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
Tyler Anthony BuysseCadaret, Grant & Co., Inc.Pruco Securities, LLC.05-15-2018
Abdul KhaliqBCG Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$105-09-2018
Alfred B Farrell Jr.PNC InvestmentsSantander Securities LLC$2505-08-2018
Ian Maurice KlieweCitizens Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-08-2018
Mary Syrokwash EarlGWN Securities Inc.MML Investors Services, LLC$3005-07-2018
Paul KuleskaPNC InvestmentsCapital One Investing, LLC05-07-2018
David ElwoodRaymond JamesWells Fargo Advisors$11005-04-2018
Bahga Karim GergesCetera Investment Services LLCSantander Securities LLC05-04-2018
David Eric ElwoodRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$15005-04-2018
Mark Ronald OsleboThe Investment Center, Inc.Intervest International Equities Corporation$2505-04-2018
Matthew Jon BaltuchRaymond James Financial Services, Inc.Morgan Stanley$10005-04-2018
Michael James Hickey Jr.MML Investors Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-04-2018
Richard Hugh ElwoodRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC05-04-2018
Janis Lynn Waldman-CooperThe Investment Center, Inc.TFS Securities, Inc.$1005-02-2018
Patrick William ManionUBS Financial Services Inc.Cetera Investment Services LLC04-30-2018
Margaret HillWells Fargo AdvisorsBank of America Merrill Lynch$7004-27-2018
Brian Thomas CodyWealthcare Advisory Partners LLCPrivate Advisor Group, LLC04-27-2018
Lawrence John ForlenzaRaymond James Financial Services, Inc.Morgan Stanley$10004-27-2018
Margaret Heher HillWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$104-27-2018
Carol Pfeiffer DoyleNext Financial Group, Inc.AXA Advisors, LLC04-26-2018
James Matthew FoleyQuestar Capital CorporationChange Path LLC04-26-2018
Steve Battel, Rob Yevchak, Bruce Battel, Nancy HurstKestra FinancialWells Fargo Advisors$30004-25-2018
Antonio DipalmaRoyal Alliance Associates, Inc.Petersen Investments, Inc.04-25-2018
Steven Anthony BattelKestra Investment Services, LLCWells Fargo Clearing Services, LLC$1,00004-25-2018
Seth James DienerLPL Financial LLCNationwide Securities, LLC$1404-24-2018
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Showing 326 to 350 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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