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
Anthony M. SmallStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.12-09-2019
James Joseph LombardiWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)UBS Financial Services Inc.11-14-2019
Kenneth David SilvermanCetera Advisor Networks LLCUBS Financial Services Inc.11-05-2019
Regina Marie ConnellyPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.10-14-2019
Casey MitchellOppenheimer & Co. Inc.UBS Financial Services Inc.10-04-2019
Timothy William McNamaraMorgan StanleyUBS Financial Services Inc.10-04-2019
Sari Lyn WarsawMorgan StanleyUBS Financial Services Inc.09-13-2019
Jacqueline Lee ClearyMorgan StanleyUBS Financial Services Inc.09-03-2019
Anthony Joseph LangellaJanney Montgomery Scott LLCUBS Financial Services Inc.08-26-2019
Michael Timothy KitlinskiMorgan StanleyUBS Financial Services Inc.08-26-2019
Parker JaquesMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.08-19-2019
Matthew J. Mineaux NigroMorgan StanleyUBS Financial Services Inc.08-09-2019
Patrick White RyanFSC Securities CorporationUBS Financial Services Inc.07-24-2019
Ellen SpathisRaymond James Financial Services, Inc.UBS Financial Services Inc.07-09-2019
Keith CaparelliMorgan StanleyUBS Financial Services Inc.06-06-2019
Cyriac AbrahamPark Avenue Securities LLCUBS Financial Services Inc.05-23-2019
Kerma Monika BruneckerJanney Montgomery Scott LLCUBS Financial Services Inc.05-22-2019
John Marshall PiperPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.05-10-2019
Levon Elizabeth GriffithStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.04-12-2019
Tammy Katherine PiochEllevestUBS Financial Services Inc.04-04-2019
Nicholas Anthony FiegoliSteward Partners Investment Advisory, LLCUBS Financial Services Inc.03-26-2019
Abe PomerancWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)UBS Financial Services Inc.02-14-2019
Stephen Bruce BeatonJ.P. Morgan Securities LLCUBS Financial Services Inc.01-18-2019
Katherine Leigh ShannonPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.01-09-2019
Eric Robert SchwartzPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.01-09-2019
Next Page »

Showing 1 to 25 of 623 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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