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
Kristofer Robert SzteinComerica SecuritiesUBS Financial Services Inc.03-13-2019
John Michael SchindlerRaymond James & Associates, Inc.UBS Financial Services Inc.02-01-2019
Jeffrey Steven DaviesRaymond James & Associates, Inc.UBS Financial Services Inc.02-01-2019
Austin Michael FarahRaymond James & Associates, Inc.UBS Financial Services Inc.02-01-2019
Christian Avery AllenRaymond James & Associates, Inc.UBS Financial Services Inc.02-01-2019
Antonio A DesanoRoyal Alliance Associates, Inc.UBS Financial Services Inc.07-10-2018
Michael Seth LehmanAmeriprise Financial Services, Inc.UBS Financial Services Inc.08-25-2017
Mary Patricia SchwartzGregory J. Schwartz & Co., Inc.UBS Financial Services Inc.01-04-2017
Todd Charles FergusonWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.12-19-2016
Douglas Albert PastorWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.12-16-2016
Cassandra Lee-Kyung BeardsleeMKD Wealth Coaches, LLCUBS Financial Services Inc.08-12-2016
Robert Dennis MossonAmeriprise Financial Services, Inc.UBS Financial Services Inc.10-18-2013
Kenneth Allen FruehaufWells Fargo Clearing Services, LLCUBS Financial Services Inc.01-04-2012
Scott Byron SuomelaWells Fargo Clearing Services, LLCUBS Financial Services Inc.08-19-2011
Daniel Patrick Murphy, Gregory Robert WrightWells Fargo Clearing Services, LLCUBS Financial Services Inc.07-25-2011
Geoffrey ThompsonLPL Financial LLCUBS Financial Services Inc.12-09-2010
David Gerard KuznerRaymond James & Associates, Inc.UBS Financial Services Inc.11-19-2010
Christopher John KuligowskiKuli Capital ManagementUBS Financial Services Inc.10-18-2010
Adam Jay BornsteinMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.10-01-2010
Christine Marie BackusAmeriprise Financial Services, Inc.UBS Financial Services Inc.09-10-2010
Anh Ngoc TranAmeriprise Financial Services, Inc.UBS Financial Services Inc.08-02-2010
William Hunter BrennanWells Fargo Clearing Services, LLCUBS Financial Services Inc.02-10-2010
Steven Donald DodsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.11-13-2009
Vincent John O'BrienStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Steven Austin YenshawStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
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Showing 1 to 25 of 72 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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