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
Aaron Mathew WassenaarOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-18-2011
Adam Ritter RichardsOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-03-2013
Allen Duane O'BrianOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$30003-10-2017
Angelia Dorthea GroomOppenheimer & Co. Inc.INVEST Financial Corporation11-03-2014
Anthony Charles RudaOppenheimer & Co. Inc.B. Riley Wealth Management09-14-2018
Athanacia Lallas FreyOppenheimer & Co. Inc.Cambridge Investment Research, Inc.$15012-18-2015
Benjamin Mark VerwysOppenheimer & Co. Inc.Natcity Investments, Inc.$10001-05-2009
Brian Patrick DonohoeOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$50003-06-2009
Bryan Joseph CarrollOppenheimer & Co. Inc.UBS Financial Services Inc.$25001-29-2010
Charles Bagley Ducharme IIOppenheimer & Co. Inc.Park Avenue Securities LLC07-20-2011
Cheryl Lynn UnderwoodOppenheimer & Co. Inc.Independent Portfolio Consultants, Inc.$10001-11-2017
Clifford B. HodgmanOppenheimer & Co. Inc.H&R Block Financial Advisors, Inc.$50002-06-2009
Daniel James WaskiewiczOppenheimer & Co. Inc.Northwestern Mutual Investment Services, LLC08-02-2011
David Andrew BeatonOppenheimer & Co. Inc.Ameriprise Financial Services, Inc.$50005-22-2017
David John BattsOppenheimer & Co. Inc.PNC Investments$25011-03-2014
Eric Wellington DeemsOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-06-2017
Gary Lee SargentOppenheimer & Co. Inc.H&R Block Financial Advisors, Inc.$50003-06-2009
Gregory Michael AdamczykOppenheimer & Co. Inc.PNC Investments02-01-2016
Heather Marie OttOppenheimer & Co. Inc.PNC Investments06-03-2016
James Kevin SmildeOppenheimer & Co. Inc.Citigroup Global Markets Inc.04-27-2009
James Scott MoranOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$25003-06-2009
James Thomas ShusterOppenheimer & Co. Inc.Edward Jones$10007-05-2011
John Howard Kay Jr.Oppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$20011-30-2018
John Steven FarquharsonOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$50011-04-2011
Joseph Michael CaserioOppenheimer & Co. Inc.Raymond James & Associates, Inc.$12011-30-2017
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Showing 1 to 25 of 47 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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