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
Shellane Marie OgoshiRaymond James & Associates, Inc.UBS Financial Services Inc.10-11-2018
David Charles GarciaWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5003-02-2018
Chrissy Yong KimAmeriprise Financial Services, Inc.UBS Financial Services Inc.08-04-2017
Karen Kikue Yoshimura YasukawaRaymond James & Associates, Inc.UBS Financial Services Inc.$10006-23-2017
Gregg Shizuo MatsuuraRaymond James & Associates, Inc.UBS Financial Services Inc.06-23-2017
Paul Akira YamashitaRaymond James & Associates, Inc.UBS Financial Services Inc.06-23-2017
Jodi Nozoe ChangWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10001-15-2016
Keith Alan Bung Siu Chock, Kanoi LamWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$10005-01-2015
James Thomas CarterAmeriprise Financial Services, Inc.UBS Financial Services Inc.$10010-25-2013
Sharon Kiyo Kaya, Reid Keoki TakamotoMorgan StanleyUBS Financial Services Inc.$10005-02-2013
Elliot Lee LukeCommonwealth Financial NetworkUBS Financial Services Inc.04-16-2010
Irene Sumiko Nakashima, Lane Saiichi NakashimaCommonwealth Financial NetworkUBS Financial Services Inc.04-09-2010
Len Masahiro FukushimaMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-01-2010
Eugene Ronald PriceLPL Financial LLCUBS Financial Services Inc.$2501-14-2009

Showing 1 to 14 of 14 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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