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
Mark A. FinelliPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$5008-15-2019
Jonathan David MarkoePurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$5010-05-2018
Xerxes Soli MullanPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated03-23-2017
Tonya Nicole SmoakePurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated03-23-2017
Michael Patrick DowdPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated09-21-2016
Frank Joseph PolsinelloPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$15005-09-2016
Brieanne Hamelin DaceyPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated11-13-2015
Steven Alan WagnerPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-04-2015
Ivan Orlando HernandezPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10009-04-2015
Michael Scott WagnerPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10009-04-2015
Brian R. FlynnPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$2506-11-2015
Lance Corey SchmidtPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated02-23-2015
David Brower RussellPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10007-25-2014
Herman Lubomir RijPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10005-02-2014
Jason Brewer CortPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10005-02-2014
Brian Christopher CortPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$5005-02-2014
Kori R. LannonPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10005-02-2014
Brian Michael HefelePurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$5003-03-2014
Joel Frederick NiesPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$2512-01-2013
Elizabeth Frances ConnellyPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated11-07-2013
Kenneth Steven StovallPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$15006-01-2013
James Donald MaherPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$15003-28-2013
Robert Gary Schlueter Jr.Purshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated03-28-2013
Jerry Lee WestPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$15003-28-2013
John Roland RussoPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$15003-28-2013
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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.