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
Alan Jeffrey LoginStifel, Nicolaus & Company, IncorporatedLPL Financial LLC$5010-20-2014
Andrew PagoulatosStifel, Nicolaus & Company, IncorporatedMorgan Stanley$15002-08-2013
Brian Michael O'SullivanStifel, Nicolaus & Company, IncorporatedJanney Montgomery Scott LLC$10005-22-2009
Damien Didier Gerald CaillaultStifel, Nicolaus & Company, IncorporatedThe GMS Group, LLC08-26-2016
David Bennett WoffindinStifel, Nicolaus & Company, IncorporatedMorgan Stanley$1006-23-2009
David ManningStifel, Nicolaus & Company, IncorporatedWells Fargo Advisors$14009-04-2018
David Philip De DufourStifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.$15003-27-2009
Diane Yeutter RothbergStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$10003-13-2015
Donald H. HenriquezStifel, Nicolaus & Company, IncorporatedDavid Lerner Associates, Inc.$15009-16-2011
Eric ZeltnerStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated03-29-2019
Harold UszerowiczStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$11709-06-2019
J. Ronald Lynch Jr.Stifel, Nicolaus & Company, IncorporatedMorgan Stanley$5002-19-2014
James Ferrie, John BogostaStifel, Nicolaus & Company, IncorporatedWells Fargo Advisors$8007-11-2017
James Thomas McFaddenStifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.04-28-2009
Janet Lisa StamatoStifel, Nicolaus & Company, IncorporatedMorgan Stanley$15006-15-2018
Janet StamatoStifel, Nicolaus & Company, IncorporatedMorgan Stanley$17506-25-2018
John Martin SullivanStifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.$10003-23-2009
John Michael VolpeStifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC$10006-01-2015
John Paul BogostaStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$5007-07-2017
Kaival PatelStifel, Nicolaus & Company, IncorporatedWells Fargo Advisors$3508-16-2018
Kaival PatelStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC07-09-2018
Keith Joseph RyanStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$2501-16-2009
Kenneth Thomas BrunoStifel, Nicolaus & Company, IncorporatedOppenheimer & Co. Inc.09-30-2014
Larry Howard LehrmanStifel, Nicolaus & Company, IncorporatedAmeriprise Financial Services, Inc.$2502-22-2019
Larry LerhmanStifel, Nicolaus & Company, IncorporatedAmeriprise Financial Services, Inc.$5002-22-2019
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Showing 1 to 25 of 47 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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