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
Jill Stallings GutreuterJ.J.B. Hilliard, W.L. Lyons, LLCCitigroup Global Markets Inc.$5001-02-2009
George Scott WrayWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$5001-09-2009
John C. GarciaMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$5001-09-2009
Harold Kenneth ReinkingRaymond James & Associates, Inc.Citigroup Global Markets Inc.01-09-2009
Richard Jay HawkLPL Financial LLCCitigroup Global Markets Inc.$5001-26-2009
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
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
David John BrandvikRaymond James & Associates, Inc.Citigroup Global Markets Inc.$15005-15-2009
David Robert SlaughterRaymond James & Associates, Inc.Citigroup Global Markets Inc.$10005-15-2009
Ulrich KoenigRaymond James & Associates, Inc.Citigroup Global Markets Inc.$5005-15-2009
William Arlan Gray Jr.Raymond James & Associates, Inc.Citigroup Global Markets Inc.05-15-2009
Scott Alan BaileyRaymond James & Associates, Inc.Citigroup Global Markets Inc.05-15-2009
Shawn Patrick TaylorRaymond James & Associates, Inc.Citigroup Global Markets Inc.05-15-2009
Michael E. HarperLPL Financial LLCCitigroup Global Markets Inc.05-22-2009
William Bernard KelleyMorgan StanleyCitigroup Global Markets Inc.$20006-01-2009
James Robert SchraderMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Mark Bradley StoltzMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Richard Brian DeckardMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Louis Joseph FenoglioMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Michael Edward WarrenMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
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Showing 1 to 25 of 59 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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