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
Christopher Patrick TuckerMorgan Stanley & Co. IncorporatedUBS Financial Services Inc.01-01-2009
Eric John StephensonMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Jeffrey Lawrence RotskyMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
John Allen Kruse Jr.Sigma Financial CorporationEquity Services, Inc.01-01-2009
Joseph William BevackMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Perry Keith Jeffries IIIChase Investment Services Corp.UBS Financial Services Inc.01-01-2009
Robert William FaulknerMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Ryan Matthew DunlapMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Jerald Lewis ButtsLPL Financial LLCWorld Group Securities, Inc.01-02-2009
Richard Charles Morrow Jr.Purshe Kaplan Sterling InvestmentsSecurities America, Inc.$10001-02-2009
Richard William KrombachThrivent Investment Management Inc.BCG Securities, Inc.$2501-02-2009
Sherry Lynn MccainG. A. Repple & CompanyThe O.N. Equity Sales Company01-05-2009
Christina Effe EnninThe Huntington Investment CompanyNatcity Investments, Inc.01-06-2009
Michael J PrimeranoSecurities America Advisors, Inc.Lincoln Financial Advisors Corporation01-06-2009
Deborah Thayer TestaAmerican Portfolios Financial Services, Inc.Cetera Advisors LLC$5001-09-2009
Joseph Daniel Fondacaro Jr.Triad Advisors LLCHoran Securities, Inc.01-09-2009
Nicholas Andrew WurstLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1,00001-12-2009
William Randolph Wilkins Jr.LPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2501-13-2009
David QuinnWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$1,00001-15-2009
Jeffrey Thomas HuletteUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-15-2009
Karen Anita BreedUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-15-2009
Kevin Michael Shepherd Sr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$23001-15-2009
Terrence Joseph JenningsUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$101-15-2009
David Anthony BizjakStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC01-16-2009
Garret Matthew FerraraUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$101-16-2009
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Showing 1 to 25 of 4,913 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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