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
Daniel Norman PetersAmeriprise Financial Services, Inc.Stifel, Nicolaus & Company, Incorporated01-25-2019
Dorothy Harten HullAmeriprise Financial Services, Inc.Waddell & Reed$101-22-2019
Derek David RosenbergAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5011-30-2018
Matthew W Wayne ShaughnessyAmeriprise Financial Services, Inc.UBS Financial Services Inc.$15008-17-2018
Steven Leo CahoonAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5006-29-2018
Amy Renee ClemensAmeriprise Financial Services, Inc.Waddell & Reed$5002-23-2018
Gregory Michael ValleeAmeriprise Financial Services, Inc.Citizens Securities, Inc.$2502-09-2018
Wayne Eugene BieniaszAmeriprise Financial Services, Inc.Edward Jones$2511-06-2017
Jacob Woodson RitterAmeriprise Financial Services, Inc.Waddell & Reed04-28-2017
Bryan Allan YeagerAmeriprise Financial Services, Inc.Morgan Stanley$10004-17-2017
Vincent Michael OttavianoAmeriprise Financial Services, Inc.Waddell & Reed04-06-2017
Kevin HarrellAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$101-06-2017
Gary David SudolAmeriprise Financial Services, Inc.National Planning Corporation$25011-10-2016
Mark James SudolAmeriprise Financial Services, Inc.National Planning Corporation$15011-10-2016
Matthew Allen JeannesAmeriprise Financial Services, Inc.Morgan Stanley10-14-2016
James Marlowe SandeAmeriprise Financial Services, Inc.Waddell & Reed06-10-2016
Michael Cleveland RileyAmeriprise Financial Services, Inc.First Allied Securities, Inc.05-25-2016
Tyler Patrick WunderAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-17-2015
Robert Joseph Keyes Jr.Ameriprise Financial Services, Inc.Tricor Financial, LLC11-18-2015
Frank AguilarAmeriprise Financial Services, Inc.Tricor Advisory Services, LLC$10011-13-2015
Jason Leonard GarofaloAmeriprise Financial Services, Inc.Tricor Advisory Services, LLC$2511-13-2015
David James BradyAmeriprise Financial Services, Inc.LPL Financial LLC07-31-2015
Cheryl Lynn WallaceAmeriprise Financial Services, Inc.Edward Jones05-12-2015
Derek Austin WitteAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC04-23-2015
Jerry Dean RubinAmeriprise Financial Services, Inc.Cetera Advisor Networks LLC02-27-2015
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Showing 1 to 25 of 45 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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