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
Alex B. Hargrove Sr.Capital Investment Group, Inc.UBS Financial Services Inc.$10003-12-2019
Andres F CordobaTD Ameritrade Investment Management, LLCUBS Financial Services Inc.10-07-2016
Benjamin Everett LinkBB&T Securities, LLCUBS Financial Services Inc.$10005-24-2016
Bennett V SmithStephensUBS Financial Services Inc.08-16-2013
Brenda Sparks McCleereyOppenheimer & Co. Inc.UBS Financial Services Inc.07-01-2009
Catherine Michelle HunterRaymond James & Associates, Inc.UBS Financial Services Inc.12-13-2013
Charles Bruce AsheWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5011-17-2009
Charles H. Moehrke Jr., Norris Gates Cotton, Ryan ButlerMorgan StanleyUBS Financial Services Inc.$10010-21-2009
Chiaheng John ChenWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10011-14-2014
Christopher Edelen Bolles Jr.Stifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.08-14-2009
Christopher Sean George, Brian RolandMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.11-13-2009
Coleton BooneAllstate Financial Services, LLCUBS Financial Services Inc.03-06-2018
Dana Nichole TimchenkoMorgan StanleyUBS Financial Services Inc.$25005-15-2017
Daniel Thomas HethPreserve Wealth Management, LLCUBS Financial Services Inc.09-10-2019
David Andrew SamuelsenMML Investors Services, LLCUBS Financial Services Inc.04-07-2017
David Earl RatcliffePrincipal Securities, Inc.UBS Financial Services Inc.05-27-2009
David Sverre HalvorsenFTB Advisors, Inc.UBS Financial Services Inc.04-21-2017
David Wingate D'AlessandroRobert W. Baird & Co. IncorporatedUBS Financial Services Inc.09-26-2016
Donald Ray HuneycuttWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5011-04-2015
Eugene Steven MarxRaymond James & Associates, Inc.UBS Financial Services Inc.12-13-2013
Frank Joseph ClementeWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5001-15-2015
George Wall Holden IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10004-17-2015
Grady Keever Howard IIIMorgan StanleyUBS Financial Services Inc.04-16-2010
Gregory Phylander DuckworthWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10009-28-2012
Henry Joseph PersiaRaymond James Financial Services, Inc.UBS Financial Services Inc.$2509-09-2013
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Showing 1 to 25 of 63 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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