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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Kevin Thien NguyenJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-10-2019
Alan Christopher KepplerJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-08-2019
Brian Patrick SoneEmerson Equity LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2019
Nathan Johns IrbyWestpark Wealth AdvisorsMerrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2019
Belema S. DyeghNorthwestern Mutual Investment Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-19-2018
Shantel Vanestine BrittonCharles Schwab & Co., Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-18-2018
Paul William HarveySyntal Capital Partners, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-12-2018
Lauren S. HoffmanJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-11-2018
Alan Eduardo HeinzeJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-11-2018
Dean H LinJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-07-2018
Jennifer Leigh MonacoWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2511-30-2018
Jay Wayne GazzierAmeriprise Financial Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5011-23-2018
M Adnan AzizMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated11-23-2018
Jonathan Earle McCartyJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-08-2018
Thomas W. Weeks Jr.Fidelity Brokerage Services LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-08-2018
Qui Quang TangJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-02-2018
Andrew William GauthierMerrill Lynch, Pierce, Fenner & Smith IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated11-01-2018
Jason E. HeltonOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-25-2018
Sharon Christine HitchcockJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-15-2018
Scott Charles CarltonAllstate Financial Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-15-2018
Tuyet-Minh H HoangJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-12-2018
Richard Michael ToolsonWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-12-2018

Showing 1 to 22 of 22 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.