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
John William LeeD.A. Davidson & Co.Morgan Stanley$5006-30-2009
Michael Walter RaderMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$5008-17-2009
James Gregory RambaldiniOppenheimer & Co. Inc.Morgan Stanley08-21-2009
Marc Dean SpinnerLPL Financial LLCMorgan Stanley09-11-2009
Russell Boyd Fode, Darren Allen GoehnerD.A. Davidson & Co.Morgan Stanley11-06-2009
Curtis Scott HarveyD.A. Davidson & Co.Morgan Stanley11-06-2009
Steve Marino PicciniD.A. Davidson & Co.Morgan Stanley$10011-11-2009
John Chaney Griffin Jr.KMS Financial Services, Inc.Morgan Stanley11-23-2009
Louis Aloysius Conyard IIIOppenheimer & Co. Inc.Morgan Stanley$10002-18-2010
Renee Filler BrisboisJ.P. Morgan Securities LLCMorgan Stanley03-03-2010
Lloyd Franklin CherryWells Fargo Clearing Services, LLCMorgan Stanley$5003-25-2010
Karen Gaye HuttonAllstate Financial Services, LLCMorgan Stanley06-01-2010
Joseph John HertigMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$1006-25-2010
Patricia M NichollsAllstate Financial Services, LLCMorgan Stanley06-28-2010
John Croxton Grant, Daniel Philip Hoffman, Daniel Talbot Von KoschembahrWells Fargo Advisors Financial Network, LLCMorgan Stanley07-23-2010
Raymond Calvin SchmidtkeUBS Financial Services Inc.Morgan Stanley08-20-2010
Raymond SchmidtkeUBS Financial Services Inc.Morgan Stanley$10008-31-2010
Edward Davis WilderWells Fargo Clearing Services, LLCMorgan Stanley$2509-16-2010
John Richard LaflerEdward JonesMorgan Stanley$2510-08-2010
Matthew D TollettWells Fargo Clearing Services, LLCMorgan Stanley$5001-27-2011
James Peter GordonWells Fargo Clearing Services, LLCMorgan Stanley$5002-02-2011
Christopher Allan AhearnWells Fargo Clearing Services, LLCMorgan Stanley$5002-02-2011
Susan Kathleen HaysRBC Capital Markets, LLCMorgan Stanley02-11-2011
Peter Edward HaglinCompanion Portfolio Management, Inc.Morgan Stanley02-23-2011
Keith M. PulleyFisher InvestmentsMorgan Stanley03-28-2011
Next Page »

Showing 1 to 25 of 119 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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