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
Erasmo Radhames SosaMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC01-02-2019
Harold James KlumbachTFS Securities, Inc.Voya Financial Advisors, Inc.01-02-2019
Kristine Adams BoeltePurshe Kaplan Sterling InvestmentsSummit Brokerage Services, Inc.$2501-02-2019
Lucianno Bernardo MarasaPrincipal Securities, Inc.Securian Financial Services, Inc.01-02-2019
Michael Thomas GilmartinLifeMark Securities Corp.J.W. Cole Financial, Inc.$2501-02-2019
Michael V SpelmanMyrmidon Private CapitalMerrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2019
Neil Edward VonfeldtFour Points Capital Partners LLCMHA Financial Corp$101-02-2019
William Michael MeyerMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC$15001-02-2019
Eric Travis RoarkAmeriprise Financial Services, Inc.Oppenheimer & Co. Inc.$112-26-2018
Apostolos Nicolas PitsironisJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$5312-21-2018
Rhonda Joy SchwartzPark Avenue Securities LLCAXA Advisors, LLC12-21-2018
William Benjamin GreenmanAXA Advisors, LLCCetera Advisors LLC$112-21-2018
Joseph BradyStifel Nicolaus & Co.Merrill Lynch$12512-20-2018
Alexander ZingerAmerican Portfolios Financial Services, Inc.Independent Financial Group, LLC$112-20-2018
Erin Catherine BradyStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated12-20-2018
Joseph Patrick BradyStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated12-20-2018
Orrie I ElbaumAXA Advisors, LLCHSBC Securities (USA) Inc.12-20-2018
Brian Robert RothNewbridge Securities CorporationAeon Capital Inc$5012-19-2018
Calvin John KlemmerMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmerican Portfolios Financial Services, Inc.12-19-2018
David QuickSecurities America, Inc. Cambridge Investment research, Inc. $4912-18-2018
Jacob Siano WhalenMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC12-18-2018
Robert Walter McintoshFSC Securities CorporationLPL Financial LLC12-17-2018
Christian TateoWoodbury Financial Services, Inc.MML Investors Services, LLC$5012-14-2018
Michael Patrick SchifferWells Fargo Clearing Services, LLCMorgan Stanley$2512-14-2018
Stephen Ira GilbergAmerican Portfolios Financial Services, Inc.Questar Capital Corporation$5012-14-2018
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Showing 251 to 275 of 12,417 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.

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