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
Stephen Kenneth BrandtAeon Capital IncWynston Hill Capital, LLC$2509-14-2018
Jason Bryan ManciniMerrill Lynch, Pierce, Fenner & Smith IncorporatedWTS Proprietary Trading Group LLC02-12-2014
Stephan M MoonesarMerrill Lynch, Pierce, Fenner & Smith IncorporatedWTS Proprietary Trading Group LLC01-07-2013
Arthur Joseph KoleSA Stone Wealth Management Inc.WRP Investments, Inc.$15009-12-2014
Johanna Lee AlterSA Stone Wealth Management Inc.WRP Investments, Inc.$5009-12-2014
Michael Steven WelgerSA Stone Wealth Management Inc.WRP Investments, Inc.$1009-12-2014
Brian Arthur RosoffSA Stone Wealth Management Inc.WRP Investments, Inc.$1009-12-2014
John Christopher KraeutlerLPL Financial LLCWRP Investments, Inc.05-16-2014
Thomas GrantH. Beck, Inc.WRP Investments, Inc.03-01-2013
Fei Yun ChenTransamerica Financial Advisors, IncWorld Group Securities, Inc.01-06-2012
James KoTransamerica Financial Advisors, IncWorld Group Securities, Inc.01-06-2012
Yong LinTransamerica Financial Advisors, IncWorld Group Securities, Inc.01-06-2012
Edward Gerard RosarCommonwealth Financial NetworkWorld Equity Group, Inc.$5009-03-2019
Dennis John MojaresM Holdings Securities, Inc.Woodstock Financial Group, Inc.$5004-06-2016
Kevin James BirknerUBS Financial Services Inc.Woodstock Financial Group, Inc.11-03-2014
Joseph Charles Heverin Jr.The Investment Center, Inc.Woodbury Financial Services, Inc.$2509-13-2018
Justine L Ramsdell KenneyState Farm VP Management Corp.Woodbury Financial Services, Inc.$5010-29-2015
Peter James Cavezza IIIJersey Shore Portfolio Management, LLCWoodbury Financial Services, Inc.10-26-2012
Russell Leonard CrookPrivate Client Services, LLCWoodbury Financial Services, Inc.$1004-08-2010
Clement DowuonaUBS Financial Services Inc.Windsor Street Capital, LP08-08-2018
Stuart Marc PulvirentMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Prime Services, LLC03-23-2012
James Allen LewyWells Fargo Advisors Financial Network, LLCWells Fargo Clearing Services, LLC11-08-2019
Hetal Mahendra GandhiCetera Investment Services LLCWells Fargo Clearing Services, LLC09-23-2019
Harold UszerowiczStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$11709-06-2019
Matthew R. MillahnMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC07-30-2019
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Showing 1 to 25 of 4,018 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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