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
Raffaele DeGruttolaChase Investment Services Corp.Morgan Stanley$1006-24-2009
Marvin WeinWells Fargo Clearing Services, LLCMorgan Stanley06-25-2009
James Lionel WeinWells Fargo Clearing Services, LLCMorgan Stanley$10006-25-2009
Bill GrousDeutsche Bank Securities Inc.Morgan Stanley$10006-29-2009
Steven Mitchell GrillDeutsche Bank Securities Inc.Morgan Stanley06-29-2009
Alexander Nicholas ChristonDeutsche Bank Securities Inc.Morgan Stanley$10006-29-2009
Hiral ShahChase Investment Services Corp.Morgan Stanley06-30-2009
James Eddy SimpsonOppenheimer & Co. Inc.Morgan Stanley$5007-01-2009
Patricia ThomasLPL Financial LLCMorgan Stanley$1007-08-2009
Thomas Dale WhitsitRaymond James Financial Services, Inc.Morgan Stanley07-17-2009
Thomas John ThompsonPinnacle Investments, LLCMorgan Stanley07-20-2009
John Lawrence DonovanPinnacle Investments, LLCMorgan Stanley07-24-2009
Gregory Alan LopezMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$1007-24-2009
Mark Ira GronnerWells Fargo Clearing Services, LLCMorgan Stanley07-30-2009
James Daniel McQuigganPinnacle Investments, LLCMorgan Stanley$5007-31-2009
Jack Meyer ZahlWells Fargo Clearing Services, LLCMorgan Stanley07-31-2009
James Knox Patrick IIIPurshe Kaplan Sterling InvestmentsMorgan Stanley08-11-2009
Robert Michael GiustiMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2508-28-2009
Glenn Harvey FischerRaymond James Financial Services, Inc.Morgan Stanley$5009-02-2009
Donna Maria BarraRaymond James Financial Services, Inc.Morgan Stanley09-02-2009
Paul Gary LiebmanOppenheimer & Co. Inc.Morgan Stanley$20009-10-2009
Neil Seth OkunOppenheimer & Co. Inc.Morgan Stanley$2509-10-2009
Stephen Ray NugentHSBC Securities (USA) Inc.Morgan Stanley09-11-2009
Patrick Joseph O'Leary Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley09-11-2009
Sheri Helene KominskyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$15009-16-2009
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Showing 1 to 25 of 1,358 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.