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
Paul Raymond ErenfeldPacific West Securities, Inc.Banc of America Investment Services, Inc.03-10-2009
Robert Allen WalkerLiberty Capital Investment CorporationWells Fargo Clearing Services, LLC$1003-13-2009
Sandra Jean WagnerSII Investments, Inc.Wells Fargo Clearing Services, LLC03-20-2009
Eric J. KleinSII Investments, Inc.Wells Fargo Clearing Services, LLC$1003-20-2009
Robert E. NorthSII Investments, Inc.Morgan Stanley & Co. Incorporated03-20-2009
Casey A McCrightWamu Investments, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-23-2009
Troy James JohnstonWells Fargo Investments, LLCCitigroup Global Markets Inc.$15003-24-2009
Zachary Scott MarfellPFS Investments Inc.PFS Investments Inc.03-24-2009
Michael James BrickleyPFS Investments Inc.PFS Investments Inc.03-25-2009
Mark D. FadlingPurshe Kaplan Sterling InvestmentsMorgan Stanley & Co. LLC$5003-27-2009
Douglas Eugene StonePurshe Kaplan Sterling InvestmentsMorgan Stanley & Co. LLC$2503-27-2009
Benjamin Stuart BrainardPurshe Kaplan Sterling InvestmentsMorgan Stanley & Co. LLC$2503-27-2009
Heidi Ann MooreCountry Capital Management CompanyWells Fargo Investments, LLC03-27-2009
Rex Raymond SchneiderWamu Investments, Inc.MetLife Securities Inc.03-30-2009
Allan GoldsteinM Holdings Securities, Inc.Kestra Investment Services, LLC03-30-2009
Brian Matthew SmithCountry Capital Management CompanyDeschutes Investment Advisors, Inc.03-30-2009
Jeremy Rogue VlachWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.03-30-2009
David George Wilson Jr.Stifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC03-31-2009
Ashley M. MiccicheStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC03-31-2009
James Michael PriceCUSO Financial Services, L.P.Wells Fargo Clearing Services, LLC04-01-2009
Michael Douglas BrockerM Holdings Securities, Inc.Securian Financial Services, Inc.04-01-2009
Bruce John GarettoSummit Brokerage Services, Inc.Raymond James Financial Services Advisors, Inc04-03-2009
Cheryl Dawn DyerSummit Brokerage Services, Inc.Raymond James Financial Services Advisors, Inc04-03-2009
Brian Matthew ClarkLPL Financial LLCBanc of America Investment Services, Inc.04-09-2009
Marcia Marie Moore-HullRBC Capital Markets, LLCUBS Financial Services Inc.$15004-09-2009
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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.