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

Results filtered by


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Adrian Paul Burke IIILPL Financial LLCNorthwestern Mutual Investment Services, LLC01-02-2009
Christopher Robert OzdarskiSigma Financial CorporationMML Investors Services, LLC01-02-2009
Ronald Mathew ShmyrUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-05-2009
Alan Eugene WatsonParkland Securities, LLCProEquities, Inc.01-08-2009
Richard Chester ZientarskiPlanMember Securities CorporationNational Planning Corporation01-12-2009
Manuel R. FrancoSigma Financial CorporationMerrill Lynch, Pierce, Fenner & Smith Incorporated01-12-2009
Jeffrey Len BabiszAllstate Financial Services, LLCState Farm VP Management Corp.01-12-2009
Jeffrey BuczekSigma Financial CorporationRoyal Alliance Associates, Inc.01-13-2009
Jimm F. WhiteVoya Financial Advisors, Inc.GunnAllen Financial, Inc01-13-2009
Michael John AjlounyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-16-2009
Ricardo James ArmijoUBS Financial Services Inc.Citigroup Global Markets Inc.01-16-2009
Timothy Matthew CooperUBS Financial Services Inc.Citigroup Global Markets Inc.01-16-2009
Jeffrey Allen KeessenLPL Financial LLCPrincipal Securities, Inc.$2501-22-2009
Mary Ann ToccoSigma Financial CorporationFSC Securities Corporation01-23-2009
Daniel Joseph EmmendorferSecurities America, Inc.Brecek & Young Advisors, Inc.01-23-2009
Jeffery Ryan AdamsWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-23-2009
Louise A. EmersonUBS Financial Services Inc.Morgan Stanley & Co. LLC$15001-26-2009
Craig Alan BrassUBS Financial Services Inc.Morgan Stanley & Co. LLC$10001-26-2009
David B GasperUBS Financial Services Inc.Invesco Capital Markets, Inc.01-26-2009
Christopher Michael FeldmanUBS Financial Services Inc.Morgan Stanley & Co. LLC01-29-2009
Gary Martin BiceUBS Financial Services Inc.Morgan Stanley & Co. LLC$10001-30-2009
Carleton Scott Crimmins, Eric David MaxwellUBS Financial Services Inc.Morgan Stanley & Co. LLC$10001-30-2009
Peter Attila NagyMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$2501-30-2009
Lisa Lynn StellaRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-30-2009
Michael Richard LeachUBS Financial Services Inc.Morgan Stanley & Co. LLC01-30-2009
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Showing 1 to 25 of 3,026 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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