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
Michael Anthony Serafino, Geoffrey William MooreRaymond James & Associates, Inc.UBS Financial Services Inc.$2502-03-2009
Joseph Michael MasielloLPL Financial LLCUBS Financial Services Inc.$1002-23-2009
Thomas James MaddenStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$2504-09-2009
John Anthony GermainRBC Capital Markets, LLCUBS Financial Services Inc.$15004-17-2009
James Timothy FuerstnauAmeriprise Financial Services, Inc.UBS Financial Services Inc.$15004-21-2009
Stephen George SykesRaymond James & Associates, Inc.UBS Financial Services Inc.$15005-15-2009
Robert Hutchins RippMorgan StanleyUBS Financial Services Inc.09-04-2009
Louis Michael RicciardiRaymond James Financial Services, Inc.UBS Financial Services Inc.09-25-2009
Paul Stephen BrandonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.09-25-2009
Dean Roger Larabee IIIRaymond James Financial Services, Inc.UBS Financial Services Inc.09-25-2009
Brian Anthony CookeLPL Financial LLCUBS Financial Services Inc.10-01-2009
George Ross Birch Jr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.$10012-03-2009
Kevin Edward BirchWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10012-03-2009
William Farnsworth Boynton, Tristan Cheyenne MouligneMorgan StanleyUBS Financial Services Inc.01-08-2010
David R. BermanCommonwealth Financial NetworkUBS Financial Services Inc.$2502-12-2010
Peter George Christie Jr., Gary S RonkinMorgan StanleyUBS Financial Services Inc.$5003-05-2010
Sarah Ruth Porter, Katherine Pratt RichardsonMorgan StanleyUBS Financial Services Inc.$15005-14-2010
James Stewart SmithMorgan StanleyUBS Financial Services Inc.$5007-23-2010
William G GrahamFirst Republic Securities Company, LLCUBS Financial Services Inc.08-10-2010
Diana V. SmithAmeriprise Financial Services, Inc.UBS Financial Services Inc.12-06-2010
Christopher Fotis EconomouMorgan StanleyUBS Financial Services Inc.05-12-2011
Douglas Scott HardyCommonwealth Financial NetworkUBS Financial Services Inc.09-02-2011
Leland Thomas OldhamWells Fargo Clearing Services, LLCUBS Financial Services Inc.$15009-30-2011
Alan Bradley StaytonWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5009-30-2011
Geoffrey D McCarthy Jr.LPL Financial LLCUBS Financial Services Inc.09-30-2011
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Showing 1 to 25 of 89 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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