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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Aaron Paul KingstonRBC Capital Markets, LLCUBS Financial Services Inc.$25009-13-2019
Ambria Mckenzie SmithRBC Capital Markets, LLCPFM Fund Distributors, Inc.05-10-2018
Andrew Paul HoffnerRBC Capital Markets, LLCRobert W. Baird & Co. Incorporated$50012-10-2014
Blake Peter EpsteinRBC Capital Markets, LLCMorgan Stanley$50002-15-2019
Brian Alden FieldsRBC Capital Markets, LLCMorgan Stanley$50006-11-2009
Brian James FridayRBC Capital Markets, LLCMorgan Stanley$50004-16-2015
Brock Raymond HivelyRBC Capital Markets, LLCMorgan Stanley$50004-19-2012
Bruce Culver Georgi Jr.RBC Capital Markets, LLCJanney Montgomery Scott LLC$50008-30-2017
Charles Albert Koch Jr.RBC Capital Markets, LLCMorgan Stanley$15006-11-2009
Christine Jennifer ProntockRBC Capital Markets, LLCMorgan Stanley$50004-16-2015
Christine Lynn SaittaRBC Capital Markets, LLCMorgan Stanley$15010-09-2014
Christopher Gerald ClacksonRBC Capital Markets, LLCMorgan Stanley04-18-2017
Christopher Gerard SteinhauerRBC Capital Markets, LLCMorgan Stanley$50002-15-2019
Christopher R VandusenRBC Capital Markets, LLCMorgan Stanley$10002-15-2019
Daniel James ShermanRBC Capital Markets, LLCMorgan Stanley$10011-02-2017
Daniel Patrick HeenanRBC Capital Markets, LLCOppenheimer & Co. Inc.$25006-22-2017
David Jon GalardiniRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15011-02-2016
David Michael CacceseRBC Capital Markets, LLCJanney Montgomery Scott LLC$25007-06-2017
Deborah Ann SullivanRBC Capital Markets, LLCMorgan Stanley$10010-09-2014
Denise Renee PotterRBC Capital Markets, LLCMorgan Stanley$10004-19-2012
Edmund David FosterRBC Capital Markets, LLCUBS Financial Services Inc.$10011-30-2017
Edward Howard Goodwin Jr.RBC Capital Markets, LLCRobert W. Baird & Co. Incorporated11-18-2013
Eric Anthony GregoryRBC Capital Markets, LLCMorgan Stanley$50004-16-2015
Eric Donald PetersonRBC Capital Markets, LLCCitigroup Global Markets Inc.$10005-28-2009
Frank B. EmmerlingRBC Capital Markets, LLCUBS Financial Services Inc.$15011-08-2013
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Showing 1 to 25 of 87 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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