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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Courtney Lee JonesSanctuary Securities, Inc.UBS Financial Services Inc.$5007-26-2019
Dale Lamar Shafer IIAmeriprise Financial Services, LLCUBS Financial Services Inc.12-14-2017
Paul William MuransThurston Springer FinancialUBS Financial Services Inc.$10010-23-2017
Andrew K. FairmanLPL Financial LLCUBS Financial Services Inc.09-19-2017
Darren Taylor GrayStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.06-08-2016
Walter Michael Niemczura Jr.Raymond James Financial Services, Inc.UBS Financial Services Inc.$1003-04-2016
Frank Joseph Esposito Jr.Washington & Scoville, LLCUBS Financial Services Inc.08-17-2015
Lloyd Frederick McGlincyMorgan StanleyUBS Financial Services Inc.$15006-05-2015
John Arlin SchieveWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$5005-22-2015
Eric Wayne WilliamsWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$5005-22-2015
Lebbeus WoodsMorgan StanleyUBS Financial Services Inc.03-13-2015
James Ellis PercifieldWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10011-21-2014
Brad A HarberWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2511-21-2014
Lauren Anne BrownValeo Financial Advisors, LLCUBS Financial Services Inc.04-16-2014
Sherrie Ann MillsMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$1008-02-2013
Tanya A. WilsonTIAA-CREF Individual & Institutional Services, LLCUBS Financial Services Inc.06-27-2013
Jill GrossmanMorgan StanleyUBS Financial Services Inc.$5010-12-2012
Jacqueline Sue BrownMorgan StanleyUBS Financial Services Inc.10-12-2012
Terry Philip Cole Jr.Morgan StanleyUBS Financial Services Inc.10-12-2012
Kevin KarlanderMorgan StanleyUBS Financial Services Inc.10-01-2012
Jonathan E KlausnerMorgan StanleyUBS Financial Services Inc.$2504-03-2012
John Michael DuffyMorgan StanleyUBS Financial Services Inc.$1004-03-2012
Derek Elmo DisalvoMorgan StanleyUBS Financial Services Inc.04-03-2012
Leland Scott HorrallMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$15008-20-2010
James J. Otley Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5007-30-2010
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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.