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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Douglas Eugene StonePurshe Kaplan Sterling InvestmentsMorgan Stanley & Co. LLC$5003-27-2009
Heidi Ann MooreCountry Capital Management CompanyWells Fargo Investments, LLC03-27-2009
Mark Dennis FadlingPurshe Kaplan Sterling InvestmentsMorgan Stanley & Co. LLC$103-27-2009
Allan GoldsteinM Holdings Securities, Inc.Kestra Investment Services, LLC$103-30-2009
Brian Matthew SmithCountry Capital Management CompanyDeschutes Investment Advisors, Inc.03-30-2009
Rex Raymond SchneiderWamu Investments, Inc.MetLife Securities Inc.03-30-2009
Ashley Marie MiccicheStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC03-31-2009
David George Wilson Jr.Stifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC03-31-2009
James Michael PriceCUSO Financial Services, L.P.Wells Fargo Clearing Services, LLC04-01-2009
William Dale DobbsCentaurus Financial, Inc.MetLife Securities Inc.$104-06-2009
Brian Matthew ClarkLPL Financial LLCBanc of America Investment Services, Inc.$104-09-2009
John Richard LeithnerKMS Financial Services, Inc.VALIC Financial Advisors, Inc.$2504-15-2009
Kevin James JordanWedbush Securities Inc.UBS Financial Services Inc.$5004-15-2009
Kevin James WilsonUmpqua Investments, Inc.Banc of America Investment Services, Inc.04-17-2009
Mark Bryan LewisStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$5004-22-2009
Patrick Matthew HaleKey Investment Services LLCSII Investments, Inc.04-22-2009
Duane James RodewaldUmpqua Investments, Inc.Citigroup Global Markets Inc.$50004-24-2009
Douglas John MccaslinPaulson Investment Company LLCUBS Financial Services Inc.04-27-2009
Richard Raymond RogersLPL Financial LLCWells Fargo Clearing Services, LLC04-30-2009
Mark Yin-Pong HweeUmpqua Investments, Inc.Morgan Stanley & Co. Incorporated$105-04-2009
William D SwancuttStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated05-06-2009
Christian Samuel D'UrsoLPL Financial LLCWells Fargo Clearing Services, LLC$105-07-2009
Eric P. StromAmeriprise Financial Services, Inc.UBS Financial Services Inc.05-08-2009
Geoffrey Denison LarocheAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.05-08-2009
George Alan RiemerWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$8005-08-2009
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Showing 51 to 75 of 1,545 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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