Advisers on the Move TEST

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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Mark Benjamin LewisJ.P. Morgan Securities LLCBarclays Capital Inc.06-03-2010
Aaron William GriswoldJ.P. Morgan Securities LLCAXA Advisors, LLC10-10-2012
Marja Reeta LennonJ.P. Morgan Securities LLCLPL Financial LLC10-18-2012
Wesley Ray Underwood Jr.J.P. Morgan Securities LLCPark Avenue Securities LLC11-19-2012
Rose May RegistreJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-17-2012
Thomas William LarsenJ.P. Morgan Securities LLCMorgan Stanley01-14-2013
Jeremy D. BrowerJ.P. Morgan Securities LLCLPL Financial LLC01-28-2013
Stephan Erno RotheJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-01-2013
Charles BowmanJ.P. Morgan Securities LLCMorgan Stanley04-02-2013
Louis Joseph TrachtmanJ.P. Morgan Securities LLCStifel, Nicolaus & Company, Incorporated04-11-2013
Kurt Frederick KleinleJ.P. Morgan Securities LLCJanney Montgomery Scott LLC$2506-24-2013
Richard Lawrence RivereJ.P. Morgan Securities LLCBoenning & Scattergood, Inc.07-10-2013
Vincent DipaolaJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-24-2013
Peter Alexander LazorJ.P. Morgan Securities LLCAllianceBernstein L.P.$5007-26-2013
Scott J TricaricoJ.P. Morgan Securities LLCBNP Paribas Securities Corp.09-24-2013
David Randolph ReeveJ.P. Morgan Securities LLCSummit Equities, Inc.09-24-2013
Ryan Michael SheridanJ.P. Morgan Securities LLCMorgan Stanley10-04-2013
Caroline Marie BarreraJ.P. Morgan Securities LLCWells Fargo Clearing Services, LLC10-08-2013
Michael Anthony BrownJ.P. Morgan Securities LLCPNC Investments11-06-2013
William Brett CicconeJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-15-2013
Manuel RuizJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-22-2014
Lawrence Oliver HauJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-23-2014
Thomas FrothinghamJ.P. Morgan Securities LLCUBS Financial Services Inc.01-31-2014
Taj IshakJ.P. Morgan Securities LLCWells Fargo Clearing Services, LLC02-06-2014
Ingrid Louise HoffmannJ.P. Morgan Securities LLCJ.P. Morgan Securities LLC03-28-2014
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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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.