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
Troy Michael ElserUBS Financial Services Inc.Morgan Stanley & Co. LLC01-02-2009
Keith Andrew UnikelMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley & Co. LLC01-02-2009
Richard Dale HornUBS Financial Services Inc.Citigroup Global Markets Inc.$15001-07-2009
Sean Matthew O'NeillRBC Capital Markets, LLCUBS Financial Services Inc.$2501-08-2009
John William YoungUBS Financial Services Inc.Citigroup Global Markets Inc.01-14-2009
Alan Robert CulinerUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10001-15-2009
William Chance Benassi, Melissa Diane HarboldMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley & Co. LLC$20001-16-2009
Steven Gregory YoungMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley & Co. LLC$15001-16-2009
Donald Paul StoneUBS Financial Services Inc.Morgan Stanley & Co. LLC$5001-16-2009
James Phillip LillieMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley & Co. LLC01-16-2009
Lionel Anthony Desbordes IIEdward JonesVALIC Financial Advisors, Inc.$1001-20-2009
Andrew Mark BaumHazard & Siegel, Inc.Investors Security Company, Inc.01-26-2009
Juan Eduardo OechsleLPL Financial LLCCitigroup Global Markets Inc.01-27-2009
Sean Patrick TullyRBC Capital Markets, LLCCitigroup Global Markets Inc.$10002-11-2009
Donald Wayne Kellerman Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.02-12-2009
John Fox Graham Jr.Robert W. Baird & Co. IncorporatedCitigroup Global Markets Inc.$15002-13-2009
Christopher Patrick HayburnWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$15002-13-2009
Timothy Patrick HargestRobert W. Baird & Co. IncorporatedCitigroup Global Markets Inc.$15002-13-2009
Joseph Mark FuggiRobert W. Baird & Co. IncorporatedCitigroup Global Markets Inc.$10002-13-2009
Gerald Higinio Marquez, Jason Charles HarrisRobert W. Baird & Co. IncorporatedCitigroup Global Markets Inc.$10002-13-2009
Richard Lee Duval Jr.Robert W. Baird & Co. IncorporatedCitigroup Global Markets Inc.$5002-13-2009
Michael Ross JohnsonRobert W. Baird & Co. IncorporatedCitigroup Global Markets Inc.$5002-13-2009
Michael Joseph HartmanWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$5002-13-2009
Richard Thomas ZinkRobert W. Baird & Co. IncorporatedCitigroup Global Markets Inc.$5002-13-2009
Kevin John KavanaghWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$5002-13-2009
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Showing 1 to 25 of 1,905 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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