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
Chad Robert EllmanMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Christopher David SchwabMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
George Louis GagnonMorgan Stanley & Co. IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Gregory Paul OlsonMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Katherine Kammerzell VessenesQA3 Financial Corp.Cetera Advisor Networks LLC01-01-2009
Paul Victor OlsonMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Todd Graham SylvesterMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Walter Roy BomgrenMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Lester Allen Brunker Jr.UBS Financial Services Inc.Citigroup Global Markets Inc.$7001-02-2009
Nicholas Peter BednarczykRaymond James Financial Services, Inc.LPL Financial LLC$2401-07-2009
Gary Michael PetrucciRBC Capital Markets, LLCUBS Financial Services Inc.$101-09-2009
John Christopher SherwinLPL Financial LLCEdward Jones01-12-2009
Anthony Lee SchusterAmeriprise Financial Services, Inc.Thrivent Investment Management Inc.$1001-14-2009
Joan Maastricht GillesAmeriprise Financial Services, Inc.The O.N. Equity Sales Company01-14-2009
Suzanna Marie De BacaAmeriprise Financial Services, Inc.Broker Dealer Financial Services Corp.01-14-2009
Thomas John VanyoAmeriprise Financial Services, Inc.McLaughlin Ryder Investments, Inc.01-14-2009
Brian Dennis BoldtMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-16-2009
Catherine Irene ShannonMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-16-2009
Jeffrey Curt AdamsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10001-16-2009
Jeffrey Philip WendelMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-16-2009
Mark Dudley PoindexterMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-16-2009
Thomas John BrandtRBC Capital Markets, LLCUBS Financial Services Inc.$15001-16-2009
Jonathan Tj AlthoffMML Investors Services, LLCUvest Financial Services Group, Inc.01-20-2009
Carin Lorraine ThomasUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-23-2009
Cassidy Schwegel GladWells Fargo Investments, LLCAmeriprise Financial Services, Inc.01-26-2009
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Showing 1 to 25 of 2,614 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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