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
Scott John HellandStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$5001-02-2009
John Angelo CatanzaroStifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.01-22-2009
Peter Stewart OkinStifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.$15003-27-2009
Lawrence John ConnellyStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated04-13-2009
Victor Joseph CostaStifel, Nicolaus & Company, IncorporatedMorgan Stanley & Co. LLC$1004-21-2009
Stanley Bruce FinkelbergStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$5005-11-2009
James David OestreichStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$5006-15-2009
Thomas Joseph ODonnell JrStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC06-17-2009
Robert Peter CampolongoStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$10006-24-2009
Michael Andrew RomanelliStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC07-15-2009
Christopher Scott LongoStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$15010-30-2009
Brad Daniel FosterStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC10-30-2009
Malcolm Patterson Keers SrStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC11-17-2009
Robert Charles UngererStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC02-02-2010
Suzanne Lynne WalshStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$20002-02-2010
Alan Howard CohnStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$5002-08-2010
Francine Louise FoerstStifel, Nicolaus & Company, IncorporatedMorgan Stanley02-19-2010
Stephen Gerard MoscaStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$10003-03-2010
Harold Lee GoldsmithStifel, Nicolaus & Company, IncorporatedJanney Montgomery Scott LLC$2503-17-2010
Michael William HordyStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$5004-01-2010
David AsulinStifel, Nicolaus & Company, IncorporatedDavid Lerner Associates, Inc.08-20-2010
Thomas James BeattieStifel, Nicolaus & Company, IncorporatedMorgan Stanley01-24-2011
James Edward DalyStifel, Nicolaus & Company, IncorporatedMorgan Stanley07-29-2011
Theresa Ann ScottStifel, Nicolaus & Company, IncorporatedMorgan Stanley$10007-29-2011
Kenneth J Christman JrStifel, Nicolaus & Company, IncorporatedMorgan Stanley07-29-2011
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Showing 1 to 25 of 133 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.