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.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Neil Tomlinson Douthat, Frances Watkins Douthat, Joanne Vera McKnightUBS Financial Services Inc.Citigroup Global Markets Inc.$15004-24-2009
James Kenneth LouderbaughOppenheimer & Co. Inc.Citigroup Global Markets Inc.$15004-17-2009
Daniel Lynn StephensOppenheimer & Co. Inc.Citigroup Global Markets Inc.$5004-09-2009
Christopher Kenneth Preston WollOppenheimer & Co. Inc.Citigroup Global Markets Inc.04-06-2009
Robert Calhoun CurtisUBS Financial Services Inc.Citigroup Global Markets Inc.$15003-20-2009
Maria AndersonUBS Financial Services Inc.Citigroup Global Markets Inc.$15003-13-2009
Paul Irving MillerUBS Financial Services Inc.Citigroup Global Markets Inc.$10003-13-2009
Robert Henry Mooney IIIUBS Financial Services Inc.Citigroup Global Markets Inc.03-13-2009
John Jason BishCentury Securities Associates, Inc.Citigroup Global Markets Inc.03-09-2009
Thomas Scott LennartzWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.02-27-2009
James Russell Moore Jr.Wells Fargo Clearing Services, LLCCitigroup Global Markets Inc.02-27-2009
Daniel Preston FindleyOppenheimer & Co. Inc.Citigroup Global Markets Inc.$2502-20-2009
Keith Wallace GoodOppenheimer & Co. Inc.Citigroup Global Markets Inc.02-20-2009
Timothy James Shocklee Jr.Oppenheimer & Co. Inc.Citigroup Global Markets Inc.$5002-13-2009
Alan Gordon HartleyOppenheimer & Co. Inc.Citigroup Global Markets Inc.$10001-30-2009
Daniel Joseph BergerUBS Financial Services Inc.Citigroup Global Markets Inc.$15001-23-2009
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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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