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 F. PassagliaFidelity Brokerage Services LLCRoyal Alliance Associates, Inc.$1001-10-2011
David Chaim KirchfeldMerrill Lynch, Pierce, Fenner & Smith IncorporatedKey Investment Services LLC01-10-2011
Scott Douglas CramerAmeriprise Financial Services, LLCMorgan Stanley01-12-2011
Lorenzo Giovanni SerafiniFarmers Financial Solutions, LLCFarmers Financial Solutions, LLC01-17-2011
Brian William SimerAmeritas Investment Company, LLCWaddell & Reed$5001-19-2011
John Christian RaafRAAF Investment Advisors, LLCConfluence Wealth Management LLC01-21-2011
Neil Guy JaquesWells Fargo Clearing Services, LLCMorgan Stanley$10001-21-2011
Shawn Orin HigleyGeneos Wealth Management, Inc.Wells Fargo Clearing Services, LLC01-24-2011
Alf Dean BarberUBS Financial Services Inc.Morgan Stanley01-27-2011
William BeattyUBS Financial Services Inc.Morgan Stanley$15001-27-2011
Tina Lee BrannanUBS Financial Services Inc.Morgan Stanley01-27-2011
Sara Catherine LeipzigAmeriprise Financial Services, LLCLPL Financial LLC02-01-2011
Nathan Eldon WilliamsPRACTICE FINANCIAL GROUP, LLCPRACTICE FINANCIAL GROUP, LLC02-01-2011
James Monroe TrosenBridgetown Financial Group, LLCVALIC Financial Advisors, Inc.02-01-2011
Maro Artemio PazCUSO Financial Services, L.P.Workman Securities Corporation$1002-03-2011
John Howard EckelsMorgan StanleyBerthel, Fisher & Company Financial Services, Inc.02-03-2011
Brent Wesley NormanPaulson Investment Company LLCUBS Financial Services Inc.02-04-2011
Kari Ellen MillerCUSO Financial Services, L.P.Ameriprise Financial Services, LLC02-10-2011
Carly Renee BrauerPFS Investments Inc.PFS Investments Inc.02-14-2011
Joanne Audrey WelchWedbush Securities Inc.Wells Fargo Clearing Services, LLC$15002-18-2011
Douglas Prada ConradLPL Financial LLCWells Fargo Clearing Services, LLC$1002-18-2011
Blake W ParrishMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley02-22-2011
Tyler Joseph HibbittsUnited Planners' Financial Services of America A Limited PartnerSagePoint Financial, Inc.02-28-2011
Steven James NelsonStifel, Nicolaus & Company, IncorporatedUmpqua Investments, Inc.02-28-2011
Digger Danny RasmussenChase Investment Services Corp.Allstate Financial Services, LLC03-01-2011
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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.