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
John Howard Kay Jr.Oppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$20011-30-2018
Anthony Charles RudaOppenheimer & Co. Inc.B. Riley Wealth Management09-14-2018
Eric Wellington DeemsOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-06-2017
Nicklaus R SerafiniOppenheimer & Co. Inc.Raymond James & Associates, Inc.07-06-2017
David Andrew BeatonOppenheimer & Co. Inc.Ameriprise Financial Services, Inc.$5005-22-2017
Allen Duane O'BrianOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2503-10-2017
Cheryl Lynn UnderwoodOppenheimer & Co. Inc.Independent Portfolio Consultants, Inc.$1,00001-11-2017
Kevin Thomas LynchOppenheimer & Co. Inc.Cantor Fitzgerald & Co.$101-06-2017
Regina Marie Lynch WickardOppenheimer & Co. Inc.Cantor Fitzgerald & Co.$1001-06-2017
Michael Joseph MurdockOppenheimer & Co. Inc.Ameriprise Financial Services, Inc.$15005-26-2016
Vera AugustyniakOppenheimer & Co. Inc.PNC Investments04-15-2016
Steven M ReausoOppenheimer & Co. Inc.PNC Investments03-02-2016
Athanacia Lallas FreyOppenheimer & Co. Inc.Cambridge Investment Research, Inc.$15012-18-2015
Ryan Colby HowardOppenheimer & Co. Inc.PNC Investments04-22-2015
Angelia Dorthea GroomOppenheimer & Co. Inc.INVEST Financial Corporation11-03-2014
David John BattsOppenheimer & Co. Inc.PNC Investments11-03-2014
Adam Ritter RichardsOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-03-2013
Scott Edward HeidemaOppenheimer & Co. Inc.Edward Jones$15010-02-2013
Kathleen Marie CourtrightOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-21-2013
Kathleen Yvonne ColinOppenheimer & Co. Inc.ICAP Corporates LLC$15003-21-2013
Kenneth Micheal BieriOppenheimer & Co. Inc.Hantz Financial Services, Inc.07-11-2012
John Steven FarquharsonOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC11-04-2011
Lewis Marlin RoweOppenheimer & Co. Inc.LPL Financial LLC08-29-2011
Daniel James WaskiewiczOppenheimer & Co. Inc.Northwestern Mutual Investment Services, LLC08-02-2011
Charles Bagley Ducharme IIOppenheimer & Co. Inc.Park Avenue Securities LLC07-20-2011
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Showing 1 to 25 of 39 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.

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