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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
John Vincent CaggianoLPL Financial LLCCommonwealth Financial Network$10001-20-2009
Momin H. KhanVALIC Financial Advisors, Inc.Fidelity Brokerage Services LLC02-03-2009
Gary Bryan GhigliottiUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10002-19-2009
Stephen DemaraisUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$1002-19-2009
Zachary Farley LongleyLPL Financial LLCAmeriprise Financial Services, Inc.02-20-2009
Jared C BreaultMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.02-27-2009
Chad A TsounisVALIC Financial Advisors, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-04-2009
Brian J. CaldwellAmeriprise Financial Services, Inc.Banc of America Investment Services, Inc.03-23-2009
Graeme William LambAmeriprise Financial Services, Inc.Banc of America Investment Services, Inc.03-27-2009
Kenneth Lee KnopfVALIC Financial Advisors, Inc.Bentley Wealth Advisors, LLC$10004-03-2009
Theresa Jean HuntleyRBC Capital Markets, LLCBanc of America Investment Services, Inc.04-03-2009
Melvin Lee GrossLincoln Financial Securities CorporationMML Investors Services, LLC04-24-2009
Kevin Joseph MooreAmeriprise Financial Services, Inc.Banc of America Investment Services, Inc.$5005-01-2009
Jayson Laurence SpringCitizens Securities, Inc.Morgan Stanley & Co. LLC$5005-04-2009
Karen Roelke McCloskeyCMH Wealth Management, LLCBanc of America Investment Services, Inc.05-14-2009
Gail Ann LeeWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$10005-29-2009
Elizabeth Ann BowenMorgan StanleyCitigroup Global Markets Inc.$20006-01-2009
John Franklin HabigMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Gregory Scott CaulfieldMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Michael Lewis ShearinMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Paul Anthony KinnalyMorgan StanleyMorgan Stanley & Co. LLC$15006-01-2009
Joseph Neal KelleyMorgan StanleyMorgan Stanley & Co. LLC$10006-01-2009
Richard Warren LyonsMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
Paul James GigisMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
Lou Athanas Jr.Morgan StanleyMorgan Stanley & Co. LLC$5006-01-2009
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Showing 1 to 25 of 432 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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