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.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves

Filters

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Robert William RetzloffPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$15006-25-2019
Brian J FunkhouserPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$10006-25-2019
John T. O'BrienPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.06-25-2019
Paul Melvin AbendrothPurshe Kaplan Sterling InvestmentsRoyal Alliance Associates, Inc.01-16-2018
Kevin James WalkerPurshe Kaplan Sterling InvestmentsCetera Advisors LLC$5009-08-2017
Michael Joseph KleinfelderPurshe Kaplan Sterling InvestmentsMorgan Stanley$109-01-2017
Brian Anthony KellettPurshe Kaplan Sterling InvestmentsLPL Financial LLC04-10-2017
Alexandra Anna ArmstrongPurshe Kaplan Sterling InvestmentsSigma Financial Corporation02-22-2017
Kathleen Honor MccarthyPurshe Kaplan Sterling InvestmentsSII Investments, Inc.$2501-06-2017
Michael Patrick MawbyPurshe Kaplan Sterling InvestmentsMorgan Stanley$10007-01-2016
Stuart A GertmanPurshe Kaplan Sterling InvestmentsMorgan Stanley$10007-01-2016
Todd Matthew ResnickPurshe Kaplan Sterling InvestmentsMorgan Stanley$107-01-2016
Michael Brennan StaffordPurshe Kaplan Sterling InvestmentsAmeriprise Financial Services, Inc.11-03-2015
Melissa A CoxPurshe Kaplan Sterling InvestmentsPNC Investments$109-11-2015
Cory Benton CookPurshe Kaplan Sterling InvestmentsCambridge Investment Research, Inc.$5001-06-2015
Andrew Paul KeelerPurshe Kaplan Sterling InvestmentsCambridge Investment Research Advisors, Inc.$15011-14-2014
Mark D BeaverPurshe Kaplan Sterling InvestmentsCambridge Investment Research, Inc.$111-14-2014
William Keith RootPurshe Kaplan Sterling InvestmentsCambridge Investment Research Advisors, Inc.11-14-2014
Timothy D HicksPurshe Kaplan Sterling InvestmentsMorgan Stanley$10009-30-2011
Dustin Blake BeamPurshe Kaplan Sterling InvestmentsTriad Advisors LLC07-13-2011
Robert Paul Wilson Sr.Purshe Kaplan Sterling InvestmentsCambridge Investment Research, Inc.11-12-2009
Richard Charles Morrow Jr.Purshe Kaplan Sterling InvestmentsSecurities America, Inc.$10001-02-2009

Showing 1 to 22 of 22 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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