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
Cherie Lynn WrightRBC Capital Markets, LLCMorgan Stanley11-12-2018
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
Kirt Owen FredericksRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00004-26-2018
Rene Michelle ApodacaRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1505-04-2017
Kevin Michael ClouseRBC Capital Markets, LLCMorgan Stanley$10001-30-2017
Harry August Smith IIIRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10001-04-2016
Ty Robert SpencerRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-04-2016
Mark Thomas O'NeilRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$15004-30-2015
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
David Thomas PiperRBC Capital Markets, LLCMorgan Stanley$10001-17-2014
Paul John Fahey Jr.RBC Capital Markets, LLCD.A. Davidson & Co.$15010-18-2013
Susan Kathleen HaysRBC Capital Markets, LLCMorgan Stanley02-11-2011
Andrew John WadeRBC Capital Markets, LLCUBS Financial Services Inc.$10006-19-2009
Karen Irene EnglishRBC Capital Markets, LLCUBS Financial Services Inc.06-10-2009
Garth Michael ConnerRBC Capital Markets, LLCWells Fargo Clearing Services, LLC04-30-2009
Steven Neil SpenceRBC Capital Markets, LLCUBS Financial Services Inc.$1004-09-2009
Thomas Michael WenzelRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$2503-31-2009

Showing 1 to 20 of 20 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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