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
Charles Lotwin RosenfieldMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
Charles M. AndersonUBS Financial Services Inc.UBS Asset Management (US) Inc.09-10-2018
Charles M. JenkinsLombard Securities IncorporatedJanney Montgomery Scott LLC$4702-05-2016
Charles MarksWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-21-2015
Charles Norman PeifferH. Beck, Inc.Woodbury Financial Services, Inc.11-16-2009
Charles R. SterlingCetera Advisors LLCInvestors Capital Corp.10-03-2016
Charles Richard CohenMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.03-22-2010
Charles Russell WardHarbor Investment Advisory, LLCUBS Financial Services Inc.$10009-11-2015
Charles Taliaferro BaileyAmeriprise Financial Services, Inc.Chapin, Davis$5004-09-2018
Charles Timothy HurttAmeriprise Financial Services, Inc.Chapin, Davis$10004-09-2018
Charles Trimble SwindellMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Charles Victor Kimmel IIIRaymond James Financial Services, Inc.Northern Lights Distributors, LLC07-22-2009
Charles Walker AndersonUBS Financial Services Inc.Citigroup Global Markets Inc.$5003-26-2009
Charles Wi RossMerrill Lynch, Pierce, Fenner & Smith IncorporatedConvergent Wealth Advisors, LLC09-29-2011
Charles William Sawyer Jr.Client One Securities LLCBroker Dealer Financial Services Corp.10-12-2016
Charles Wilson McNeillyVoya Financial Advisors, Inc.RBC Capital Markets, LLC06-17-2014
Chase Parker Withrow IIITitan AdvisorsLeigh Baldwin & Co., LLC03-04-2014
Chelsea Ann SeibelRBC Capital Markets, LLCLincoln Financial Advisors Corporation07-19-2016
Chere Lynn High-RoblesH. Beck, Inc.American Portfolios Financial Services, Inc.11-08-2013
Cherisse C. ReumontHoneyVest LLCSecurian Financial Services, Inc.09-19-2018
Cheryl Richards PalumboRobert W. Baird & Co. IncorporatedCitigroup Global Markets Inc.05-15-2009
Chia Tung HuMerrill Lynch, Pierce, Fenner & Smith IncorporatedScottrade, Inc.$1004-19-2018
Chingkai D. FeiRaymond James Financial Services, Inc.Charles Schwab & Co., Inc.01-03-2018
Chris Alan BettencourtBethesda Financial Advisors, LLCRegal Investment Advisors LLC05-14-2014
Chris Buccheri, Dave HarrisStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$33011-01-2018
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Showing 251 to 275 of 1,878 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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