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

Results filtered by


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Darren Otto LayneEdward JonesMorgan Stanley10-27-2009
Brian Clark JoelsonUmpqua Investments, Inc.Morgan Stanley$10011-06-2009
Richard Clark SkrondalWells Fargo Clearing Services, LLCMorgan Stanley11-06-2009
Curtis Fred Bennett, David Michael PreszlerD.A. Davidson & Co.UBS Financial Services Inc.11-18-2009
Brian Raymond NelsonWells Fargo Clearing Services, LLCMorgan Stanley12-14-2009
Stanley Clayton LochrieEtesian Wealth Advisors, Inc.Moss Adams Securities & Insurance LLC12-16-2009
Todd Michael NelsonKMS Financial Services, Inc.Roehl & Yi Investment Advisors, LLC01-05-2010
Ray Allen CoxMorgan StanleyUBS Financial Services Inc.$10001-06-2010
Robert Everett StorlieSummit Brokerage Services, Inc.UBS Financial Services Inc.$10001-08-2010
Thomas Francis MeagherRBC Capital Markets, LLCMorgan Stanley$15001-15-2010
Douglas M JenkinsMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10001-15-2010
David Erich PistorFlight Capital Management, LLCUmpqua Investments, Inc.01-29-2010
Ty Anthony GaroRaymond James Financial Services, Inc.Ameriprise Financial Services, Inc.03-16-2010
Dale William BartleyWells Fargo Clearing Services, LLCMorgan Stanley$5003-17-2010
Casey A McCrightMerrill Lynch, Pierce, Fenner & Smith IncorporatedChase Investment Services Corp.03-19-2010
Michael Everett WilliamsU.S. Bancorp Investments, Inc.Chase Investment Services Corp.03-22-2010
Laura Elizabeth DuvallLPL Financial LLCUmpqua Investments, Inc.$5004-01-2010
Thomas E. Nelson IIIWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated04-09-2010
Frederick Mitchell MagenheimerLPL Financial LLCPacific West Securities, Inc.05-10-2010
Breanna CraigCountry Capital Management CompanyChase Investment Services Corp.05-10-2010
David Randolph ThomasWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5005-12-2010
Mark Brownell ThomasWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-12-2010
William Marshall RawsonGranite Capital Advisors, LLCCambridge Investment Research, Inc.06-07-2010
Brian R. WestAllstate Financial Services, LLCState Farm VP Management Corp.06-07-2010
Mark Garald DerbyNYLIFE Securities LLCAllstate Financial Services, LLC06-08-2010
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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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