Advisers on the Move TEST

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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Andrew John WadeRBC Capital Markets, LLCUBS Financial Services Inc.$10006-19-2009
Armando Joseph CruzRBC Capital Markets, LLCRobert W. Baird & Co. Incorporated01-20-2017
Cherie Lynn WrightRBC Capital Markets, LLCMorgan Stanley11-12-2018
David Thomas PiperRBC Capital Markets, LLCMorgan Stanley$10001-17-2014
Douglas Anthony AndrewsRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10006-10-2014
Douglas Mark DumaisRBC Capital Markets, LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$10004-26-2018
Garth Michael ConnerRBC Capital Markets, LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$15004-30-2009
George William Bonney IIIRBC Capital Markets, LLCWells Fargo Investments, LLC$10004-17-2009
Gerald Laurence KulikRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$25003-02-2009
Harry August Smith IIIRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10001-04-2016
Juls Christine Carter, Jason FormoRBC Capital Markets, LLCAmeriprise Financial Services, Inc. Services, Inc.$22504-18-2019
Karen Irene EnglishRBC Capital Markets, LLCUBS Financial Services Inc.06-10-2009
Karl John BiringerRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-05-2014
Kathy Ann HaleRBC Capital Markets, LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$25004-26-2018
Kevin Michael ClouseRBC Capital Markets, LLCMorgan Stanley$10001-30-2017
Kirt Owen FredericksRBC Capital Markets, LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$10004-26-2018
Larry Jay FlockRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10001-30-2009
Lynn Christine SylerRBC Capital Markets, LLCBanc of America Investment Services, Inc.$22510-01-2009
Mark Thomas O'NeilRBC Capital Markets, LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$15004-30-2015
Mary Susan ShrodeRBC Capital Markets, LLCUBS Financial Services Inc.$10006-10-2009
Michael Garrison BlockhusRBC Capital Markets, LLCD.A. Davidson & Co.$15006-05-2019
Michael Joseph FoodyRBC Capital Markets, LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)09-26-2018
Nancy Anne Davis HarrisRBC Capital Markets, LLCMML Investors Services, LLC$15011-10-2014
Niles C. GaleRBC Capital Markets, LLCCentaurus Financial, Inc.10-31-2019
Paul John Fahey Jr.RBC Capital Markets, LLCD.A. Davidson & Co.$15010-18-2013
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Showing 1 to 25 of 39 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.