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
Thomas Anthony KeiserRBC Capital Markets, LLCUBS Financial Services Inc.$15004-24-2019
Keith Thomas MuneraMorgan StanleyUBS Financial Services Inc.$15007-18-2012
William Anderson LuttnerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$15005-15-2009
Robert Timothy HigginsWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10003-01-2019
James B MarcusWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$10008-12-2016
Thomas Richard ByrnesRBC Capital Markets, LLCUBS Financial Services Inc.$10004-24-2014
Howard James Sacks, Aurelio Roy Decaro Jr.Morgan StanleyUBS Financial Services Inc.$10001-09-2014
David Telford HawkinsMorgan StanleyUBS Financial Services Inc.$10010-13-2010
Alan Matthew StrickerMid Atlantic Capital CorporationUBS Financial Services Inc.$10009-03-2010
Mark Floyd SantiaRBC Capital Markets, LLCUBS Financial Services Inc.$5011-30-2017
Curt L. CoulterWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5008-31-2012
James Roger WeinheimerLPL Financial LLCUBS Financial Services Inc.$5008-30-2012
Joseph Patrick McGinleyMorgan StanleyUBS Financial Services Inc.$5004-07-2011
Charles Patrick RobinsonMorgan StanleyUBS Financial Services Inc.$5003-04-2011
George James MundyWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5007-30-2010
Mitchell A WelschMorgan StanleyUBS Financial Services Inc.$5003-25-2010
Margery Jubelir LoevnerOppenheimer & Co. Inc.UBS Financial Services Inc.$5010-07-2009
Robert Michael Di FalcoRaymond James & Associates, Inc.UBS Financial Services Inc.$5009-25-2009
John Leo WilliamsWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2509-25-2015
George Dixon Shrum Jr.Oppenheimer & Co. Inc.UBS Financial Services Inc.$2506-12-2009
David Loran CostaLPL Financial LLCUBS Financial Services Inc.$2504-30-2009
Edmund David FosterRBC Capital Markets, LLCUBS Financial Services Inc.$1011-30-2017
Grant Scott MellonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$1004-23-2010
James Edward CuccaroWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1004-30-2009
Eric J WernerMorgan StanleyUBS Financial Services Inc.06-25-2019
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Showing 1 to 25 of 67 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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