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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
James Arthur KujawskiAmeriprise Financial Services, Inc.UBS Financial Services Inc.03-26-2018
Derek Steven FishAmeriprise Financial Services, Inc.UBS Financial Services Inc.09-13-2013
Eladio Arturo SantiagoCambridge Investment Research, Inc.UBS Financial Services Inc.$10010-26-2018
Brian Michael BassCetera Advisors LLCUBS Financial Services Inc.06-17-2015
Thomas Nelson ThibeaultChapin, DavisUBS Financial Services Inc.10-16-2009
Stephen Edmond BerubeEcho Creek Capital, LLCUBS Financial Services Inc.07-12-2013
Charles Russell WardHarbor Investment Advisory, LLCUBS Financial Services Inc.$10009-11-2015
John Thomas HalleronHarbor Investment Advisory, LLCUBS Financial Services Inc.09-11-2015
Richard ClonchLPL Financial LLCUBS Financial Services Inc.04-28-2009
Mark A. Fitz-PatrickMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$2503-31-2016
Michael Addison Fitz-PatrickMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.03-31-2016
Dale Allen Waters Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.12-12-2014
Brett I. MoritzMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.12-05-2014
Karen Mary SpencerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10003-19-2012
Louis Alan SchaftelMorgan StanleyUBS Financial Services Inc.$10004-08-2014
Lawrence Robert WethjeMorgan StanleyUBS Financial Services Inc.12-03-2012
Eric David Brann, Philip Kenneth Lee, Matthew Allen MayMorgan StanleyUBS Financial Services Inc.$5006-30-2010
Chad Everett VaughnMorgan StanleyUBS Financial Services Inc.06-30-2010
Arun Sardana, Adam Proger, Paul Grambsch, Reilly LoflinRaymond James & Associates, Inc.UBS Financial Services Inc. $99009-03-2019
Keith Terry BarberisRaymond James Financial Services, Inc.UBS Financial Services Inc.$5007-20-2016
Nicole Jane McCuskeyRaymond James Financial Services, Inc.UBS Financial Services Inc.02-24-2016
Constance Mackay MinerRaymond James Financial Services, Inc.UBS Financial Services Inc.$10201-14-2016
Ross C. HamiltonRaymond James Financial Services, Inc.UBS Financial Services Inc.01-14-2016
Jerry Dominic TrumanRBC Capital Markets, LLCUBS Financial Services Inc.$10001-23-2019
Robert Francis Brown Jr.RBC Capital Markets, LLCUBS Financial Services Inc.$5002-25-2009
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Showing 1 to 25 of 40 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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