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 |
|---|---|---|---|---|
| Jack A Hanover Jr., Colby Charles Hanover | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | $100 | 02-17-2016 |
| Aniello Luca Iazzetta | Merrill Lynch, Pierce, Fenner & Smith Incorporated | AXA Advisors, LLC | — | 03-01-2016 |
| Nicole E. Vankirk | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ameriprise Financial Services, Inc. | — | 03-29-2016 |
| Toryalai Kakar | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Voya Financial Advisors, Inc. | — | 04-01-2016 |
| Joanne Wagner | Merrill Lynch, Pierce, Fenner & Smith Incorporated | MML Investors Services, LLC | $10 | 05-11-2016 |
| Abraham Anthony Dairi | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UnionBanc Investment Services, LLC | — | 06-09-2016 |
| Christopher J. Johnson | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Northwestern Mutual Investment Services, LLC | — | 08-19-2016 |
| Jason Weese, Mark Harris, Todd Kelly, Matt Bridge, Kristen Buxton, Alan Lubner, Jim Ferguson, Traci Bumpus | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | $2,340 | 10-07-2016 |
| James Byron Ferguson | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | $486 | 10-07-2016 |
| Matt James Bridge | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | $291 | 10-07-2016 |
| Ramy Awad | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | $281 | 10-07-2016 |
| Alan Lubner | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | $232 | 10-07-2016 |
| Mark Steven Harris | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | $100 | 10-07-2016 |
| Jason Lyle Weese | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | $50 | 10-07-2016 |
| Traci Lynn Bumpus | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | $50 | 10-07-2016 |
| Todd Charles Kelly | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | — | 10-07-2016 |
| Kristen Helene Buxton | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | — | 10-07-2016 |
| Edward Alan Lee | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | — | 10-07-2016 |
| David Miles Szabla | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Voya Financial Advisors, Inc. | — | 10-31-2016 |
| Alexander Nickita Tulintseff | Merrill Lynch, Pierce, Fenner & Smith Incorporated | J.P. Morgan Securities LLC | $50 | 12-05-2016 |
| Trong Dinh Pham | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | $25 | 03-17-2017 |
| Kevin Hiroya Ishijima | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pruco Securities, LLC. | — | 03-27-2017 |
| Christine Ann Philipps | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | — | 04-17-2017 |
| Kate Elizabeth Becherer | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Northwestern Mutual Investment Services, LLC | — | 05-02-2017 |
| Hillary Smith | Merrill Lynch, Pierce, Fenner & Smith Incorporated | MML Investors Services, LLC | — | 05-24-2017 |
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.
