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
Peter Thomas GrimmNext Financial Group, Inc.UBS Financial Services Inc.04-09-2009
Lawrence John ConnellyStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated04-13-2009
James Werner IIIHalliday Financial, LLCUBS Financial Services Inc.$2504-15-2009
Joshua Paul Jaroslow DuksinMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley & Co. LLC04-16-2009
David Alan BoliverWells Fargo Advisors Financial Network, LLCBanc of America Investment Services, Inc.$10004-17-2009
Maria Therese Zinter, Christopher Thomas LotempioRBC Capital Markets, LLCCitigroup Global Markets Inc.$1004-17-2009
Michael Joseph MooneyWells Fargo Advisors Financial Network, LLCBanc of America Investment Services, Inc.04-17-2009
David Edward SherlockWells Fargo Advisors Financial Network, LLCBanc of America Investment Services, Inc.04-17-2009
Carl William SchoofRBC Capital Markets, LLCCitigroup Global Markets Inc.04-17-2009
Rosemarie Costa SepanskiTrident Partners Ltd.Benjamin Securities, Inc.$5004-20-2009
Kathleen Marie KnaulPinnacle Investments, LLCUBS Financial Services Inc.04-20-2009
Sunny Hsing-I ChiouNorthwestern Mutual Investment Services, LLCSoleil Securities Corporation04-20-2009
Victor Joseph CostaStifel, Nicolaus & Company, IncorporatedMorgan Stanley & Co. LLC$1004-21-2009
William WuLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1004-21-2009
Alissa Marie Quinn, Carol Ann NieckarzUBS Financial Services Inc.Citigroup Global Markets Inc.$10004-23-2009
William Dennis Conti Jr., Peter Jeremy HallUBS Financial Services Inc.Citigroup Global Markets Inc.04-23-2009
Stephen Jeremy HallUBS Financial Services Inc.Citigroup Global Markets Inc.04-23-2009
Wayne Fay LeeMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-23-2009
Daniel Michael Nolan Sr., Mandy Judith Rofe, Christopher Peter LabarberaMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$15004-24-2009
Gary Mark SpectorUBS Financial Services Inc.Citigroup Global Markets Inc.04-24-2009
Courtney John Kwas, John Matthew LiviaMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.04-24-2009
Michael Carl WeidnerWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated04-24-2009
Nicholas A SimonettiMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.04-27-2009
Eileen Lessun SienkiewiczPinnacle Investments, LLCUBS Financial Services Inc.$2504-28-2009
David Paul PaciorekRaymond James Financial Services, Inc.Citigroup Global Markets Inc.$10004-29-2009
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Showing 176 to 200 of 8,976 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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