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
Debora Ann BeaudinKey Investment Services LLCWoodbury Financial Services, Inc.03-17-2009
Scott Michael KennedyMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$10003-19-2009
Jeffrey Lee BrisbenMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC03-19-2009
Kevin Wayne NiceleyMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC03-19-2009
Daniel Frank DavilaRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC03-23-2009
Marsha G HarrisBrookstone Capital Management LLCOneAmerica Securities, Inc.03-25-2009
Kenneth Eric BallengerWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.03-27-2009
Michael Anthony GrauWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.03-27-2009
David Vaughan Scott Jr.Wells Fargo Clearing Services, LLCCitigroup Global Markets Inc.03-27-2009
Katheryn D. HigginsThrivent Investment Management Inc.Morgan Stanley & Co. LLC03-30-2009
Marc Edward SchultzRaymond James & Associates, Inc.Natcity Investments, Inc.03-31-2009
David James KrugerCFD Investments, Inc.Morgan Stanley & Co. Incorporated04-06-2009
Steven Richard SmithWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$10004-16-2009
Johnelle Michael SmithWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$10004-16-2009
F. Cameron CefaliWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$5004-16-2009
Scott David NoelWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.04-16-2009
Lynn Dennis MoellerThurston Springer FinancialWells Fargo Clearing Services, LLC04-20-2009
Steven Douglas SandkuhlerAmeriprise Financial Services, Inc.Cetera Investment Services LLC04-24-2009
Dennis Eugene KenleyCharter Advisory CorporationMutual Service Corporation04-30-2009
John Stratton HettigerMML Investors Services, LLCAXA Advisors, LLC$2505-01-2009
Robert Jerome TaylorRaymond James Financial Services, Inc.Raymond James & Associates, Inc.05-01-2009
David Allen Gandolph Jr.American Fidelity Securities, Inc.Mutual Service Corporation05-04-2009
Aaron Klye LanteigneThrivent Investment Management Inc.Edward Jones05-07-2009
James Wagoner PellerMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC$10005-08-2009
David John BrandvikRaymond James & Associates, Inc.Citigroup Global Markets Inc.$15005-15-2009
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Showing 26 to 50 of 1,614 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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