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
Alexander James NierlingRBC Capital Markets, LLCMorgan Stanley10-04-2012
Andrew Jeff PickettRBC Capital Markets, LLCCitigroup Global Markets Inc.$2501-30-2009
Beth Ann JohnsonRBC Capital Markets, LLCMorgan Stanley$1005-11-2018
Blake Thomas RuskRBC Capital Markets, LLCCrossmark Distributors, Inc.01-02-2013
Bonnie Kathleen McKinneyRBC Capital Markets, LLCMorgan Stanley08-30-2016
Brent Mark HowardRBC Capital Markets, LLCB. Riley Wealth Management11-05-2015
Carsten FrederiksenRBC Capital Markets, LLCMorgan Stanley11-02-2017
Cary Joseph TuckerRBC Capital Markets, LLCMorgan Stanley05-11-2018
Clinton Bert SepolioRBC Capital Markets, LLCChase Investment Services Corp.03-12-2012
Cynthia Norris BeardenRBC Capital Markets, LLCFirst Southwest Company, LLC10-02-2015
Daniel Dioguardi, Laura M. High, Kirk William HighRBC Capital Markets, LLCCitigroup Global Markets Inc.02-11-2009
Daniel Lord AustinRBC Capital Markets, LLCRaymond James & Associates, Inc.$10004-09-2018
David Glenn MillerRBC Capital Markets, LLCCitigroup Global Markets Inc.$5004-08-2009
David Hyun Chul KoRBC Capital Markets, LLCUBS Financial Services Inc.$10001-14-2016
Dennis Dingman HobbsRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-07-2009
Don C ReynoldsRBC Capital Markets, LLCRaymond James & Associates, Inc.$10005-07-2012
Edward Kessler NeuhausRBC Capital Markets, LLCHilltop Securities Inc.$5008-17-2015
Eric W WittekRBC Capital Markets, LLCMorgan Stanley02-10-2014
Francis James O'Neill IIIRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$15005-28-2014
George Eugene Peacock IIIRBC Capital Markets, LLCEdward Jones$2508-07-2015
Gregory Taylor BowmanRBC Capital Markets, LLCMorgan Stanley08-30-2016
Harold Louis Green Jr.RBC Capital Markets, LLCRaymond James & Associates, Inc.$5004-22-2019
James Joshua Zeleskey Jr.RBC Capital Markets, LLCMorgan Stanley08-30-2016
James Kevin Winkler, Lauren Michelle Johnson HoushRBC Capital Markets, LLCUBS Financial Services Inc.12-08-2014
John Alan PendergrastRBC Capital Markets, LLCRaymond James & Associates, Inc.$10006-03-2013
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Showing 1 to 25 of 56 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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