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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Allen Rowe Jr.LPL Financial LLCCitigroup Global Markets Inc.$105-15-2009
William Sellers NaltyMorgan Keegan & Company, Inc.Citigroup Global Markets Inc.05-15-2009
George PopovChase Investment Services Corp.Citigroup Global Markets Inc.04-28-2009
Jeffrey Scott HoltzclawDorsey & Company, Inc.Citigroup Global Markets Inc.04-28-2009
Dianne DenisonMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$2504-27-2009
Harry Charles Stumpf Jr.LPL Financial LLCCitigroup Global Markets Inc.$1,00004-24-2009
Fernando Patron IIIH&R Block Financial Advisors, Inc.Citigroup Global Markets Inc.04-03-2009
Fernando Patron IVH&R Block Financial Advisors, Inc.Citigroup Global Markets Inc.04-03-2009
Thomas Considine Braly Jr.H&R Block Financial Advisors, Inc.Citigroup Global Markets Inc.04-03-2009
Christopher Wesley ZinkUBS Financial Services Inc.Citigroup Global Markets Inc.$10004-01-2009
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
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
Charles Leverich Eshleman Jr.Sterne, Agee & Leach, Inc.Citigroup Global Markets Inc.02-06-2009
Michael Owen BarrySterne, Agee & Leach, Inc.Citigroup Global Markets Inc.02-01-2009
Dennis Terry FontenotUBS Financial Services Inc.Citigroup Global Markets Inc.$29801-30-2009
Curt Paul ArcementRaymond James Financial Services, Inc.Citigroup Global Markets Inc.01-16-2009

Showing 1 to 19 of 19 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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