Advisers on the Move TEST

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.

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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Anthony Warren NyeUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10001-02-2009
Kambiz Carl RafiepourUBS Financial Services Inc.Wells Fargo Clearing Services, LLC04-09-2009
Ryan Manning AshtonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC06-01-2010
Andrew Lorin PennUBS Financial Services Inc.Wells Fargo Clearing Services, LLC03-02-2011
Alan S ToresUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5007-29-2011
David Mark WolfleyUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$1009-29-2011
Daniel Thomas Nelson Jr.UBS Financial Services Inc.Wells Fargo Clearing Services, LLC$2503-02-2012
Gary Peter CohenUBS Financial Services Inc.Wells Fargo Clearing Services, LLC09-18-2012
Robert C. CruzUBS Financial Services Inc.Wells Fargo Clearing Services, LLC03-05-2013
Leslie Ann B. ManuelUBS Financial Services Inc.Wells Fargo Clearing Services, LLC09-25-2013
Patrick John FloodUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10001-17-2014
Kieran Thomas MaloneyUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$15003-28-2014
Brian Joshua BerryUBS Financial Services Inc.Wells Fargo Clearing Services, LLC03-28-2014
Roy Albert Mendoza Jr.UBS Financial Services Inc.Wells Fargo Clearing Services, LLC06-27-2014
Paul Carrington LingenfelterUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5008-26-2015
Byron Thomas SheffieldUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10008-26-2015
Wesley James SuttonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC08-26-2015
Ryan Dennis DietzUBS Financial Services Inc.Wells Fargo Clearing Services, LLC10-30-2015
William Talbot KendallUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10011-06-2015
Erica JangUBS Financial Services Inc.Wells Fargo Clearing Services, LLC04-04-2016
Ronald Harold LedferdUBS Financial Services Inc.Wells Fargo Clearing Services, LLC05-23-2016
David Alan MaderUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10003-08-2017
Shashi Vivek BhatiaUBS Financial Services Inc.Wells Fargo Clearing Services, LLC06-28-2017
Orkhan BeniaminovUBS Financial Services Inc.Wells Fargo Clearing Services, LLC10-17-2017
Robert Bradley FredericksonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$15002-14-2018
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Showing 1 to 25 of 31 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.