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
Perry M. SuttonCommonwealth Financial NetworkCITIZENS SECURITIES, INC.$106-03-2019
Eric Robert ListickLPL Financial LLCRaymond James Financial Services Advisors, Inc$2505-31-2019
Francis James DunnRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5005-31-2019
Anita Marie SopenoffSecurities America, Inc.Sagepoint Financial, Inc.$105-30-2019
Jeffrey Gordon WrightsonCadaret, Grant & Co., Inc.Royal Alliance Associates, Inc.05-24-2019
David L FrankRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$5005-23-2019
Michael Kennedy CarberryLPL Financial LLCOppenheimer & Co. Inc.$15005-16-2019
Greg RosenAmeriprise Financial Services, Inc.Morgan Stanley$5005-10-2019
Whitney C StrublePurshe Kaplan Sterling InvestmentsMorgan Stanley05-10-2019
Christopher Daniel LicataLPL Financial LLCValmark Securities, Inc.$105-08-2019
Joseph Marie Andreoli Jr.Raymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$10005-07-2019
Joseph William Berkery Jr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5004-25-2019
Eric Michael TomskyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-25-2019
Aaron Thomas HanszSymphonic Securities LLCLPL Financial LLC$104-24-2019
Carol Ann SchmidlinJ.W. Cole Financial, Inc.Global Financial Private Capital, LLC$5004-16-2019
Mark ScordatoJ.W. Cole Financial, Inc.G.F. Investment Services, LLC$5004-16-2019
Joanne Marie RohlfsUBS Financial Services Inc.Hightower Advisors, LLC04-15-2019
Giovanni Duran, Joseph Cataldo, Nick PennaRaymond James Financial Services, Inc.Morgan Stanley$52004-11-2019
Giovanni DuranRaymond James Financial Services, Inc.Morgan Stanley$1,00004-11-2019
Joseph John CataldoRaymond James Financial Services, Inc.Morgan Stanley$10004-11-2019
Nicholas PennaRaymond James Financial Services, Inc.Morgan Stanley04-11-2019
Dennis Patrick BrowneLifeMark Securities Corp.Coastal Equities, Inc.$104-09-2019
Thomas Emeel BetrosTD Ameritrade Investment Management, LLCCommonwealth Financial Network03-26-2019
Peter Alan LongoJanney Montgomery Scott LLCGWFS Equities, Inc.03-22-2019
Leonard 'LJ' BonifaceRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$13703-21-2019
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Showing 1 to 25 of 5,416 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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