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.Recruiting Scoreboard (Q4 2019)
Recruiting Gains
Recruiting Losses
Net Gains
Latest moves
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| Eric J Werner | Morgan Stanley | UBS Financial Services Inc. | — | 06-25-2019 |
| Paul Raymond Hakel | Mid Atlantic Capital Corporation | UBS Financial Services Inc. | — | 12-13-2018 |
| Victoria Nicole Goral | Haverford Trust Securities, Inc. | UBS Financial Services Inc. | — | 10-27-2017 |
| Michael Anthony Marotta | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UBS Financial Services Inc. | — | 02-08-2017 |
| Gregory Ron Bowden | Wells Fargo Advisors Financial Network, LLC | UBS Financial Services Inc. | — | 01-10-2017 |
| Sanjit Singh Khara | Wells Fargo Advisors Financial Network, LLC | UBS Financial Services Inc. | — | 08-12-2016 |
| Jesse Levy | LPL Financial LLC | UBS Financial Services Inc. | — | 12-18-2015 |
| William Robert Becker | Wells Fargo Advisors Financial Network, LLC | UBS Financial Services Inc. | — | 12-02-2015 |
| Kurt J. Skvarla | Wells Fargo Advisors Financial Network, LLC | UBS Financial Services Inc. | — | 12-02-2015 |
| Lindsay Lewis Denardo | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UBS Financial Services Inc. | — | 09-12-2014 |
| Wendy Hawley Foster | Morgan Stanley | UBS Financial Services Inc. | — | 09-10-2014 |
| Frank B. Emmerling, Leslie Anne Craven, Frank B. Emmerling | RBC Capital Markets, LLC | UBS Financial Services Inc. | — | 11-08-2013 |
| Jeanine Marie Guzzardi | PNC Investments | UBS Financial Services Inc. | — | 10-04-2013 |
| Steven Randall Sheffler | Morgan Stanley | UBS Financial Services Inc. | — | 12-07-2012 |
| Brett D. Caffrey | Morgan Stanley | UBS Financial Services Inc. | — | 09-04-2012 |
| James Drysdale Dunsmore Sr. | LPL Financial LLC | UBS Financial Services Inc. | — | 05-31-2012 |
| Raymond Stanley Beck | Morgan Stanley | UBS Financial Services Inc. | — | 04-24-2012 |
| William Michael Perfett | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UBS Financial Services Inc. | — | 09-12-2011 |
| Douglass Ralph Tietbohl | Morgan Stanley | UBS Financial Services Inc. | — | 04-07-2011 |
| Patrick Joseph Lynch III | Raymond James Financial Services, Inc. | UBS Financial Services Inc. | — | 03-14-2011 |
| David W Rodgers | Wells Fargo Clearing Services, LLC | UBS Financial Services Inc. | — | 12-13-2010 |
| William J Zalewski, John Edward Zalewski | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UBS Financial Services Inc. | — | 10-16-2009 |
| Frank Anthony Abruzzese Sr. | Boenning & Scattergood, Inc. | UBS Financial Services Inc. | — | 10-05-2009 |
| Andree Camarco Johnson | Stifel, Nicolaus & Company, Incorporated | UBS Financial Services Inc. | — | 09-25-2009 |
| Barry Thomas Compton | Stifel, Nicolaus & Company, Incorporated | UBS Financial Services Inc. | — | 09-25-2009 |
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.
