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.

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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Andrew George GergatsoulisMerrill Lynch, Pierce, Fenner & Smith IncorporatedAegis Capital Corp.$10006-17-2019
Peter H LichtenbergEquity Services, Inc.Park Avenue Securities LLC06-17-2019
Matthew Forrester RiechNorthwestern Mutual Investment Services, LLCPark Avenue Securities LLC06-17-2019
Adam Thomas GouldMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitizens Securities, Inc.06-17-2019
James PlantholtMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitizens Securities, Inc.06-17-2019
Lorri Jeanne AhlMorgan StanleyJ.P. Morgan Securities LLC06-17-2019
Philip Richard SiegelMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC$10006-14-2019
Eric Leigh JacobsStifel, Nicolaus & Company, IncorporatedJanney Montgomery Scott LLC$15006-14-2019
Mark Alan SiverStifel, Nicolaus & Company, IncorporatedJanney Montgomery Scott LLC$25006-14-2019
Jorge M OliveiraOppenheimer & Co. Inc.Morgan Stanley$50006-14-2019
Louis Martin WolfsonCetera Investment Services LLCFinancial Resources Group Investment Services, LLC$50006-14-2019
Wilbert DominguezMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)06-14-2019
Lucas Hector VanerioPruco Securities, LLC.Edward Jones06-14-2019
Mark GavrilovCetera Investment Services LLCFinancial Resources Group Investment Services, LLC06-14-2019
Anna Elizabeth BergerMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)06-13-2019
Francis William RossNeuberger Berman BD LLCOppenheimerFunds Distributor, Inc.06-13-2019
Lawrence Stuart SibleyEvercore Group L.L.C.Credit Suisse Securities (USA) LLC06-13-2019
Stephanie Birrell LuedkeNeuberger Berman BD LLCCiti Private Advisory, LLC06-12-2019
Matthew Anthony FinkCitigroup Global Markets Inc.Deutsche Bank Securities Inc.06-12-2019
Gregory PrymaczekAXA Advisors, LLCSignature Securities06-12-2019
Shameeza AllyMML Investors Services, LLCHSBC Securities (USA) Inc.06-11-2019
George Lance Calhoun Jr.Worden Capital Management LLCLaidlaw & Company (UK) Ltd.$25006-10-2019
Keith Adam EspVanderbilt Securities, LLCLPL Financial LLC06-10-2019
Jason Lamont BirdMerrill Lynch, Pierce, Fenner & Smith IncorporatedMML Investors Services, LLC$10006-07-2019
Anu Kumar SharmaJ.P. Morgan Securities LLCMorgan Stanley06-07-2019
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Showing 1 to 25 of 1,430 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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