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
Michael Garrison BlockhusRBC Capital Markets, LLCD.A. Davidson & Co.$15006-05-2019
Michael Joseph FoodyRBC Capital Markets, LLCWells Fargo Clearing Services, LLC09-26-2018
Douglas Mark DumaisRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00004-26-2018
Kathy Ann HaleRBC Capital Markets, LLCWells Fargo Clearing Services, LLC04-26-2018
Kirt Owen FredericksRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00004-26-2018
Rene Michelle ApodacaRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$105-04-2017
Kevin Michael ClouseRBC Capital Markets, LLCMorgan Stanley$10001-30-2017
Harry August Smith IIIRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15001-04-2016
Ty Robert SpencerRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15001-04-2016
Mark Thomas OneilRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$15004-30-2015
Nancy Anne Davis HarrisRBC Capital Markets, LLCMML Investors Services, LLC11-10-2014
Douglas Anthony AndrewsRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10006-10-2014
Paula Calbom O'ConnorRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5003-05-2014
Karl John BiringerRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-05-2014
David Thomas PiperRBC Capital Markets, LLCMorgan Stanley$15001-17-2014
Paul John-Pius Fahey Jr.RBC Capital Markets, LLCD.A. Davidson & Co.$15010-18-2013
Susan Kathleen HaysRBC Capital Markets, LLCMorgan Stanley02-11-2011
Lynn Christine SylerRBC Capital Markets, LLCBanc of America Investment Services, Inc.$15010-01-2009
Rhonda Lynn SmithRBC Capital Markets, LLCBanc of America Investment Services, Inc.$22510-01-2009
Andrew John WadeRBC Capital Markets, LLCUBS Financial Services Inc.$10006-19-2009
Karen Irene EnglishRBC Capital Markets, LLCUBS Financial Services Inc.06-10-2009
Mary Susan ShrodeRBC Capital Markets, LLCUBS Financial Services Inc.06-10-2009
Garth Michael ConnerRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$15004-30-2009
Timothy Mark ScheuffeleRBC Capital Markets, LLCWells Fargo Clearing Services, LLC04-30-2009
George William Bonney IIIRBC Capital Markets, LLCWells Fargo Investments, LLC04-17-2009
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Showing 1 to 25 of 31 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.

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