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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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Sean M. GradyJ.P. Morgan Securities LLCMorgan Stanley09-18-2019
Steven Paul KleinWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley$10009-05-2019
Gerald Louis SchwolskyWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley$50009-05-2019
Christopher M. Ward-DenucciWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley09-05-2019
Tiffany Ann BrainUBS Financial Services Inc.Morgan Stanley$10008-30-2019
Christopher Robert ArmstrongNational Securities CorporationMorgan Stanley08-22-2019
Stephen Joseph PutorteMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley08-12-2019
Michael TartagliaWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley07-18-2019
James Oscar LugoWells Fargo Advisors Financial Network, LLCMorgan Stanley$10007-11-2019
Douglas S WardWells Fargo Advisors Financial Network, LLCMorgan Stanley$50007-11-2019
Frank Edward McKennaRaymond James & Associates, Inc.Morgan Stanley$15007-02-2019
Rene Antonio DierkesRaymond James & Associates, Inc.Morgan Stanley$25007-02-2019
Louis V MagliarditiWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley$25007-02-2019
Lawrence RosatiWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley$50007-02-2019
Carlos Andres AcunaUBS Financial Services Inc.Morgan Stanley07-02-2019
Richard RosatiWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley07-02-2019
Maria Eugenia PedrazaWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley07-02-2019
Loran F MeehanWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley07-02-2019
John Eugene Hurle Jr.Pruco Securities, LLC.Morgan Stanley06-28-2019
Douglas P GeronLPL Financial LLCMorgan Stanley06-28-2019
Lisa Karen HeerwagenPurshe Kaplan Sterling InvestmentsMorgan Stanley$10005-10-2019
Thomas William LeidnerPurshe Kaplan Sterling InvestmentsMorgan Stanley$25005-10-2019
Greg RosenAmeriprise Financial Services, Inc.Morgan Stanley$50005-10-2019
James Wilk LloydPurshe Kaplan Sterling InvestmentsMorgan Stanley05-10-2019
Whitney C StrublePurshe Kaplan Sterling InvestmentsMorgan Stanley05-10-2019
Next Page »

Showing 1 to 25 of 44 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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