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
Mario FrattoMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$15312-04-2014
Nicole Primack AndresMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC$60011-02-2015
Jason Hutton Steven GottliebMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.$52007-23-2015
Ronald Slevin George Gladman Jared Stone Jeffrey TuckerMerrill Lynch, Pierce, Fenner & Smith IncorporatedRBC Capital Markets, LLC$30003-06-2015
James Clarke Philip WeyheMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.$28505-22-2014
Vishal Bakshi Jayne Finst David A GreeneMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC$1,00005-24-2013
Joseph Gabriele Paul Vasady-KovacsMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$1,00006-02-2017
Adam SchurMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$85001-13-2017
Akira KidoMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$16009-16-2016
Harry Lewkowitz Jeggrey GersenMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$50008-04-2016
Jeffrey SchoenfeldMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$25008-04-2016
John Gatto Kenneth Gatto Matthew HughesMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$67504-18-2016
Marc KarstaedtMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$14704-18-2016
Lee Rosen Elana Gofman Karen LevyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$30010-16-2015
David MunozMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-16-2015
John MirsepahiMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley05-14-2015
Robert LabriolaMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$20007-11-2014
Brian SarokenMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$19304-17-2014
Gerald SarokenMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$11604-17-2014
Michael Bromberg Daniel GerschelMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$40002-13-2014
Mary E Tompkins Addison M Sherman Angelo MamoneMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$32407-03-2013
Mickey LittmannMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$15102-12-2013
Lee Miller Andrew PleatMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$18308-10-2012
Leonard KinsmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$11310-26-2011
Michael AppelbaumMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$45011-19-2010
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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.