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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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Elizabeth Ann PuterbaughMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-18-2009
Cathy S. ButlerMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-18-2009
Alex Edmond HalesMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated06-30-2010
Mark Allen FrommerMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$2510-29-2010
Tammy Marie SwansonMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated12-15-2010
Peter B. MaguireMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$1001-18-2011
Mark Anthony GiovanazziMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$2504-07-2011
Ronald Samuel VenturaMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$10006-29-2011
Jeffrey Allan GrangeMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$15002-17-2012
Jeffrey Randall HollisMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated02-17-2012
Jeffrey Grange, Jeffrey HollisMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$22702-23-2012
Gary Lynn Phelps, Alfredo SerranoMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5003-16-2012
Mary Elizabeth WebbMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated03-04-2013
Mark R. AckermanMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated12-13-2013
Micah Thomas Shields, Bartosz Piotr BakMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated01-03-2014
John D. GilliesMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$2505-02-2014
Dino Anthony CapitaniMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$10005-23-2014
Michael M KavanaghMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated05-23-2014
Gregory FlynnMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5006-05-2014
Joseph Richard BertoniMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$1009-11-2015
Kevin Scott Fine, Scott OmanskyMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated03-18-2016
Gilbert J MauroMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated05-10-2016
Charles ShawMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated05-26-2016
Michael Lawrence WittmanMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated07-25-2016
Sheronda Malvina ShepherdMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated05-22-2018
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Showing 1 to 25 of 30 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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