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
William E Ward IIIAegis Capital Corp.UBS Financial Services Inc.$5010-31-2014
Paul Edward LightfootAmerican Wealth Management, Inc.UBS Financial Services Inc.01-27-2012
Robert Henry Davis Jr.Ameriprise Financial Services, Inc.UBS Financial Services Inc.$15011-22-2017
Kevin Brian SmithAmeriprise Financial Services, Inc.UBS Financial Services Inc.$10001-12-2017
Martin Peter MooreAmeriprise Financial Services, Inc.UBS Financial Services Inc.07-01-2016
Richard Kenneth ChildressAmeriprise Financial Services, Inc.UBS Financial Services Inc.$5004-26-2013
George FischerAmeriprise Financial Services, Inc.UBS Financial Services Inc.$5003-05-2010
Melvin Cecil GordonAmeriprise Financial Services, Inc.UBS Financial Services Inc.$5002-05-2010
Keith Michael KunzigAmeriprise Financial Services, Inc.UBS Financial Services Inc.06-03-2009
Robert Lawrence WaxmanAmeriprise Financial Services, Inc.UBS Financial Services Inc.04-29-2009
Owen WilsonBB&T Securities, LLCUBS Financial Services Inc.08-06-2018
Denise Lynn PelozaBB&T Securities, LLCUBS Financial Services Inc.09-13-2016
Michael Jonathan KravitzBB&T Securities, LLCUBS Financial Services Inc.$8007-15-2016
Anthony James MazzoBB&T Securities, LLCUBS Financial Services Inc.$7704-22-2016
Howard Steven WalzerBB&T Securities, LLCUBS Financial Services Inc.12-18-2015
Adriana Carolina ArangurenCitigroup Global Markets Inc.UBS Financial Services Inc.07-08-2019
Timothy Stephen FanninDataMind Advisors, LLCUBS Financial Services Inc.04-13-2016
Brian BaughmanEdward JonesUBS Financial Services Inc.07-06-2009
Chad Nickolas LosonFifth Third Securities, Inc.UBS Financial Services Inc.06-22-2009
Freddy Jose MartinezForem Investments LLCUBS Financial Services Inc.02-26-2014
Jordan John-Andrew RaeHighTower Securities, LLCUBS Financial Services Inc.04-15-2016
Alberto LunaIntercam Securities, Inc.UBS Financial Services Inc.04-06-2017
Kurt F SylviaJ.P. Morgan Securities LLCUBS Financial Services Inc.$1,02011-30-2017
Nathan Donald KruegerJ.P. Morgan Securities LLCUBS Financial Services Inc.$5011-30-2017
Steven KimJ.P. Morgan Securities LLCUBS Financial Services Inc.08-14-2014
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Showing 1 to 25 of 201 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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