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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Stephen G. DouglasWells Fargo Clearing Services, LLCMidwestern Securities Trading Company, LLC$1009-07-2010
Gary Eugene LoweryWells Fargo Clearing Services, LLCMorgan Stanley$10009-28-2010
Darin James MullerWells Fargo Clearing Services, LLCMorgan Stanley$5009-28-2010
Richard Anthony StanfelWells Fargo Clearing Services, LLCMelville Island, LLC12-29-2010
David Floyd PooleWells Fargo Clearing Services, LLCWells Fargo Investments, LLC$1001-03-2011
Colleen Rose McCafferyWells Fargo Clearing Services, LLCWells Fargo Investments, LLC01-03-2011
Lauren Razar MatlesWells Fargo Clearing Services, LLCWells Fargo Investments, LLC01-03-2011
Katherine Faye TaberWells Fargo Clearing Services, LLCWells Fargo Investments, LLC01-03-2011
Thomas Matthew RayWells Fargo Clearing Services, LLCMorgan Stanley01-14-2011
Mitchell David InskeepWells Fargo Clearing Services, LLCPNC Investments04-06-2011
James Van MooreWells Fargo Clearing Services, LLCMorgan Stanley$5005-13-2011
Frank B. Gott IIIWells Fargo Clearing Services, LLCRBC Capital Markets, LLC$5006-01-2011
Christopher S. SmulskiWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC06-02-2011
Ryan Patrick McGinnisWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-05-2011
Judith Ann McNiffWells Fargo Clearing Services, LLCMorgan Stanley$2507-22-2011
Tosha Nicole AdamsWells Fargo Clearing Services, LLCStifel, Nicolaus & Company, Incorporated08-11-2011
Matthew Lowell BrochWells Fargo Clearing Services, LLCMorgan Stanley$2509-30-2011
Robert Charles Iorii Jr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.10-14-2011
Robert C. Iorii Sr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.10-14-2011
Scott Alan WickmanWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15011-18-2011
Gregory John FornoffWells Fargo Clearing Services, LLCEdward Jones01-12-2012
Edward James MorrisWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-13-2012
David Stephen KinnearWells Fargo Clearing Services, LLCUBS Financial Services Inc.02-13-2012
Lisa H. BertagnaWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC04-09-2012
David Alan Stachowiak Sr.Wells Fargo Clearing Services, LLCU.S. Bancorp Investments, Inc.04-27-2012
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Showing 26 to 50 of 165 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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