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
Brendan Arthur DoyleMorgan StanleyPruco Securities, LLC.$50001-26-2009
Kathryn Alicia DunlopMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated06-01-2009
Elizabeth Jane TavelMorgan StanleyCapstone Investments08-06-2009
Robert Hutchins RippMorgan StanleyUBS Financial Services Inc.$10009-04-2009
Albert Sebastian Toto IIIMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$50010-30-2009
Jefferson Stacy JonesMorgan StanleyCetera Investment Services LLC$75011-01-2009
Edward Francis Prendergast Jr.Morgan StanleyHartford Equity Sales Company Inc.11-09-2009
David Blakeney LeeMorgan StanleyMatrix Capital Group, Inc.$10012-07-2009
John Kress Williams IIIMorgan StanleyAmeriprise Financial Services, Inc.$10012-11-2009
William Farnsworth BoyntonMorgan StanleyUBS Financial Services Inc.01-08-2010
Tristan Cheyenne MouligneMorgan StanleyUBS Financial Services Inc.01-08-2010
Gary S RonkinMorgan StanleyUBS Financial Services Inc.$10003-05-2010
Peter George Christie Jr.Morgan StanleyUBS Financial Services Inc.$50003-05-2010
Christopher Ryan BaylesMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$50005-07-2010
Katherine Pratt RichardsonMorgan StanleyUBS Financial Services Inc.$10005-14-2010
John Halsey Buck IIIMorgan StanleyUBS Financial Services Inc.$15005-14-2010
James R WillingMorgan StanleyUBS Financial Services Inc.$15005-14-2010
Sarah Ruth PorterMorgan StanleyUBS Financial Services Inc.$15005-14-2010
James S PoleseMorgan StanleyUBS Financial Services Inc.$15005-14-2010
Harry J DavisMorgan StanleyWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)06-01-2010
Stephen Anthony CalderaraMorgan StanleyAllianceBernstein L.P.$25006-14-2010
Clark Alden HatchMorgan StanleyUBS Financial Services Inc.06-18-2010
Mark S. CohenMorgan StanleyLPL Financial LLC$15006-28-2010
Lisa Alice NorthrupMorgan StanleyUBS Financial Services Inc.$50007-02-2010
James R FlemingMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated07-16-2010
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Showing 1 to 25 of 221 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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