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
Andrea Leigh HetrickAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5005-13-2016
Charles Joseph WazeneggerAmeriprise Financial Services, Inc.Allegheny Investments, Ltd.04-19-2016
Michael Sean MaherAmeriprise Financial Services, Inc.Stifel, Nicolaus & Company, Incorporated$13104-15-2016
Deborah Klatz RounickAmeriprise Financial Services, Inc.Janney Montgomery Scott LLC$102-12-2016
Gerald Jay KlatzAmeriprise Financial Services, Inc.Janney Montgomery Scott LLC$5002-12-2016
Dennis Michael OneillAmeriprise Financial Services, Inc.SA Stone Wealth Management Inc.$2512-08-2015
Fredric Charles WoloshinAmeriprise Financial Services, Inc.Janney Montgomery Scott LLC$10011-05-2015
Daniel Michael SierchioAmeriprise Financial Services, Inc.HD Vest Investment Services10-26-2015
Danny Man-Chung ChanAmeriprise Financial Services, Inc.HSBC Securities (USA) Inc.09-29-2015
Deane Serfer RudofkerAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC09-08-2015
James Henry McconnellAmeriprise Financial Services, Inc.PNC Investments09-01-2015
Alan David Shannon-BreslinAmeriprise Financial Services, Inc.HD Vest Investment Services08-21-2015
Paul Joseph Glesinger Jr.Ameriprise Financial Services, Inc.JHS Capital Advisors, LLC$2508-14-2015
Bernard Hamilton Jr.Ameriprise Financial Services, Inc.Charles Schwab & Co., Inc.04-24-2015
Jane Ann BerrymanAmeriprise Financial Services, Inc.Raymond James & Associates, Inc.$3003-30-2015
Brian Joseph DuelferAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$14002-13-2015
Glynn David BiasAmeriprise Financial Services, Inc.Stifel, Nicolaus & Company, Incorporated02-13-2015
Henry Joseph Pofi Jr.Ameriprise Financial Services, Inc.Stifel, Nicolaus & Company, Incorporated$102-13-2015
Ashley Ellen NicklAmeriprise Financial Services, Inc.LPL Financial LLC01-09-2015
Ronald G HarrisAmeriprise Financial Services, Inc.Morgan Stanley01-01-2015
Joel Jay FinemanAmeriprise Financial Services, Inc.Janney Montgomery Scott LLC$2512-24-2014
Steven JablonskiAmeriprise Financial Services, Inc.Waddell & Reed12-24-2014
Brendan Christopher DooleyAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC12-23-2014
Timothy Barry MccartyAmeriprise Financial Services, Inc.Edward Jones$112-12-2014
Jake Ryan GordonAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC10-03-2014
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Showing 26 to 50 of 121 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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