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.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Lawrence Koren MalamutUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-05-2009
Stephen Francis Caton, Richard Scott FigueroaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-06-2009
George Michael FeldmanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-07-2009
Joseph BonacciUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-09-2009
Robert MaherUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-09-2009
Rose Dorothy Wehmeyer, Charles Paul WehmeyerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-14-2009
Timothy Martin McDonaldUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-16-2009
Michael J. StewartUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-16-2009
Chad William GoernerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-16-2009
Joseph FabioUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-23-2009
William SurdovelUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-23-2009
Franco DimaioUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-23-2009
William Russell BookerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-19-2010
Paul A PlatekUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10005-03-2010
Daniel B. SmithUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-03-2010
Richard Andres JambrinaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15007-07-2010
Nina Greenberg HakimUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10008-20-2010
Nina HakimUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$30008-31-2010
Justin BowersUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-10-2011
Christopher Austin KrobergerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-06-2011
Maria M. Farhat-TanzolaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-17-2012
Alberico Mario Sessa, Michael Christopher AndrieuUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10003-09-2012
Robert Stanley Short, Richard Palumbo, Robert Joseph D'AmatoUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-29-2012
Palumbo, Short, D'Amato, Dixon GroupUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$75004-01-2012
Raymond Lasson ChaseUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5004-27-2012
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Showing 1 to 25 of 58 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.

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