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Advisers on the Move
Track the latest teams of advisers and brokers who are changing firms - and also analyze recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.
Click on an adviser or team name for additional details, including the city and state where they are located.
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| Adviser / Team | Joining | Leaving | AUM ($m)▲ | TTM ($m) | Date | |
|---|---|---|---|---|---|---|
| Ajay Desai, John Staab, Frank Pellicori | UBS Financial Services Inc | Morgan Stanley Smith Barney LLC | 1,700 | 8 | 11-08-11 | |
| Summit Financial | Commonwealth Financial Network | Ogilvie Security Advisors Corp. | 1,200 | 10-19-11 | ||
| Bruce Lee, Jim Hoesley | Bank of America Merrill Lynch | Credit Suisse Private Banking | 1,200 | 8 | 10-31-11 | |
 |
Harvey Kadden, Mihir Patel, Randy Knopp, Tim Baker, Chris Barber | Morgan Stanley Smith Barney LLC | Bank of America Merrill Lynch | 1,000 | 14 | 10-26-11 |
| Mark Donohue | Morgan Stanley Smith Barney LLC | RBC Wealth Management | 700 | 6 | 11-15-11 | |
| Roy Williams, Steve Linden | Triad Advisors | LPL Financial | 550 | 6 | 11-16-11 | |
| Brad Nettune | Morgan Stanley Smith Barney LLC | UBS Financial Services Inc | 500 | 3 | 11-03-11 | |
|
Jeffrey Dinkins, William McGrath, Peter Ianace, Rohit Mehrotra, Jason Jaynes | Bank of America Merrill Lynch | Morgan Stanley Smith Barney LLC | 478 | 4 | 10-26-11 |
| Chad Willardson, Jake Schroeder, Katie Lemon | Pacific Capital | Bank of America Merrill Lynch | 300 | 11-15-11 | ||
|
Britt Doyle | Sanctuary Wealth Services LLC | UBS Financial Services Inc | 250 | 11-11-11 | |
| Michael Short | Raymond James & Associates | Wells Fargo Advisors LLC | 216 | 10-25-11 | ||
| Bryan Jones, James Woods | Morgan Stanley Smith Barney LLC | Bank of America Merrill Lynch | 210 | 2 | 11-15-11 | |
| Dave Kohlhaas, Brad Christiansen, Kristin Rognerud | Raymond James Financial Inc. | UBS Financial Services Inc | 200 | 11-14-11 | ||
| Nancy Bernstein, Greg Rosen | Morgan Stanley Smith Barney LLC | Bank of America Merrill Lynch | 157 | 11-15-11 | ||
| Donna Bobbs, Jason Dugan | Raymond James Financial Inc. | Morgan Stanley Smith Barney LLC | 155 | 1 | 11-09-11 | |
| Mark D. Rosenberg, Fred Weingart, Tina-Marie Bryant, Roberta Berman | Morgan Stanley Smith Barney LLC | UBS Financial Services Inc | 152 | 5 | 11-03-11 | |
| Tom Shipley | Robert W. Baird & Co. Inc. | Wedbush Securities | 135 | 10-21-11 | ||
|
Leonard Kinsman | Bank of America Merrill Lynch | Wells Fargo Advisors LLC | 113 | 1 | 10-26-11 |
| Zoran Vaz | Wells Fargo Advisors LLC | David Lerner Associates | 111 | 11-10-11 | ||
| Gregory Smith, Philip Stevens, Jeffery Price | Wells Fargo Advisors | Morgan Stanley Smith Barney LLC | 105 | 1 | 11-01-11 |
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29 results found
Disclaimer: The moves in this database come from a number of sources: InvestmentNews and other media reports, press releases, and direct submissions that have been reviewed by InvestmentNews. Any corrections, updates or clarifications should be e-mailed directly to the IN staff.
