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
John Philip FredrickCambridge Investment Research, Inc.Cincinnati Analysts, Inc.01-01-2009
Kenneth Michael HelmanOppenheimer & Co. Inc.Morgan Stanley & Co. LLC$2501-01-2009
Susan MamisMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2501-01-2009
Keith Andrew GillmanMorgan Stanley & Co. LLCUBS Financial Services Inc.$2501-01-2009
Ronald Dennis RosenzweigMorgan Stanley & Co. LLCUBS Financial Services Inc.$20001-01-2009
Mark BrahneyMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Carl Dennis HanksMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-01-2009
Susan E GnallMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Lawrence John ForlenzaMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
John P Clarke IIMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Peter Anthony ScoccaWells Fargo Clearing Services, LLCUBS Financial Services Inc.01-01-2009
Michael Alan MazzuccoLPL Financial LLCCetera Financial Specialists LLC01-02-2009
Ioannis T. PapatherapontosLPL Financial LLCMorgan Stanley & Co. LLC01-02-2009
Paul SteinbissStifel, Nicolaus & Company, IncorporatedJanney Montgomery Scott LLC01-02-2009
John Francis SchmidtMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley & Co. LLC$10001-02-2009
Thomas John McManusMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley & Co. LLC01-02-2009
Patrick Joseph Lynch IIIUBS Financial Services Inc.UBS Financial Services Inc.01-02-2009
William Bradford SullivanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-05-2009
Lawrence Koren MalamutUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-05-2009
Samuel John CannonWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15001-05-2009
Francesca Anello MastrandreaAXA Advisors, LLCSecurian Financial Services, Inc.01-06-2009
Stephen Francis CatonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-06-2009
Richard Scott FigueroaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-06-2009
Alex GlushanokNationwide Planning Associates Inc.MetLife Securities Inc.$15001-07-2009
John Joseph DevineErnst & Young Investment Advisers LLPEssex National Securities, LLC01-07-2009
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Showing 1 to 25 of 7,474 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.