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

Filters

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Davin Lee KuboRaymond James & Associates, Inc.Morgan Stanley$1,00007-11-2019
Todd Spencer IacovelliUBS Financial Services Inc.Morgan Stanley$1,00002-15-2019
Christopher Cole YoungSCF Securities, Inc.Morgan Stanley02-27-2018
Joel Shawn RandHighTower Securities, LLCMorgan Stanley03-18-2016
Michael Wong ArkStifel, Nicolaus & Company, IncorporatedMorgan Stanley$15010-23-2015
Malia T. ArkStifel, Nicolaus & Company, IncorporatedMorgan Stanley10-23-2015
John Ming Yuen ArkStifel, Nicolaus & Company, IncorporatedMorgan Stanley10-23-2015
Lori Ann Shizuko A. NishimuraUBS Financial Services Inc.Morgan Stanley10-22-2014
Kyle Kenji YoneshigeUBS Financial Services Inc.Morgan Stanley10-22-2014
Dean Tetsuro MatsumotoWoodbury Financial Services, Inc.Morgan Stanley$2503-28-2013
Richard RayStifel, Nicolaus & Company, IncorporatedMorgan Stanley$7706-14-2012
Richard Craig RayStifel, Nicolaus & Company, IncorporatedMorgan Stanley$2506-14-2012
Andrew Robert MeadeMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley03-23-2012
Livingston TakaneAmeriprise Financial Services, Inc.Morgan Stanley$1008-05-2011
Lila Renee MarantzStifel, Nicolaus & Company, IncorporatedMorgan Stanley06-17-2011
Thomas K. CookStifel, Nicolaus & Company, IncorporatedMorgan Stanley06-17-2011
Cynthia Sc LeeWells Fargo Clearing Services, LLCMorgan Stanley02-15-2011
Alvin Sadanobu Narimatsu, Kiyonobu Keith Oda, Liane Lynn Blake, Sheri Sachiko TsubataMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2511-01-2010
Saxton W BarrettLPL Financial LLCMorgan Stanley$5010-26-2010
Scott Matthew ButeraUBS Financial Services Inc.Morgan Stanley$5006-04-2010
Neil S. NakamuraWells Fargo Clearing Services, LLCMorgan Stanley01-22-2010
Milton Ken TanakaMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10007-17-2009
Karen A. IgarashiMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$1007-17-2009

Showing 1 to 23 of 23 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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