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.

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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
William Mark ParkerRaymond James & Associates, Inc.UBS Financial Services Inc.08-27-2020
Steven Harman MogulMiramar CapitalUBS Financial Services Inc.08-26-2020
Stephen W ZoghbyGlobal Shares Financial Services Inc.UBS Financial Services Inc.08-25-2020
John Patrick DuffyInternational Assets Investment Management, LLCUBS Financial Services Inc.08-24-2020
John Patrick DuffyInternational Assets Investment Management, LLCUBS Financial Services Inc.08-24-2020
Ross FedeniaAmeriprise Financial Services, LLCUBS Financial Services Inc.08-21-2020
Sarah Elaine ParenteauFirst Republic Investment Management, Inc.UBS Financial Services Inc.08-20-2020
Rafael J. SantandreuRaymond James & Associates, Inc.UBS Financial Services Inc.08-20-2020
Sarah Elaine ParenteauFirst Republic Securities Company, LLCUBS Financial Services Inc.08-19-2020
Sarah Elaine ParenteauFirst Republic Securities Company, LLCUBS Financial Services Inc.08-19-2020
Kevin Patrick RoeFacet Wealth, IncUBS Financial Services Inc.08-12-2020
Kevin Patrick RoeFacet Wealth, IncUBS Financial Services Inc.08-12-2020
Samuel W KimMorgan StanleyUBS Financial Services Inc.08-11-2020
Gary Martin BiceStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.08-10-2020
John Carroll PrebayStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.08-10-2020
Marshall Harkless Dean IIICuso Financial Services, L.P.UBS Financial Services Inc.08-03-2020
Marina Tudela, Idalia Daguin, Gabriela AguilarRaymond James & Associates, Inc.UBS Financial Services Inc. $28007-02-2020
Mark Bilski RBC Wealth ManagementUBS Financial Services Inc. $65006-04-2020
Michael Luther BrownRaymond James Financial Services, Inc.UBS Financial Services Inc.$15006-03-2020
Adam Christopher BrownRaymond James Financial Services, Inc.UBS Financial Services Inc.$15006-03-2020
Stephen “Steve” SullivanRaymond James & Associates, Inc.UBS Financial Services Inc. 06-01-2020
Laura C. RaabBanorte-IXE Securities International, LTD.UBS Financial Services Inc.05-29-2020
Bryan Garris, Nick Garris, Orlo Elfes, Leslie SagerM. S. Howells & CoUBS Financial Services Inc. 05-28-2020
Bryan Garris, Nick Garris, Orlo Elfes, Leslie SagerM. S. Howells & CoUBS Financial Services Inc. 05-28-2020
Craig WeisRaymond James & Associates, Inc.UBS Financial Services Inc. $13005-22-2020
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Showing 1 to 25 of 5,159 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.