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
Timothy William MoffittAmeriprise Financial Services, Inc.Northwestern Mutual Investment Services, LLC08-29-2014
Scott Leroy EnglehartAmeriprise Financial Services, Inc.MetLife Securities Inc.04-04-2014
Gary BaumgartnerAmeriprise Financial Services, Inc.Morgan Stanley$7402-28-2014
Gary Frederick BaumgartnerAmeriprise Financial Services, Inc.Morgan Stanley02-28-2014
George Stephen Connor Jr.Ameriprise Financial Services, Inc.J.P. Morgan Securities LLC02-14-2014
Christine Marie PallAmeriprise Financial Services, Inc.Mesirow Financial Investment Management, Inc.$2502-03-2014
Michael Stephen PalmerAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5001-17-2014
Paul B CampbellAmeriprise Financial Services, Inc.AXA Advisors, LLC11-25-2013
Scott Patrick GradyAmeriprise Financial Services, Inc.Morgan Stanley11-08-2013
Scott Craig VingrenAmeriprise Financial Services, Inc.Morgan Stanley$5010-11-2013
Kathy Ann SchickerlingAmeriprise Financial Services, Inc.Morgan Stanley10-11-2013
Marcin Piotr KapralAmeriprise Financial Services, Inc.BMO Harris Financial Advisors, Inc.07-30-2013
Narayan Shamrao AthanikarAmeriprise Financial Services, Inc.Morgan Stanley$7506-21-2013
Ziv Ohel, Bill DuncanAmeriprise Financial Services, Inc.Morgan Stanley$27511-16-2012
William James DuncanAmeriprise Financial Services, Inc.Morgan Stanley$15011-16-2012
Eric David SchneiderAmeriprise Financial Services, Inc.Waddell & Reed11-16-2012
Jenine Louise MehrAmeriprise Financial Services, Inc.Morgan Stanley$5008-31-2012
Sarah Marie JohnsonAmeriprise Financial Services, Inc.VALIC Financial Advisors, Inc.08-27-2012
Michael Nathan BernbergAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5006-29-2012
Keith Alan DavisonAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$2505-25-2012
Alan Jay RichmondAmeriprise Financial Services, Inc.Morgan Stanley$10004-27-2012
Mark Howard RichmondAmeriprise Financial Services, Inc.Morgan Stanley$5004-27-2012
Ben B Bartlett AlbertsAmeriprise Financial Services, Inc.UBS Financial Services Inc.$10003-05-2012
Brian Gerard McGivernAmeriprise Financial Services, Inc.UBS Financial Services Inc.02-17-2012
Nicholas James StratigakesAmeriprise Financial Services, Inc.UBS Financial Services Inc.02-17-2012
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Showing 51 to 75 of 132 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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