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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Richard Alan Von LoeweMorgan StanleyUBS Financial Services Inc.$15006-12-2009
Michael Edward AllawayMorgan StanleyUBS Financial Services Inc.08-28-2009
James V. Petitpren IIMorgan StanleyLPL Financial LLC08-31-2009
Thomas Raymond Morrill Jr.Morgan StanleyCredit Suisse Securities (USA) LLC09-04-2009
Elizabeth Ann PuterbaughMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-18-2009
Cathy S. ButlerMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-18-2009
Franco S. La MarcaMorgan StanleyHowe Barnes Hoefer & Arnett, Inc.09-21-2009
John McCreary SusinMorgan StanleyMetLife Securities Inc.10-19-2009
Denise Marie BaranowskiMorgan StanleyJ.P. Morgan Securities LLC11-09-2009
Joseph J. OsseyMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated11-09-2009
Robert William DionMorgan StanleyVision Investment Services, Inc.$10012-04-2009
Ronald James IdlerMorgan StanleyRBC Capital Markets, LLC$5012-04-2009
Stephen Lance YatesMorgan StanleyVision Investment Services, Inc.01-08-2010
David Allen SchabesMorgan StanleyUBS Financial Services Inc.01-08-2010
William Taylor PattersonMorgan StanleyWilliam Blair$5002-01-2010
Christine Kay SpencerMorgan StanleyAmeriprise Financial Services, LLC02-08-2010
Edward William SpiegelMorgan StanleyNorthern Trust Securities, Inc.$5002-26-2010
David Jerome PazdanMorgan StanleyVision Investment Services, Inc.$10002-26-2010
David Thomas ParkerMorgan StanleyVision Investment Services, Inc.03-02-2010
Jeff T LesniewiczMorgan StanleyWells Fargo Clearing Services, LLC03-12-2010
Peter Gerard ErlMorgan StanleyPrincipal Securities, Inc.$2503-15-2010
Kent Christopher HiemenzMorgan StanleyNorthern Trust Securities, Inc.$15003-24-2010
Timothy John PlattMorgan StanleyUBS Financial Services Inc.04-16-2010
Jan Paul C. FerrerMorgan StanleyUBS Financial Services Inc.$10005-04-2010
Gregory Zaven DadianMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated06-04-2010
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Showing 1 to 25 of 266 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.