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
Alan B WollerOppenheimer & Co. Inc.Morgan Stanley06-21-2016
Allan G SniderOppenheimer & Co. Inc.UBS Financial Services Inc.$5007-15-2011
Anthony Joseph MarinoOppenheimer & Co. Inc.Ameriprise Financial Services, LLC$20010-26-2016
Brian James McCaffertyOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-19-2011
Brian Michael HanlonOppenheimer & Co. Inc.UBS Financial Services Inc.$5002-12-2009
Christopher Douglas OwensOppenheimer & Co. Inc.Brean Capital, LLC12-19-2018
Christopher Joseph EstevezOppenheimer & Co. Inc.RBC Capital Markets, LLC$5004-08-2020
Christopher Mark OconnorOppenheimer & Co. Inc.Morgan Stanley$5007-13-2012
Daniel Lawrence KatzOppenheimer & Co. Inc.UBS Financial Services Inc.06-26-2009
Daniel NicolasOppenheimer & Co. Inc.MML Investors Services, LLC$2507-05-2019
David Joseph MaciakOppenheimer & Co. Inc.J.P. Morgan Securities LLC$15006-01-2018
Gavin Thomas NatelliOppenheimer & Co. Inc.Morgan Stanley$5008-11-2014
Glenn Carl KrauseOppenheimer & Co. Inc.Charles Schwab & Co., Inc.$15009-20-2011
Henry Edward LevinOppenheimer & Co. Inc.UBS Financial Services Inc.09-10-2010
Herbert Spencer ThorntonOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC$15001-25-2019
James Donald RouthierOppenheimer & Co. Inc.Morgan Stanley$10002-21-2012
James Joseph McNamaraOppenheimer & Co. Inc.Oppenheimer & Co. Inc.06-24-2015
James Lawrence CadyOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC$5011-09-2010
James Phillip ArmstrongOppenheimer & Co. Inc.Hilltop Securities Inc.12-19-2013
John Joseph MarshallOppenheimer & Co. Inc.Stifel, Nicolaus & Company, Incorporated$15002-28-2020
Joslain JosephOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5006-10-2016
Kenneth Alan KatzOppenheimer & Co. Inc.UBS Financial Services Inc.$10006-26-2009
Kenneth Michael HelmanOppenheimer & Co. Inc.Morgan Stanley & Co. LLC$2501-01-2009
Lance Eugene McGinnisOppenheimer & Co. Inc.Citigroup Global Markets Inc.04-24-2009
Marc Nathan LeibowitzOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10012-01-2010
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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.