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 Phillip Lombardo Jr.Ameriprise Financial Services, Inc.Morgan Stanley$10005-03-2019
John RossAmeriprise Financial Services, Inc.MML Investors Services, LLC03-15-2019
Ryan Scott AckerhaltAmeriprise Financial Services, Inc.HSBC Securities (USA) Inc.$103-15-2019
Karen F AroetyAmeriprise Financial Services, Inc.Morgan Stanley$15003-08-2019
Cheryl Ann Rambler-GoveiaAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$1,00003-01-2019
Eileen Joan KohlerAmeriprise Financial Services, Inc.Cantella & Co., Inc.$2503-01-2019
Neil LauroAmeriprise Financial Services, Inc.Raymond James & Associates, Inc.$15002-20-2019
Eric Travis RoarkAmeriprise Financial Services, Inc.Oppenheimer & Co. Inc.$112-26-2018
Brian Timothy ConlonAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5012-07-2018
Eugene Joeseph Rooney Jr.Ameriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC12-01-2018
Debra Ann FeaserAmeriprise Financial Services, Inc.Edward Jones$2511-02-2018
Michael V. EisenbraunAmeriprise Financial Services, Inc.Edward Jones11-02-2018
Kwan-Rok KongAmeriprise Financial Services, Inc.Morgan Stanley$10010-26-2018
Arthur ZapesochnyAmeriprise Financial Services, Inc.AXA Advisors, LLC09-14-2018
Bruce Allan MaierAmeriprise Financial Services, Inc.AXA Advisors, LLC$5009-14-2018
Marley MantoAmeriprise Financial Services, Inc.AXA Advisors, LLC08-10-2018
Joseph S SorannoAmeriprise Financial Services, Inc.Morgan Stanley$10007-06-2018
Marcy Pamela RoseAmeriprise Financial Services, Inc.Morgan Stanley$107-06-2018
Peter Vail SmithAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$1,00006-15-2018
Edgar BetancourtAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$1,00006-01-2018
George William HuntAmeriprise Financial Services, Inc.Morgan Stanley$605-25-2018
Michael D ProkopAmeriprise Financial Services, Inc.Morgan Stanley$15005-25-2018
Christopher Herridge RuskAmeriprise Financial Services, Inc.B. Riley Wealth Management$105-18-2018
Daniel James O'SheaAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5005-11-2018
Philip Nathaniel HoweAmeriprise Financial Services, Inc.MML Investors Services, LLC05-04-2018
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Showing 1 to 25 of 234 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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