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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Allen Duane O'BrianOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$3003-10-2017
Anthony Charles RudaOppenheimer & Co. Inc.B. Riley Wealth Management09-14-2018
Athanacia Lallas FreyOppenheimer & Co. Inc.Cambridge Investment Research, Inc.12-18-2015
Charles Bagley Ducharme IIOppenheimer & Co. Inc.Park Avenue Securities LLC07-20-2011
Cheryl Lynn UnderwoodOppenheimer & Co. Inc.Independent Portfolio Consultants, Inc.01-11-2017
Clifford B. HodgmanOppenheimer & Co. Inc.H&R Block Financial Advisors, Inc.02-06-2009
Daniel James WaskiewiczOppenheimer & Co. Inc.Northwestern Mutual Investment Services, LLC08-02-2011
David Andrew BeatonOppenheimer & Co. Inc.Ameriprise Financial Services, Inc.$5005-22-2017
James Scott MoranOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-06-2009
John Howard Kay Jr.Oppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$20011-30-2018
Kathleen Yvonne ColinOppenheimer & Co. Inc.ICAP Corporates LLC03-21-2013
Kevin Thomas LynchOppenheimer & Co. Inc.Cantor Fitzgerald & Co.01-06-2017
Luke Kulczyk SuminskiOppenheimer & Co. Inc.Thrivent Investment Management Inc.04-01-2019
Mark Benjamin WickardOppenheimer & Co. Inc.Cantor Fitzgerald & Co.$20001-06-2017
Michael Francis OshaughnesseyOppenheimer & Co. Inc.UBS Financial Services Inc.$20005-07-2009
Regina Marie Lync WickardOppenheimer & Co. Inc.Cantor Fitzgerald & Co.$1001-06-2017
Ruth Ann RozankovichOppenheimer & Co. Inc.Raymond James & Associates, Inc.$1004-04-2011
Scott Edward HeidemaOppenheimer & Co. Inc.Edward Jones10-02-2013
William Vincent ReepmeyerOppenheimer & Co. Inc.UBS Financial Services Inc.$2501-29-2010

Showing 1 to 19 of 19 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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