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
Adam M. JohnsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley11-08-2017
Beverly Mountain Brumbaugh Jr.Oppenheimer & Co. Inc.Morgan Stanley06-12-2009
Catharine Rourke McClintockWells Fargo Clearing Services, LLCMorgan Stanley10-31-2014
Charles Edward DuddingstonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5006-13-2014
Christopher David SchwabWells Fargo Clearing Services, LLCMorgan Stanley05-13-2016
Christopher Francis SullivanOppenheimer & Co. Inc.Morgan Stanley04-16-2012
Daniel Craig DaggettWells Fargo Clearing Services, LLCMorgan Stanley$5007-15-2016
David Jerome PohlenMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10004-29-2016
David Washburn McLeanWells Fargo Clearing Services, LLCMorgan Stanley01-08-2016
Dobbin McCrea Jr., Kevin A. RollwagenRobert W. Baird & Co.Morgan Stanley$9805-23-2018
Douglas James ThompsonRBC Capital Markets, LLCMorgan Stanley$2510-17-2014
Ernest Harmon McFaddenUBS Financial Services Inc.Morgan Stanley10-29-2010
George Louis GagnonWells Fargo Clearing Services, LLCMorgan Stanley05-08-2015
Gregory Brian PaineInfinex Investments, Inc.Morgan Stanley11-25-2011
Gregory Jay MolleAdvisorNet Wealth ManagementMorgan Stanley09-12-2014
Jeffrey Albert CrowlRBC Capital Markets, LLCMorgan Stanley$5011-03-2010
John DuguidRobert W. Baird & Co.Morgan Stanley$13504-27-2012
John H. McLeanRaymond James & Associates, Inc.Morgan Stanley01-06-2016
John Patrick WalshRBC Capital Markets, LLCMorgan Stanley$10010-15-2010
Justin Steele BothamMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley06-13-2014
Kimberly Ann CoxNorthwestern Mutual Investment Services, LLCMorgan Stanley02-04-2010
Kurt Elliot EricksonIndependent Advisor Alliance, LLCMorgan Stanley12-12-2018
Larry Dean Nielsen, Curtis Allen CarstensRBC Capital Markets, LLCMorgan Stanley$2503-02-2011
Larry Pohlen, Marc Terris, Michael Kasper, David Pohlen, Kathleen VaughanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$55505-23-2016
Lawrence Joseph PohlenMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$50004-29-2016
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Showing 1 to 25 of 53 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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