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
James Lionel WeinWells Fargo Clearing Services, LLCMorgan Stanley$10006-25-2009
Marvin WeinWells Fargo Clearing Services, LLCMorgan Stanley06-25-2009
Carol DahlCitigroup Global Markets Inc.Morgan Stanley$10006-26-2009
James Eddy SimpsonOppenheimer & Co. Inc.Morgan Stanley$5007-01-2009
Patricia ThomasLPL Financial LLCMorgan Stanley07-08-2009
Thomas John ThompsonPinnacle Investments, LLCMorgan Stanley07-20-2009
John Lawrence DonovanPinnacle Investments, LLCMorgan Stanley07-24-2009
Mark Ira GronnerWells Fargo Clearing Services, LLCMorgan Stanley07-30-2009
James Daniel McQuigganPinnacle Investments, LLCMorgan Stanley07-31-2009
James Knox Patrick IIIPurshe Kaplan Sterling InvestmentsMorgan Stanley08-11-2009
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
Charles C RadcliffeFirst Republic Securities Company, LLCMorgan Stanley10-16-2009
Maureen E McNallyFirst Republic Securities Company, LLCMorgan Stanley10-16-2009
Kevin W ChauMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10011-06-2009
William Robert GardnerMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10012-04-2009
Ruth Faye FialkoJ.P. Morgan Securities LLCMorgan Stanley$15002-05-2010
Peter Eric Lang, Roman Adam CiosekHighTower Securities, LLCMorgan Stanley$5002-12-2010
Thomas George SandersonWells Fargo Advisors Financial Network, LLCMorgan Stanley$5002-19-2010
Francine Louise FoerstStifel, Nicolaus & Company, IncorporatedMorgan Stanley$1002-19-2010
Arthur Blake ShermanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley02-26-2010
Janet Ann HayesOppenheimer & Co. Inc.Morgan Stanley$15003-19-2010
Brian Francis HayesOppenheimer & Co. Inc.Morgan Stanley$10003-19-2010
Christopher Thomas SeefeldtRBC Capital Markets, LLCMorgan Stanley$10003-19-2010
Robert Gordon KatzWells Fargo Clearing Services, LLCMorgan Stanley$2503-19-2010
Next Page »

Showing 1 to 25 of 703 entries

Page 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15

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.


Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting It'll help us continue to serve you.

Yes, show me how to whitelist

Ad blocker detected. Please whitelist us or give premium a try.