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
Christopher AchesonRBC Capital Markets, LLCUBS Financial Services Inc.$15004-09-2009
Christopher Peter KlavinsRBC Capital Markets, LLCUBS Financial Services Inc.$15004-09-2009
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
Patrick Matthew HaleKey Investment Services LLCSII Investments, Inc.04-22-2009
Ty Anthony GaroAmeriprise Financial Services, LLCAmeriprise Financial Services, LLC04-22-2009
Mark Bryan LewisStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated04-22-2009
Duane James RodewaldUmpqua Investments, Inc.Citigroup Global Markets Inc.$10004-24-2009
Douglas John McCaslinPaulson Investment Company LLCUBS Financial Services Inc.$2504-27-2009
Richard Raymond RogersLPL Financial LLCWells Fargo Clearing Services, LLC04-30-2009
Mark Y. HweeUmpqua Investments, Inc.Morgan Stanley & Co. Incorporated05-04-2009
William D. SwancuttStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated05-06-2009
Christian Samuel D'UrsoLPL Financial LLCWells Fargo Clearing Services, LLC05-07-2009
Geoffrey Denison LarocheAmeriprise Financial Services, LLCCitigroup Global Markets Inc.$1005-08-2009
Eric Phillip StromAmeriprise Financial Services, LLCUBS Financial Services Inc.$2505-08-2009
George Alan RiemerWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.05-08-2009
Lisa Marie KelsoWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$2505-08-2009
Mark Steven MooreSecurities America, Inc.Nationwide Securities, LLC05-11-2009
Melvin Gerald DuncanD.A. Davidson & Co.Wells Fargo Clearing Services, LLC$10005-13-2009
Ingrid Louise DunnD.A. Davidson & Co.Wells Fargo Clearing Services, LLC05-13-2009
Earl Brent TyeStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.05-14-2009
Mark Alan RenardWells Fargo Advisors Financial Network, LLCD.A. Davidson & Co.$1005-15-2009
Sergei Borisovich VassilenkoKey Investment Services LLCCurian Capital, LLC05-21-2009
John Robert TaylorRBC Capital Markets, LLCMorgan Stanley & Co. LLC$5005-22-2009
Richard Roland CoenD.A. Davidson & Co.Citigroup Global Markets Inc.$15005-27-2009
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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.