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Advisers on the Move

Track the latest teams of advisers and brokers who are changing firms and view recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

For production and additional details, click on adviser(s) name for full profile.


Adviser(s) Firm joining Firm leaving AUM ($M) Date
M. Scott HarriesUBS Financial ServicesBank of America Merrill Lynch$50011-08-2013
David MandelUBS Financial ServicesBank of America Merrill Lynch$17511-08-2013
Christopher S. Gaal, Jeffrey C. HamiltonUBS Financial ServicesBank of America Merrill Lynch$57511-08-2013
James E. Chiate, Anthony D. GuinaneUBS Financial ServicesBank of America Merrill Lynch$50011-08-2013
James B. Axelson, Barry F. PorterUBS Financial ServicesBank of America Merrill Lynch$55011-08-2013
Guy Nicosia, Gerard Nicosia, John NicosiaRoyal AllianceVanderbilt Securities$15011-07-2013
Matthew H. FullerGirard SecuritiesRaymond James$10511-06-2013
Gordon Yee, Darren Schneck, Ferdinand DosonoSCF SecuritiesNational Securities$6011-05-2013
Brent V. LottGirard SecuritiesLPL Financial$7111-05-2013
Mark FinnicumWells Fargo AdvisorsEdward Jones$8611-01-2013
Douglas B. May, Barbara Traylor SmithAvant-Garde AdvisorsMay-Investments Management$6811-01-2013
Mark Binder, Craig Chiate, Glenn Oratz, Scott BrownUBS Financial ServicesBank of America Merrill Lynch$3,10010-31-2013
Joseph E. Opsahl, Christopher A. HatfieldTRUE Private Wealth AdvisorsBank of America Merrill Lynch$010-30-2013
Matthew J. Sotland, Donald J. BorowiakWells Fargo AdvisorsUBS Financial Services$12910-30-2013
Craig FrenchWBI InvestmentsLasair Capital$2,40010-29-2013
Mauricio CurreaWayne Hummer Investments Popular Community Bank$010-29-2013
Matthew G. Bishop, Ralph A. Brozzo, Dana L. GibbsBenjamin F. Edwards & Co.Wells Fargo Advisors$010-23-2013
Elyssa Kupferberg Barclays WealthMBSC Securities$010-23-2013
John Reinhold, Derek ReinholdUBS Financial ServicesMorgan Stanley Wealth Management$14410-23-2013
Robert P. SchneiderMorgan Stanley Wealth ManagementUBS Financial Services$33410-22-2013
Ted Bowling, Aaron BowlingMorgan Stanley Wealth ManagementEdward Jones$34410-22-2013
Mark P. FellowsBenjamin F. Edwards & Co.Wells Fargo Advisors$010-17-2013
Eric Zeitlin, Todd Moll, Lee Hediger, Scott MontgomeryRaymond JamesWalnut Street Securities$1,00010-17-2013
Brion HarrisSummit Brokerage ServicesCambridge Investment Research$22510-17-2013
Gary GrinbergPlatinum Wealth PartnersMorgan Stanley Wealth Management$10010-16-2013
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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.