew RenihanAllstate Financial Services, LLCEquitable Advisors, LLC$5001-28-2009
Hugh BreslinUBS Financial Services Inc.Banc of America Investment Services, Inc.01-30-2009
Philip Charles Allen JrUBS Financial Services Inc.Banc of America Investment Services, Inc.01-30-2009
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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.