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

Filters

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Jennifer H. MoerbeB. Riley Wealth ManagementFirst Trust Portfolios L.P.02-20-2019
Jerry Renee WhitleyB. Riley Wealth ManagementSignator Investors, Inc.05-29-2018
Aaron H. FiskeB. Riley Wealth ManagementUBS Financial Services Inc.08-30-2017
William Hutchins Smith IIIB. Riley Wealth ManagementRaymond James & Associates, Inc.07-17-2015
Rachel Elizabeth PenaB. Riley Wealth ManagementMorgan Stanley02-13-2015
Robert Xavier ReillyB. Riley Wealth ManagementDominick & Dickerman LLC01-20-2015
Amy KochB. Riley Wealth ManagementJohn Hancock Distributors LLC04-17-2014
Daniel Swift EdmundsB. Riley Wealth ManagementSterne, Agee & Leach, Inc.10-04-2013
James Robert Davis Jr.B. Riley Wealth ManagementSanders Morris Harris LLC12-14-2012
Margaret Wade JohnsonB. Riley Wealth ManagementSanders Morris Harris LLC12-14-2012
Marc William EvansB. Riley Wealth ManagementSanders Morris Harris LLC12-14-2012
Warren Amroy Scott Jr.B. Riley Wealth ManagementMorgan Keegan & Company, Inc.05-14-2010
John E. WadeB. Riley Wealth ManagementUBS Financial Services Inc.05-22-2009
Robert Byron StokesB. Riley Wealth ManagementUBS Financial Services Inc.04-27-2009
Jason Johnson FairB. Riley Wealth ManagementStanford Group Company02-26-2009
Jeffrey A HolmesB. Riley Wealth ManagementStifel, Nicolaus & Company, Incorporated$2501-21-2018
Scott Edward AndersonB. Riley Wealth ManagementMorgan Keegan & Company, Inc.$2511-11-2010
Joseph Anthony PinoB. Riley Wealth ManagementWells Fargo Advisors Financial Network, LLC$4007-29-2016
Shawn Patrick KenneyB. Riley Wealth ManagementStephens$4007-11-2016
John Christopher ZoccolaB. Riley Wealth ManagementFTB Advisors, Inc.$5008-20-2019
John Christopher ZoccolaB. Riley Wealth ManagementFTB Advisors, Inc.$5008-20-2019
John Christopher ZoccolaB. Riley Wealth ManagementFTB Advisors, Inc.$5008-20-2019
Robert Howard KellerB. Riley Wealth ManagementMorgan Stanley$5007-27-2017
Stuart A. RayB. Riley Wealth ManagementMorgan Stanley$5007-11-2017
Robert Douglas NicholB. Riley Wealth ManagementUBS Financial Services Inc.$5002-03-2017
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Showing 1 to 25 of 35 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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