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

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Peter Tryon HartRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$15010-21-2016
Jevon H OwensRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$5002-05-2016
Lisa Ann CherryRBC Capital Markets, LLCWells Fargo Clearing Services, LLC09-29-2015
Melissa Irene AdamsRBC Capital Markets, LLCAmeriprise Financial Services, Inc.11-04-2014
Fred Michael WlodarskiRBC Capital Markets, LLCMorgan Stanley04-22-2013
Mark Alan ErhardtRBC Capital Markets, LLCMorgan Stanley$15004-22-2013
Donald Roy MitchellRBC Capital Markets, LLCMeans Investment Co., Inc.$5004-20-2012
Peter Eliot LightRBC Capital Markets, LLCRaymond James & Associates, Inc.01-10-2012
Alphonso Jacob RipaRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15010-23-2009
Ian William McarthurRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$12010-23-2009
Anne Hallett SarazinRBC Capital Markets, LLCMorgan Stanley$23410-02-2009
Amy Barnes ChipmanRBC Capital Markets, LLCCitigroup Global Markets Inc.$10005-01-2009
Christopher Allen KlimashRBC Capital Markets, LLCMorgan Stanley & Co. LLC04-17-2009
Frederick Caswell DeyRBC Capital Markets, LLCMorgan Stanley & Co. LLC$2504-17-2009
James Bryan HarveyRBC Capital Markets, LLCMorgan Stanley & Co. LLC$20604-17-2009
John Milton Haas Jr.RBC Capital Markets, LLCCitigroup Global Markets Inc.$5002-06-2009

Showing 1 to 16 of 16 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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