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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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Dennis Dingman HobbsRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-07-2009
Raymond Hall Stauffacher IIIUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-09-2009
Martha Gail O'NeillB. Riley Wealth ManagementMerrill Lynch, Pierce, Fenner & Smith Incorporated$2501-09-2009
John Bernard ZodrowUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-15-2009
James Scott Blair IVUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-15-2009
Marshall Edward MeeceUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-16-2009
Robert Glenn ParrottUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-16-2009
Hardie Ray Barr Jr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-16-2009
James Edgar SuttleUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-16-2009
Chad Everett TaylorWells Fargo Advisors Financial Network, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-16-2009
Michelle Lee MannersWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-19-2009
John Raymond MarkleRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-23-2009
Cynthia Lynn Mosley-Guy, Katherine Ann ShafferUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-29-2009
Joseph Brian CalaoUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-29-2009
Craig Vernon VanderschoorUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$20001-30-2009
James Tod PenningtonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-30-2009
Michael Louis AppelbaumUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-30-2009
Dustin James AterWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-04-2009
Harry Columbus Christopher IIIUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2502-05-2009
Luis Fernando PadrunoActinver Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-09-2009
Brad Aaron ThompsonJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2502-13-2009
Bin K Khac NguyenJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1002-13-2009
Charles Franklin Nedbal IIIRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-13-2009
Mark William McConnell IIIJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-13-2009
James Francis Lamotta, Jennifer E VanderschoorUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15002-20-2009
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Showing 1 to 25 of 384 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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