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
John Allen Kruse Jr.Sigma Financial CorporationEquity Services, Inc.01-01-2009
Richard Charles Morrow Jr.Purshe Kaplan Sterling InvestmentsSecurities America, Inc.$5001-02-2009
Richard William KrombachThrivent Investment Management Inc.BCG Securities, Inc.$2501-02-2009
Michael J. PrimeranoSecurities America, Inc.Lincoln Financial Advisors Corporation01-05-2009
Deborah Thayer TestaAmerican Portfolios Financial Services, Inc.Cetera Advisors LLC01-09-2009
Nicholas Andrew WurstLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-12-2009
William Randolph Wilkins Jr.LPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-13-2009
Jeffrey Thomas HuletteUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-15-2009
Terrence Joseph JenningsUBS 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$10001-15-2009
David QuinnWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$5001-15-2009
Luke Lewis Wiley, Zachary Hamilton WileyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-15-2009
Karen Anita BreedUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-15-2009
Garret Matthew FerraraUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-16-2009
Michele Antoinette FerraraUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-16-2009
Michael Robert BurrowsUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-16-2009
Jay Ronald OttoAmeriprise Financial Services, Inc.The O.N. Equity Sales Company01-20-2009
Robert Andrew HekschLPL Financial LLCSilver Mountain Capital Partners LLC$5001-22-2009
Scott Douglas JonesUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-22-2009
Michele Suzanne SchumacherSecurities America, Inc.Brecek & Young Advisors, Inc.$15001-23-2009
Geneva Earlene JordanSecurities America, Inc.Brecek & Young Advisors, Inc.$10001-23-2009
Anders Kristian JuelSecurities America, Inc.Brecek & Young Advisors, Inc.$5001-23-2009
Joseph Francis Moretti Jr.Securities America, Inc.Brecek & Young Advisors, Inc.$2501-23-2009
Richard Edward MartinSecurities America, Inc.Brecek & Young Advisors, Inc.$2501-23-2009
Samuel David DinnSecurities America, Inc.Brecek & Young Advisors, Inc.$2501-23-2009
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Showing 1 to 25 of 3,500 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.

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