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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Mark EssenfeldAmeriprise Financial Services, Inc.Morgan Stanley & Co. LLC05-01-2009
William Lorne WilkinsAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC05-22-2009
Charles F ThalheimerAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-17-2009
Gary Scott SpencerAmeriprise Financial Services, Inc.Long Grove Trading Co.$15008-31-2009
Janice Lynn Goldman PickerAmeriprise Financial Services, Inc.Howe Barnes Hoefer & Arnett, Inc.10-02-2009
Cesar Francisco Ferrer SevillaAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.$111-23-2009
Michael James MurphyAmeriprise Financial Services, Inc.Chase Investment Services Corp.02-25-2010
David H HolanAmeriprise Financial Services, Inc.UBS Financial Services Inc.$2503-05-2010
Douglas WinzelbergAmeriprise Financial Services, Inc.UBS Financial Services Inc.$5004-01-2010
Phillip James SitarAmeriprise Financial Services, Inc.Edward Jones$2504-01-2010
Stuart L PearlAmeriprise Financial Services, Inc.Morgan Stanley06-18-2010
Patrick Jermaine PhillipsAmeriprise Financial Services, Inc.Robert W. Baird & Co. Incorporated08-13-2010
Steven Richard FaganAmeriprise Financial Services, Inc.Kalos Capital, Inc.$1008-25-2010
Michael Dan RuggieroAmeriprise Financial Services, Inc.UBS Financial Services Inc.03-04-2011
Paul Joseph DonatoAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.03-11-2011
Sharon Lee MaloneyAmeriprise Financial Services, Inc.Brewer Financial Services, LLC03-23-2011
Anthony David MlachnikAmeriprise Financial Services, Inc.Quasar Distributors, LLC04-04-2011
Terence MarableAmeriprise Financial Services, Inc.Morgan Stanley05-09-2011
Melissa Ann DixonAmeriprise Financial Services, Inc.Robert W. Baird & Co. Incorporated$5005-11-2011
Michael James PhillippAmeriprise Financial Services, Inc.Raymond James & Associates, Inc.$5007-15-2011
Craig David AlexanderAmeriprise Financial Services, Inc.Hornor, Townsend & Kent, LLC$1007-26-2011
Joey Robert LovgrenAmeriprise Financial Services, Inc.Edward Jones09-02-2011
Daniel Michael HarrisAmeriprise Financial Services, Inc.BMO Harris Financial Advisors, Inc.09-16-2011
Matthew Eugene TomichAmeriprise Financial Services, Inc.Raymond James & Associates, Inc.$109-30-2011
James Andrew HeilgeistAmeriprise Financial Services, Inc.Chase Investment Services Corp.10-14-2011
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Showing 1 to 25 of 107 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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