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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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Kate Lunn, Elise KausenWells Fargo AdvisorsUBS Financial Services$14109-09-2014
Robert Rotstan, James ValeWells Fargo AdvisorsUBS Financial Services$9509-09-2014
Jose Moreno, Michael Dye, Oliver CervantesWells Fargo AdvisorsUBS Financial Services$47909-09-2014
Teresa HarmonWells Fargo AdvisorsUBS Financial Services$24409-09-2014
Barry SternRaymond JamesUBS Financial Services$10708-14-2014
Matthew Rogers, Mark Christopher NortonRaymond JamesUBS Financial Services$20008-04-2014
Robert SatterfieldMorgan Stanley Wealth ManagementUBS Financial Services$18007-30-2014
Gary Vescio, Brandon LevineRaymond JamesUBS Financial Services$10007-18-2014
Mark PignottiWells Fargo AdvisorsUBS Financial Services$31707-09-2014
Timothy Colvin, Jeffery Bedford, Gregory TaylorWells Fargo AdvisorsUBS Financial Services$32607-09-2014
Henry HauserRaymond JamesUBS Financial Services$60007-08-2014
Robert Gardner III, Robert HigleyWells Fargo AdvisorsUBS Financial Services$30007-02-2014
Clint Weaver, Joe T. Bozarth IIIStifel Nicolaus & Co.UBS Financial Services$17006-25-2014
Kevin P. O'Connor, Steve Kiper, Ryan P. O'Connor, Alice Gaughan, Heather R. PowellFirst Kentucky Securities CorporationUBS Financial Services$43006-19-2014
James Laughlin Sr.Wells Fargo AdvisorsUBS Financial Services$9706-18-2014
Shawn GruverWells Fargo AdvisorsUBS Financial Services$10906-18-2014
Peter ClearyRBC Wealth ManagementUBS Financial Services$13006-13-2014
Barre McLeod Butler, Park B. Smith, Jr., W. Hampton Avant, Lucinda ShieldsStifel Nicolaus & Co.UBS Financial Services$54206-11-2014
Todd Frediani, Larry StaterStifel Nicolaus & Co.UBS Financial Services$20006-04-2014
David SpellWells Fargo AdvisorsUBS Financial Services$8605-23-2014
Mitch Sivertson, Debbie HughesWells Fargo AdvisorsUBS Financial Services $15205-01-2014
Morrie SymsonNFP Advisor Services GroupUBS Financial Services$004-10-2014
David BeharMorgan Stanley Wealth ManagementUBS Financial Services$20003-27-2014
Gene Marx, Catherine HunterRaymond JamesUBS Financial Services$22703-10-2014
Daniel Tedesco, Dennis MaddenMorgan Stanley Wealth ManagementUBS Financial Services$16103-03-2014
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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.