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
Richard Alan HagertyAmeriprise Financial Services, LLCUBS Financial Services Inc.05-31-2019
Frank Eugene E Pavese JrWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5005-24-2019
Stephanie Simone AccinniAvantax Investment Services, Inc.UBS Financial Services Inc.05-23-2019
John Paul FiduraCharles Schwab & Co., Inc.UBS Financial Services Inc.05-20-2019
Vincent DePaola JrEdward JonesUBS Financial Services Inc.03-18-2019
James Dietrich WaltmanWells Fargo Clearing Services, LLCUBS Financial Services Inc.03-08-2019
Devashish M ShahWells Fargo Clearing Services, LLCUBS Financial Services Inc.03-08-2019
Katherine Leigh ShannonPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.01-09-2019
Nicholas A Defilippis IIIFidelity Brokerage Services LLCUBS Financial Services Inc.01-03-2019
Richard Kevin PowersE*TRADE Securities LLCUBS Financial Services Inc.11-30-2018
Thomas M CometaWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.10-04-2018
Jannel BuckleyMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5009-20-2018
Jeffrey YauJ.P. Morgan Securities LLCUBS Financial Services Inc.06-29-2018
Jack R MahoneySimon Quick Advisors, LLCUBS Financial Services Inc.06-26-2018

Showing 1 to 14 of 14 entries

Page 1

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.