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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Theresa Maria KostRBC Capital Markets, LLCUBS Financial Services Inc.01-12-2012
Richard King RosenfeldAmeriprise Financial Services, Inc.UBS Financial Services Inc.$15001-06-2012
Matthew John MontiniWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.01-06-2012
Amir Ali MonsefiMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.12-16-2011
James Grant BechtoldWells Fargo Clearing Services, LLCUBS Financial Services Inc.12-12-2011
Anthony Gregory SchmidtMorgan StanleyUBS Financial Services Inc.12-09-2011
Thomas Alan EisenstadtStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.11-30-2011
Sonya Navin Doshi-MccarthyWells Fargo Clearing Services, LLCUBS Financial Services Inc.10-28-2011
Gilbert Roy SolonWells Fargo Clearing Services, LLCUBS Financial Services Inc.10-28-2011
George Joseph RasherMorgan StanleyUBS Financial Services Inc.10-28-2011
Michael Marlon RabinovitchMorgan StanleyUBS Financial Services Inc.10-21-2011
Albert Edward Gibbons IIIMorgan StanleyUBS Financial Services Inc.10-13-2011
Susan Tzu-Ling ChenTD Ameritrade Investment Management, LLCUBS Financial Services Inc.09-01-2011
Ernest Ryan DunlapMorgan StanleyUBS Financial Services Inc.$5008-19-2011
Christina Chiang ChouMorgan StanleyUBS Financial Services Inc.$5008-19-2011
Michael James O'BrienWells Fargo Clearing Services, LLCUBS Financial Services Inc.$15008-01-2011
Kevin B AufmannWells Fargo Clearing Services, LLCUBS Financial Services Inc.07-13-2011
Stephen James PlatterMorgan StanleyUBS Financial Services Inc.$2506-10-2011
Daniel Wesley AlbertMorgan StanleyUBS Financial Services Inc.06-10-2011
Stanley Keith PriceStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.06-03-2011
Timothy Barton DavisMorgan StanleyUBS Financial Services Inc.05-06-2011
Walter Francis EvansMorgan StanleyUBS Financial Services Inc.04-29-2011
Larry Joel Shaw, William Scott Hicks IIIMorgan StanleyUBS Financial Services Inc.$15003-11-2011
Robert A McLalan Jr.Morgan StanleyUBS Financial Services Inc.03-11-2011
Grant Arthur GochinRaymond James Financial Services, Inc.UBS Financial Services Inc.$5002-18-2011
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Showing 201 to 225 of 345 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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