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
Richard Stephen ElmanMoors & Cabot, Inc.UBS Financial Services Inc.$50001-02-2009
Jeffrey David BielingMoors & Cabot, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$50001-16-2009
Thomas Edward Powers IIIMoors & Cabot, Inc.First Southwest Company$50007-06-2009
Barbara Ann CaseMoors & Cabot, Inc.RBC Capital Markets, LLC09-25-2009
Thomas Jeffery PowersMoors & Cabot, Inc.Morgan Stanley$10011-12-2009
Aaron FoleyMoors & Cabot, Inc.Jesup & Lamont Securities Corp11-25-2009
John Peter FreundMoors & Cabot, Inc.Morgan Stanley12-01-2009
Kevin MalickMoors & Cabot, Inc.Meridian Investments, Inc.05-01-2010
Wayne Allen SmithMoors & Cabot, Inc.Oppenheimer & Co. Inc.06-18-2010
Michael Andrew FeinMoors & Cabot, Inc.Detwiler Fenton & Co.11-30-2010
John Patrick KeatingMoors & Cabot, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10007-28-2011
Scott Ross BundyMoors & Cabot, Inc.Morgan Stanley$10010-18-2011
David Alan FarbmanMoors & Cabot, Inc.Oppenheimer & Co. Inc.10-20-2011
Joseph Frederick ConsigliMoors & Cabot, Inc.Ameriprise Financial Services, Inc.$25002-17-2012
Richard Alan OrrisMoors & Cabot, Inc.Ameriprise Financial Services, Inc.$10003-30-2012
Peter Matthew ThorbahnMoors & Cabot, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$10005-03-2012
John J Benedetto IIIMoors & Cabot, Inc.J.P. Morgan Securities LLC$15007-03-2012
Daniel Mccrichey AdamsMoors & Cabot, Inc.Wood (Arthur W.) Company, Inc.$25007-06-2012
Edward Bradford ButtnerMoors & Cabot, Inc.Janney Montgomery Scott LLC10-05-2012
Michael Joseph SurprenantMoors & Cabot, Inc.LPL Financial LLC$10011-26-2012
Charles William StockbridgeMoors & Cabot, Inc.Janney Montgomery Scott LLC$50002-01-2013
John Francis Cody Jr.Moors & Cabot, Inc.Ameriprise Financial Services, Inc.$15002-27-2013
August Walter Muller Jr.Moors & Cabot, Inc.Janney Montgomery Scott LLC$15003-01-2013
Neal Edward MiltonMoors & Cabot, Inc.Wood (Arthur W.) Company, Inc.$50003-28-2013
Robert Todd ClarkMoors & Cabot, Inc.Morgan Stanley$50005-15-2013
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Showing 1 to 25 of 41 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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