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
Bruce TenenbaumRockefeller Financial LLCUBS Financial Services Inc.05-17-2019
Steve Tenney, Joseph Powers, Helen Andreoli, Jack PiperGreat Diamond PartnersUBS Financial Services Inc.$53005-16-2019
Dennis William LaughlinKestra Investment Services, LLCUBS Financial Services Inc.$1005-01-2019
Brian William LaughlinKestra Investment Services, LLCUBS Financial Services Inc.$4505-01-2019
Eugene Brendan McCarthy IIIKestra Investment Services, LLCUBS Financial Services Inc.$105-01-2019
Brett Ian GoldsteinVanderbilt Securities, LLCUBS Financial Services Inc.$5004-26-2019
Thomas R KoveleskieMorgan StanleyUBS Financial Services Inc.$2504-26-2019
Russell Edwin HermanNational Securities CorporationUBS Financial Services Inc.$10004-10-2019
Dominick DiBonaRaymond James & Associates, Inc.UBS Financial Services Inc.$19003-29-2019
David Andrew HatzMorgan StanleyUBS Financial Services Inc.$5003-29-2019
Dominick John DibonaRaymond James & Associates, Inc.UBS Financial Services Inc.$5003-29-2019
James Randy SmithProspera Financial Services, Inc.UBS Financial Services Inc.03-29-2019
Robert Custer GenselMorgan StanleyUBS Financial Services Inc.$5003-29-2019
Travis Wayne KingRobert W. Baird & Co. IncorporatedUBS Financial Services Inc.$15003-29-2019
Nicholas Anthony FiegoliRaymond James Financial Services, Inc.UBS Financial Services Inc.$5003-26-2019
Michael E. ArthurAmeriprise Financial Services, Inc.UBS Financial Services Inc.$5003-22-2019
Vincent Gerard Depaola Jr.Edward JonesUBS Financial Services Inc.03-18-2019
George Cook Howell IVWells Fargo Clearing Services, LLCUBS Financial Services Inc.$103-15-2019
James Dennis YarbroughWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10003-15-2019
Kristofer R SzteinComerica SecuritiesUBS Financial Services Inc.03-13-2019
Alex Blow Hargrove Sr.Capital Investment Group, Inc.UBS Financial Services Inc.$10003-12-2019
Mark Daniel MagarianWells Fargo Clearing Services, LLCUBS Financial Services Inc.03-11-2019
David Raymond ParkerStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$10003-08-2019
Devashish Mike ShahWells Fargo Clearing Services, LLCUBS Financial Services Inc.$103-08-2019
James Dietrich WaltmanWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10003-08-2019
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Showing 1 to 25 of 3,814 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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