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
Willcox Keith BaileyOppenheimer & Co. Inc.UBS Financial Services Inc.$10012-07-2018
Michael Christopher RaissisOppenheimer & Co. Inc.UBS Financial Services Inc.$2505-17-2018
Jane Harriet WasserstromOppenheimer & Co. Inc.UBS Financial Services Inc.04-10-2018
Richard Jonathan CurraOppenheimer & Co. Inc.UBS Financial Services Inc.10-21-2016
Todd Christopher WigginsOppenheimer & Co. Inc.UBS Financial Services Inc.05-03-2016
Chad Edward AllenOppenheimer & Co. Inc.UBS Financial Services Inc.08-13-2015
Francis Anthony RiessOppenheimer & Co. Inc.UBS Financial Services Inc.$10006-05-2015
Laura Lee WhiteOppenheimer & Co. Inc.UBS Financial Services Inc.05-04-2015
Joe ChanOppenheimer & Co. Inc.UBS Financial Services Inc.01-20-2015
Michael J SquellatiOppenheimer & Co. Inc.UBS Financial Services Inc.01-16-2015
Laura Lynn ThomfordeOppenheimer & Co. Inc.UBS Financial Services Inc.$5011-12-2014
Trevor Jon HowardOppenheimer & Co. Inc.UBS Financial Services Inc.$2508-29-2014
Thomas Norwood Anderson IIIOppenheimer & Co. Inc.UBS Financial Services Inc.07-02-2014
Joel Eric BreiterOppenheimer & Co. Inc.UBS Financial Services Inc.$5002-18-2014
Stanley Kalman KingOppenheimer & Co. Inc.UBS Financial Services Inc.$15002-05-2014
Melissa Murphy PavoneOppenheimer & Co. Inc.UBS Financial Services Inc.01-02-2014
James Creighton CollinsOppenheimer & Co. Inc.UBS Financial Services Inc.09-16-2013
Anthony Raymond D'AscoliOppenheimer & Co. Inc.UBS Financial Services Inc.$10009-05-2013
Peter Henry WagnerOppenheimer & Co. Inc.UBS Financial Services Inc.$15008-21-2013
Anita Marie DaguilarOppenheimer & Co. Inc.UBS Financial Services Inc.07-15-2013
Curtis J. Patterson IIIOppenheimer & Co. Inc.UBS Financial Services Inc.$5011-30-2012
Lawrence R. WilkesOppenheimer & Co. Inc.UBS Financial Services Inc.$10011-02-2012
Marjorie B JaffeOppenheimer & Co. Inc.UBS Financial Services Inc.11-02-2012
Walter Alan CooperOppenheimer & Co. Inc.UBS Financial Services Inc.$2503-21-2012
Henry Edward LevinOppenheimer & Co. Inc.UBS Financial Services Inc.09-10-2010
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Showing 1 to 25 of 42 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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