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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Michael R. DipiernoLPL Financial LLCWells Fargo Clearing Services, LLC$20001-14-2009
John William DonnellyLPL Financial LLCWells Fargo Clearing Services, LLC$10001-14-2009
Jorge Vergara Jr.LPL Financial LLCWells Fargo Clearing Services, LLC$10001-14-2009
Robert Richard HannamLPL Financial LLCBanc of America Investment Services, Inc.03-03-2009
James Thomas CassaLPL Financial LLCCitigroup Global Markets Inc.03-09-2009
Jason M. EllisLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated04-20-2009
Joseph Louis KopecLPL Financial LLCCitigroup Global Markets Inc.05-15-2009
Eugene Augustine Gilligan Jr.LPL Financial LLCWells Fargo Clearing Services, LLC06-02-2009
Ana Luisa BarnettLPL Financial LLCMorgan Stanley06-11-2009
Jeremy R. GussickLPL Financial LLCCitigroup Global Markets Inc.06-24-2009
Joseph Spencer NorrisLPL Financial LLCWells Fargo Clearing Services, LLC08-20-2009
Valerie Jones SimsonLPL Financial LLCMorgan Stanley09-04-2009
Robert Philip Faherty Sr.LPL Financial LLCMutual Service Corporation$2509-08-2009
Mark Thomas AdamsLPL Financial LLCMutual Service Corporation09-08-2009
Roy Alan ShubertLPL Financial LLCMutual Service Corporation09-08-2009
Richard Paul Sheilds Jr.LPL Financial LLCMutual Service Corporation09-08-2009
Neil Marshall FriedLPL Financial LLCINVEST Financial Corporation12-04-2009
Dave Raphael LallaLPL Financial LLCChase Investment Services Corp.12-11-2009
Richard Andrew Cobe Jr.LPL Financial LLCHSBC Securities (USA) Inc.12-11-2009
Bernard Samuel GlicksternLPL Financial LLCHalliday Financial, LLC01-04-2010
Todd Charles GalinkoLPL Financial LLCPNC Investments01-15-2010
Ryan Edward FlynnLPL Financial LLCAmeriprise Financial Services, Inc.$5001-29-2010
Harold Vincent LaudienLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2502-05-2010
Vincent Christopher D'AngelisLPL Financial LLCOppenheimer & Co. Inc.02-26-2010
Louis Joseph D'AngelisLPL Financial LLCOppenheimer & Co. Inc.02-26-2010
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Showing 1 to 25 of 297 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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