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
Brian Neil LawrenceMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Peter Michael SteffensFBT Investments, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Edward Francis LandrySecurian Financial Services, Inc.Global Atlantic Distributors, LLC$2001-09-2009
Diana Dalton StieffelUBS Financial Services Inc.Morgan Keegan & Company, Inc.$5101-12-2009
Karl Michael HectorLincoln Financial Securities CorporationSagePoint Financial, Inc.01-14-2009
Curt Paul ArcementRaymond James Financial Services, Inc.Citigroup Global Markets Inc.01-16-2009
Dennis Terry FontenotUBS Financial Services Inc.Citigroup Global Markets Inc.$29801-30-2009
Michael Owen BarrySterne, Agee & Leach, Inc.Citigroup Global Markets Inc.02-01-2009
Carl Bradley CharpingINVEST Financial CorporationRoyal Alliance Associates, Inc.02-02-2009
Carol Suzanne MillerWells Fargo Clearing Services, LLCMorgan Stanley & Co. LLC02-02-2009
Mauri Alan TurnerLPL Financial LLCEdward Jones$2502-04-2009
Charles Leverich Eshleman Jr.Sterne, Agee & Leach, Inc.Citigroup Global Markets Inc.02-06-2009
Oliver Morgan Hall Jr.UBS Financial Services Inc.Morgan Keegan & Company, Inc.$15002-10-2009
Richard Hayes Pipes Jr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$14302-20-2009
Eilesia Mcgivney DixonWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2502-23-2009
Charles Taylor Walet Jr.Wells Fargo Clearing Services, LLCCitigroup Global Markets Inc.02-27-2009
Eric Shannon CarrRaymond James Financial Services, Inc.Citigroup Global Markets Inc.02-27-2009
Nanette Soileau HeggieRaymond James Financial Services, Inc.Citigroup Global Markets Inc.$5002-27-2009
Arlen Ray Blackwell IISterne, Agee & Leach, Inc.Stanford Group Company03-01-2009
Davor PoljakMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-01-2009
Denis PoljakMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-01-2009
James Keith CoxSterne, Agee & Leach, Inc.Stanford Group Company03-01-2009
Charles Joseph Soprano Jr.Raymond James Financial Services, Inc.Citigroup Global Markets Inc.$103-03-2009
Rhonda Faye BordelonRaymond James Financial Services, Inc.Citigroup Global Markets Inc.$2503-03-2009
James Alexander Poche IIIWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC$15003-13-2009
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Showing 1 to 25 of 1,134 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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