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
Brian Patrick ThomasStifel, Nicolaus & Company, IncorporatedMorgan Stanley$109-13-2018
Lynne Mary OhrtStifel, Nicolaus & Company, IncorporatedMorgan Stanley$2509-13-2018
Myron Lynn HendrixStifel, Nicolaus & Company, IncorporatedMorgan Stanley$10009-13-2018
Ronald Stuart OuwengaStifel, Nicolaus & Company, IncorporatedMorgan Stanley$15009-13-2018
Marilyn June BlackStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC07-16-2018
Henry Michael EnnoStifel, Nicolaus & Company, IncorporatedMorgan Stanley$11611-02-2017
Rosario Joseph PetrizzoStifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC$15002-10-2017
Gary Wayne HencyStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$15011-30-2016
Leland Charles Roider IIStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$15011-30-2016
William Eldon Krueger Jr.Stifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$10010-06-2016
Janice Anne ReillyStifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC$15009-30-2016
David Jeffrey MorrisStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$15008-26-2016
Matthew Benjamin WaldmanStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.08-04-2016
Timothy DarraghStifel, Nicolaus & Company, IncorporatedCredit Suisse Securities (USA) LLC$15002-25-2016
Maurice James GriffinStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$20809-03-2014
David Richard MillingStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$10007-01-2014
Steven Howard WineStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.06-19-2014
Edmund Joseph SwainStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$6506-18-2014
Patricia Ann StarkStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.06-18-2014
Roberta Ann KraemerStifel, Nicolaus & Company, IncorporatedCredit Suisse Securities (USA) LLC06-13-2014
John Eric SuessStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$2501-23-2014
Richard James RattermanStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC01-23-2014
Richard Robert SimsStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$24701-23-2014
Paul Christopher KlehrStifel, Nicolaus & Company, IncorporatedRaymond James & Associates, Inc.$105-23-2012
Gary Albert DurchholzStifel, Nicolaus & Company, IncorporatedAssist Investment Management Company, Inc.$10003-21-2012
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Showing 1 to 25 of 43 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.

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