Advisers on the Move TEST

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
David Matthew ClaymanCitigroup Global Markets Inc.UBS Financial Services Inc.$10001-01-2009
Richard Stephen ElmanMoors & Cabot, Inc.UBS Financial Services Inc.$5001-02-2009
Stasia RichardsonStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.01-02-2009
Nicholas Alan HopleyBanc of America Investment Services, Inc.UBS Financial Services Inc.$2501-09-2009
Michael Harold JonahMorgan Stanley & Co. LLCUBS Financial Services Inc.$5002-01-2009
Michael J. Ashe IIIMorgan Stanley & Co. LLCUBS Financial Services Inc.$5002-01-2009
James Lawrence HealeyMorgan Stanley & Co. LLCUBS Financial Services Inc.$5002-01-2009
Christine Michelle DroneyMorgan Stanley & Co. LLCUBS Financial Services Inc.02-01-2009
Michael Anthony SerafinoRaymond James & Associates, Inc.UBS Financial Services Inc.$2502-03-2009
Geoffrey William MooreRaymond James & Associates, Inc.UBS Financial Services Inc.$20002-03-2009
William Richard Forte Jr.Waddell & ReedUBS Financial Services Inc.02-04-2009
Joseph Michael MasielloLPL Financial LLCUBS Financial Services Inc.$1002-23-2009
Leonard Eric BurdLPL Financial LLCUBS Financial Services Inc.02-26-2009
Frederick J HusseyMorgan Stanley & Co. LLCUBS Financial Services Inc.$20003-01-2009
Christopher Edward DeweyMorgan Stanley & Co. LLCUBS Financial Services Inc.03-01-2009
Peter Fitch KeatingCitigroup Global Markets Inc.UBS Financial Services Inc.$15004-01-2009
Thomas James MaddenStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$2504-09-2009
James Timothy FuerstnauAmeriprise Financial Services, LLCUBS Financial Services Inc.$15004-21-2009
Alfred James HammondCitigroup Global Markets Inc.UBS Financial Services Inc.$2505-01-2009
Jennifer Elizabeth Gilbert-DuffyCitigroup Global Markets Inc.UBS Financial Services Inc.$2505-01-2009
Matthew Peter McLaughlinCitigroup Global Markets Inc.UBS Financial Services Inc.$15005-01-2009
Paul Frederick ClarkRaymond James & Associates, Inc.UBS Financial Services Inc.05-15-2009
Stephen George SykesRaymond James & Associates, Inc.UBS Financial Services Inc.$15005-15-2009
Thomas Brooks ShermanRBC Capital Markets, LLCUBS Financial Services Inc.$10006-30-2009
David Alan RiceRBC Capital Markets, LLCUBS Financial Services Inc.06-30-2009
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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.