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
Regina Ruth OnkstAmeriprise Financial Services, Inc.UBS Financial Services Inc.03-09-2018
John Stephen CahillPrivate Advisor Group, LLCUBS Financial Services Inc.11-13-2017
Richard Orland Paris IIRaymond James & Associates, Inc.UBS Financial Services Inc.03-11-2016
Barbara Ann InmanLincoln Financial Securities CorporationUBS Financial Services Inc.01-07-2016
James Steven KiperFirst Kentucky Securities CorporationUBS Financial Services Inc.05-23-2014
Ryan Patrick O'ConnorFirst Kentucky Securities CorporationUBS Financial Services Inc.05-23-2014
Joseph Stuart Mitchell III, Rob Charles SchenkenfelderMorgan StanleyUBS Financial Services Inc.05-02-2014
Mark Allen HainerStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.01-10-2014
Marguerite Travis Rowland, Dowell Key Ryan, Charles MercerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.11-02-2012
Paul Brent SimmonsMorgan StanleyUBS Financial Services Inc.09-03-2010
Clyde W. Pelton Jr.Morgan StanleyUBS Financial Services Inc.02-16-2010
Nancy Ellen Wood, John Moultrie McIntosh, Dale Stewart DittoJ.J.B. Hilliard, W.L. Lyons, LLCUBS Financial Services Inc.03-20-2009
Erin Elizabeth TimmerdingMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$2501-07-2016
Tracy L. KnoppMorgan StanleyUBS Financial Services Inc.$2508-26-2009
Vicki Lynn MarchandLPL Financial LLCUBS Financial Services Inc.$2504-17-2009
Richard Harry WilsonMorgan StanleyUBS Financial Services Inc.$5009-16-2014
Harry Milward Hadden IIIWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5004-20-2012
David Edwin Trendler Jr.Raymond James Financial Services, Inc.UBS Financial Services Inc.$5010-15-2010
Michael Lawrence KnabelMorgan StanleyUBS Financial Services Inc.$5009-03-2010
Kenneth F. Herrington IIIMorgan StanleyUBS Financial Services Inc.$5004-16-2010
James Bradford OnkstAmeriprise Financial Services, Inc.UBS Financial Services Inc.$10003-09-2018
Robert Dale PhelpsMorgan StanleyUBS Financial Services Inc.$10010-17-2014
Patrick Rea YatesRaymond James & Associates, Inc.UBS Financial Services Inc.$10009-18-2014
Kevin Patrick O'ConnorFirst Kentucky Securities CorporationUBS Financial Services Inc.$10005-23-2014
Christopher Allen HudsonMorgan StanleyUBS Financial Services Inc.$10005-04-2012
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Showing 1 to 25 of 27 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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