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.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Samuel John CannonWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15001-05-2009
Lawrence Koren MalamutUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-05-2009
Stephen Francis Caton, Richard Scott FigueroaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-06-2009
George Michael FeldmanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-07-2009
James Francis McDavittWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10001-08-2009
Joseph BonacciUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-09-2009
Robert MaherUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-09-2009
Peter P. RubolottaWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-09-2009
Rose Dorothy Wehmeyer, Charles Paul WehmeyerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-14-2009
Timothy Martin McDonaldUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-16-2009
Michael J. StewartUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-16-2009
James Henry BergerWells Fargo Advisors Financial Network, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-16-2009
Chad William GoernerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-16-2009
Joseph FabioUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-23-2009
Robert Michael ScherzerWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15001-23-2009
William SurdovelUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-23-2009
Franco DimaioUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-23-2009
Michael Kwong ChanNorthwestern Mutual Investment Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2502-12-2009
Stephen Elliot DolanStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated02-20-2009
David John Van SchaikAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-03-2009
Jason M. EllisLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated04-20-2009
Scott Edward EricksonWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5004-30-2009
Richard Alphonse RayStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated05-01-2009
Litao MaiHSBC Securities (USA) Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-18-2009
Timothy Paul CannuliRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-11-2009
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Showing 1 to 25 of 302 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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