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
Stephan F. DiolWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2009
Benjamin John MillerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-16-2009
Robert Adolph DavitUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-16-2009
Paul Eugene Lee, Scott Christopher Wardrop, Ryan Thomas LindgrenUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15002-05-2009
Jacob Roy NiggemannUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-05-2009
Stephen Jay GibbsLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-27-2009
Jeffrey Erik FjeldheimRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5003-13-2009
David Brian CaraherRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2503-13-2009
Daniel Michael VolkWintrust Investments LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-16-2009
John Paul KennyKenny Capital Management, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-31-2009
Deborah Lou ArchRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-13-2009
Shawn Yukio ValukasUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-17-2009
William Thomas Read IIIUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-24-2009
Bradley Paul ParksUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-24-2009
Jason T GuntherEdward JonesMerrill Lynch, Pierce, Fenner & Smith Incorporated04-27-2009
Bai YuenCitigroup Global Markets Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-15-2009
John William LisyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1005-18-2009
Charles F. ThalheimerAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-17-2009
Elizabeth Ann PuterbaughMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-18-2009
Cathy S. ButlerMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-18-2009
Sherman Jude FernandesLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-21-2009
Lloyd William Montgomery IIIRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-17-2009
Douglas Eric RosenGoldman Sachs & Co.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-28-2010
Alex Edmond HalesMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated06-30-2010
Gerald W SmithUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5010-22-2010
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Showing 1 to 25 of 153 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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