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
Kauser Faisal HazarikaStifel, Nicolaus & Company, IncorporatedBB&T Securities, LLC01-03-2020
William Herbert CaruanaStifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.05-27-2009
James Richard MapplethorpeStifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.$5005-27-2009
Daniel Louis FitzgeraldStifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.$5005-20-2009
Robert Lloyd Polleys Jr.Stifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.04-29-2009
Joseph Anthony GalluzzoStifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.04-09-2009
Robert Leo SlatteryStifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.$2502-19-2009
Jeffrey Paul Vickers Sr.Stifel, Nicolaus & Company, IncorporatedEdward Jones10-01-2015
Sean Michael DeanStifel, Nicolaus & Company, IncorporatedLeerink Partners LLC$5003-09-2012
Christopher Mark MoranStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated11-14-2019
Christopher Elliot MoranStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated11-14-2019
Joseph Richard CrespiStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$10012-14-2018
Keith Wesley BladesStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated10-07-2011
John Kevin O'Keefe Jr.Stifel, Nicolaus & Company, IncorporatedMoors & Cabot, Inc.$15011-06-2015
Christopher P GenatossioStifel, Nicolaus & Company, IncorporatedMorgan Stanley10-23-2015
Thomas Frederick McClutchy Jr.Stifel, Nicolaus & Company, IncorporatedMorgan Stanley07-12-2013
Richard John JohnsonStifel, Nicolaus & Company, IncorporatedMorgan Stanley10-07-2009
Jeffrey Richardson BaconStifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC$15008-01-2016
Sailing David AdlerStifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC08-01-2016
Paul Albert LaurellStifel, Nicolaus & Company, IncorporatedSantander Securities LLC01-13-2014
Peter Joseph BorrelloStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$15011-14-2019
Jeffrey Kenneth CoreyStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.11-26-2014
Thomas James MaddenStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$2504-09-2009
Stasia RichardsonStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.01-02-2009
Christopher D. StoddardStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC12-15-2016
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Showing 1 to 25 of 33 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.