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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Heather DjanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.09-01-2010
John Edward Reyno, Patrick Evan BertenshawMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$15009-10-2010
Bernard Levi HirshMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.09-21-2010
Luis Carlos Pinto Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.09-27-2010
Juan Ignacio CabanasMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10009-29-2010
Adam Jay BornsteinMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.10-01-2010
Justin William BlissMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.10-01-2010
Michael Scott AppelbaumMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.10-01-2010
Javier Gomez MalfavonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.10-14-2010
Jose Joaquin Hernandez IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.11-09-2010
Vincent Brian ValerioMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.01-04-2011
Andrew Stuart MumpowerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.01-07-2011
Monica Jill GuttmannMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.01-18-2011
David Samuel Ramirez, Kenneth James RamirezMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.02-11-2011
Kevin James KingMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5002-18-2011
Patricia Mary MulcahyMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.02-18-2011
Joel Richard FishkinMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.02-18-2011
Kevin LongoMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.02-18-2011
Jeffrey Richard RezzaMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.03-07-2011
Jeffrey Joseph FlitMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10003-10-2011
Lawrence William HallMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$20003-18-2011
Robert Francis DaliaMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.05-06-2011
Shannon Troy SoileauMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.05-12-2011
Michael Jay BorzaMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$2507-01-2011
Henry G. Latimer IV, Charles Phillip Wurster, David D. FitzgarraldMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-01-2011
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Showing 101 to 125 of 304 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.

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