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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▼ | |
|---|---|---|---|---|---|---|
 |
Richard Saperstein | HighTower Advisors LLC | Bear Stearns | 10,000 | 05-17-09 | |
|
Douglas S. Mance | RBC Wealth Management | Bank of America Merrill Lynch | 150 | 07-30-09 | |
| John P. Troiano | Stifel Nicolaus & Co. Inc. | Wells Fargo Advisors LLC | 175 | 1 | 09-05-09 | |
|
John Watts III, Elizabeth Rogers and Ryan Mumy | Capital Investment Cos | Wells Fargo Advisors LLC | 100 | 09-24-09 | |
|
Mike Dwyer | RBC Wealth Management | Robert W. Baird & Co. Inc. | 205 | 1 | 10-02-09 |
| Penniall and Associates | United Planners Financial Services | National Retirement Partners | 1,000 | 4 | 10-08-09 | |
|
Rhonda Smith and Lynn Syler | RBC Wealth Management | U.S. Trust Wealth Management | 450 | 2 | 11-01-09 |
| Dudley LaBauve III | Summit Brokerage Services | UBS Financial Services Inc | 28 | 11-09-09 | ||
| James Saxe | Summit Brokerage Services | Raymond James Financial Inc. | 32 | 11-09-09 | ||
| John Bland | Summit Brokerage Services | LPL Financial | 22 | 11-09-09 | ||
| Kathleen Almulla | Summit Brokerage Services | Bank of America Merrill Lynch | 29 | 11-09-09 | ||
| Paul Bailley | Summit Brokerage Services | MetLife Inc. | 30 | 11-09-09 | ||
|
Christopher Davis & Matthias Kuhlmey | HighTower Advisors LLC | UBS Financial Services Inc | 250 | 11-10-09 | |
| James Crosson | Investors Capital Corp. | LPL Financial | 115 | 11-23-09 | ||
| James Knee | Investors Capital Corp. | Cambridge Investment Research | 50 | 12-21-09 | ||
| Bill Madera, John Miller | National Securities Corp. | Gunn Allen Financial | 40 | 12-23-09 | ||
| Kenneth Gilmore | National Securities Corp. | Financial Consulting Group | 92 | 12-23-09 | ||
| Mathew Sherbondy | National Securities Corp. | Gunn Allen Financial | 40 | 12-23-09 | ||
| Jeff Engler and Frank Germano | Investors Capital Corp. | Tower Square Securities | 30 | 01-04-10 | ||
| Paul Bedinger | Wells Fargo Advisors LLC | 38 | 01-04-10 |
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596 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.
