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
Peter ClearyRBC Wealth ManagementUBS Financial Services$13006-02-2014
Clint Weaver, Joe T. Bozarth IIIStifel Nicolaus & Co.UBS Financial Services$17005-29-2014
Kevin P. O'Connor, Steve Kiper, Ryan P. O'Connor, Alice Gaughan, Heather R. PowellFirst Kentucky Securities CorporationUBS Financial Services$43005-23-2014
Matthew Rogers, Mark Christopher NortonRaymond JamesUBS Financial Services$20005-20-2014
Henry HauserRaymond JamesUBS Financial Services$60005-02-2014
Mitch Sivertson, Debbie HughesWells Fargo AdvisorsUBS Financial Services $15204-25-2014
Todd Frediani, Larry StaterStifel Nicolaus & Co.UBS Financial Services$20004-16-2014
Howard Rowen, Halsey SmithBank of America Merrill LynchUBS Financial Services $304-09-2014
Barre McLeod Butler, Park B. Smith, Jr., W. Hampton Avant, Lucinda ShieldsStifel Nicolaus & Co.UBS Financial Services$54203-27-2014
David SpellWells Fargo AdvisorsUBS Financial Services$8603-27-2014
David BeharMorgan Stanley Wealth ManagementUBS Financial Services$20003-21-2014
Morrie SymsonKestra FinancialUBS Financial Services02-04-2014
Timothy Kneen, Clayton HartmanIFM Capital Advisors UBS Financial Services$101-27-2014
Norman L. Oremland, Steven W. GoldfarbJanney Montgomery ScottUBS Financial Services$9701-16-2014
Kelly D. KerrRBC Wealth ManagementUBS Financial Services$11501-10-2014
J. Larry Mills, Christopher G. Venuti, Bryan Mountain, Marc RoggenkampMorgan Stanley Wealth ManagementUBS Financial Services$501-03-2014
Bruce GelfandWells Fargo AdvisorsUBS Financial Services$8912-18-2013
Gene Marx, Catherine HunterRaymond JamesUBS Financial Services$22712-13-2013
Rodney M. WoodleyBank of America Merrill LynchUBS Financial Services$13012-06-2013
Andrew Townes, Don Parsons, Charlie Mitchell Wells Fargo AdvisorsUBS Financial Services$25512-05-2013
Marie H. MurdockMorgan Stanley Wealth ManagementUBS Financial Services12-02-2013
John Quello, Nathan QuelloRaymond JamesUBS Financial Services$32511-21-2013
Jonathan R. BlauDynasty Financial PartnersUBS Financial Services$90011-12-2013
Peter J. KleinHightower AdvisorsUBS Financial Services$21011-08-2013
Roland Pritchett, Matthew StuckeJPMorgan Chase & Co.UBS Financial Services11-08-2013
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Showing 176 to 200 of 314 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.

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