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
Sam Peter John Irvine1st Global Capital Corp.Morgan Stanley11-25-2014
Geoffrey Mchale GarfieldAltium Wealth Management LLCMorgan Stanley03-08-2011
Evan Joshua LevyAmerican Portfolios Financial Services, Inc.Morgan Stanley06-05-2019
Julie Anne WendholtAmeriprise Financial Services, Inc.Morgan Stanley06-28-2019
James Phillip Lombardo Jr.Ameriprise Financial Services, Inc.Morgan Stanley$10005-03-2019
Joseph Edward VicariAmeriprise Financial Services, Inc.Morgan Stanley$5005-03-2019
Karen F AroetyAmeriprise Financial Services, Inc.Morgan Stanley$15003-08-2019
Calvin R. KongAmeriprise Financial Services, Inc.Morgan Stanley$14110-26-2018
Marcy Rose, Joseph SorannoAmeriprise Financial Services, Inc.Morgan Stanley$18507-07-2018
Kwan-Rok KongAmeriprise Financial Services, Inc.Morgan Stanley$10010-26-2018
Joseph S SorannoAmeriprise Financial Services, Inc.Morgan Stanley$10007-06-2018
Marcy Pamela RoseAmeriprise Financial Services, Inc.Morgan Stanley07-06-2018
Michael D. ProkopAmeriprise Financial Services, Inc.Morgan Stanley$15005-25-2018
George William HuntAmeriprise Financial Services, Inc.Morgan Stanley05-25-2018
Michael Charles FaroAmeriprise Financial Services, Inc.Morgan Stanley12-21-2017
Nick Armando DematteisAmeriprise Financial Services, Inc.Morgan Stanley12-21-2017
Robert James PecoraroAmeriprise Financial Services, Inc.Morgan Stanley$5004-24-2015
Scott NeffAmeriprise Financial Services, Inc.Morgan Stanley$11611-28-2014
Michael Cooper, Sidney CooperAmeriprise Financial Services, Inc.Morgan Stanley$20011-29-2013
Michael Bruce CooperAmeriprise Financial Services, Inc.Morgan Stanley11-29-2013
Sidney CooperAmeriprise Financial Services, Inc.Morgan Stanley11-29-2013
Robert Gregory MennonaAmeriprise Financial Services, Inc.Morgan Stanley11-07-2013
Holley Marianne Smaldone-CraggAmeriprise Financial Services, Inc.Morgan Stanley08-16-2013
Edna Louise HaughneyAmeriprise Financial Services, Inc.Morgan Stanley$2506-18-2012
Mark BrellisAmeriprise Financial Services, Inc.Morgan Stanley$8103-16-2012
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Showing 1 to 25 of 698 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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