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
Robert Frazier Coon IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedFirst Union Securities, Inc.10-01-2004
Carl Dennis HanksMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
John P Clarke IIMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Keith Andrew GillmanMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Kenneth Michael HelmanOppenheimer & Co. Inc.Morgan Stanley & Co. LLC01-01-2009
Lawrence John ForlenzaMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Mark BrahneyMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Peter Anthony Scocca IIIWells Fargo Clearing Services, LLCUBS Financial Services Inc.01-01-2009
Ronald Dennis RosenzweigMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Susan E GnallMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Susan Fry MamisMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Ioannis T. PapatherapontosLPL Financial LLCMorgan Stanley & Co. LLC01-02-2009
Michael Alan MazzuccoLPL Financial LLCCetera Financial Specialists LLC01-02-2009
Paul SteinbissStifel, Nicolaus & Company, IncorporatedJanney Montgomery Scott LLC01-02-2009
Lawrence Koren MalamutUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-05-2009
Samuel John CannonWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10001-05-2009
Alex GlushanokNationwide Planning Associates Inc.MetLife Securities Inc.$15001-07-2009
Edward Patrick Scull Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$101-07-2009
George Michael FeldmanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-07-2009
Christopher J DorsiRBC Capital Markets, LLCCitigroup Global Markets Inc.$5501-08-2009
James Francis McdavittWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-08-2009
Alicja Anna PlonskaUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-09-2009
Devashish Mike ShahUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-09-2009
Henry Paul SobotkaUBS Financial Services Inc.Citigroup Global Markets Inc.$10001-09-2009
James J FerrieWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-09-2009
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Showing 1 to 25 of 5,431 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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