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
Adam Gregory DorfmanWells Fargo Advisors Financial Network, LLCWells Fargo Clearing Services, LLC11-05-2014
Alan Bradley GuenzelWells Fargo Advisors Financial Network, LLCMorgan Stanley06-14-2012
Anthony Joseph KarpowichWells Fargo Advisors Financial Network, LLCJanney Montgomery Scott LLC03-04-2016
Arleatha M WilliamsWells Fargo Advisors Financial Network, LLCWells Fargo Clearing Services, LLC$5010-19-2018
Ashley D ReyWells Fargo Advisors Financial Network, LLCWells Fargo Clearing Services, LLC$1,00002-28-2019
Brendan Louis FoleyWells Fargo Advisors Financial Network, LLCMorgan Stanley08-19-2009
Christopher Louis FoleyWells Fargo Advisors Financial Network, LLCMorgan Stanley08-19-2009
Daniel Timothy CampbellWells Fargo Advisors Financial Network, LLCJanney Montgomery Scott LLC11-06-2015
David AllegrettoWells Fargo Advisors Financial Network, LLCMML Investors Services, LLC$5008-18-2014
Dennis William O'ConnorWells Fargo Advisors Financial Network, LLCMorgan Stanley02-24-2012
Douglas James LockwoodWells Fargo Advisors Financial Network, LLCLPL Financial LLC$5005-04-2016
Douglas S WardWells Fargo Advisors Financial Network, LLCMorgan Stanley$5007-11-2019
Fred JaramilloWells Fargo Advisors Financial Network, LLCMorgan Stanley$10001-11-2019
Gail M Mackler-Carlino, Kathleen Marie Racz, Daniel Michael KochWells Fargo Advisors Financial Network, LLCJanney Montgomery Scott LLC10-03-2012
Gregory Patrick NolanWells Fargo Advisors Financial Network, LLCWells Fargo Clearing Services, LLC$5007-06-2012
Jack Evan WienerWells Fargo Advisors Financial Network, LLCRBC Capital Markets, LLC$10006-29-2012
James Allen LewyWells Fargo Advisors Financial Network, LLCWells Fargo Clearing Services, LLC11-08-2019
James Henry BergerWells Fargo Advisors Financial Network, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-16-2009
James Oscar LugoWells Fargo Advisors Financial Network, LLCMorgan Stanley$1,00007-11-2019
Jason Michael SprungWells Fargo Advisors Financial Network, LLCMorgan Stanley$5001-11-2019
John O. BondeaWells Fargo Advisors Financial Network, LLCWells Fargo Clearing Services, LLC$5005-03-2013
Joseph Stuart NewmanWells Fargo Advisors Financial Network, LLCRaymond James Financial Services Advisors, Inc04-23-2009
Kenneth Bruce RobertsWells Fargo Advisors Financial Network, LLCLPL Financial LLC$5004-15-2016
Kenneth Michael HelmanWells Fargo Advisors Financial Network, LLCOppenheimer & Co. Inc.$2505-13-2016
Kevin Joseph BenoitWells Fargo Advisors Financial Network, LLCMorgan Stanley03-10-2017
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Showing 1 to 25 of 49 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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