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
Charles Siu Lun MokMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5004-24-2009
Joshua William CumminsMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10006-12-2009
Michelle R GruberMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.08-24-2009
Davis Domingo AldanaMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.10-08-2009
Lawrence Charles CaneMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10010-23-2009
Raffi KendirjianMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.12-01-2009
Katie Qingqing PanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.03-12-2010
Haseong JooMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$2507-29-2010
Juan Ignacio CabanasMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10009-29-2010
Javier Gomez MalfavonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.10-14-2010
Amir Ali MonsefiMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.12-16-2011
Jolon Edgar Carl StaubliMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.03-23-2012
James Charles NaifyMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10009-07-2012
John Gregory MarkoffMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-19-2013
Marie Helene SteinmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-19-2013
Jeff Marcus EastburnMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5005-17-2013
Melissa YueMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.01-21-2014
Howard Steven RowenMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$2504-09-2014
Dianne Elizabeth LynchMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10007-10-2014
Cristiano Tempo CastelliniMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10010-17-2014
Matthew Todd YonallyMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.05-21-2015
Amy Melinda MooreMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.05-21-2015
Christopher Tom CompogiannisMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.05-21-2015
Jerad ChaoMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10006-11-2015
Michael Anthony MargiottaMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.06-11-2015
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Showing 1 to 25 of 38 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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