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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Jerome Bookstein, Adam BornsteinMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$17010-15-2010
Michael AppelbaumMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$45011-19-2010
Juan CabanasMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$19211-19-2010
Christopher BollenbachMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$11706-13-2011
Michael BorzaMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$17407-01-2011
John Burns, William Liebowitz, Peter Krones, John ForgatchMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$27707-18-2011
Mark KeanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$14108-03-2012
Lee Miller, Andrew PleatMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$18308-10-2012
Todd HavillMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$15603-20-2013
Stephen Ruvituso, Lee Konopka, Robert Matluck, Todd StankiewiczMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$1,00009-27-2013
Rodney M. WoodleyMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$13012-06-2013
Howard Rowen, Halsey SmithMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$3,00004-09-2014
Robert BennettMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$10809-23-2014
Kanwar Singh, Rajeev Rathi, Steve ColemanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$50010-10-2014
Heath McGallion, Christopher Davis, Stan Davis, Hugh HawkinsMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$39512-05-2014
Dale WatersMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$18512-12-2014
Michael Calvin, Guy ClaytonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$17502-13-2015
Robert J. Debbs, Frederick J. Shapiro, Steven F. Colamarino, Albert David Hutzler IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$50003-05-2015
Matt Yonally, Chris CompogiannisMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$30005-21-2015
Chad David, S.J. 'Jimbo' Robertson Jr., Chelsea SmithMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$35006-18-2015
Will Leven, Alora Anderson, Anthony Hoff, Ashlee KeglerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$1,30007-02-2015
Anthony Chevalier, Vance WhitbyMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.$19307-08-2015
David MunozMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.07-16-2015
Deborah Briskin, Chris Underhill, Brian BelakMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.10-15-2015
John B. Campanello, Peggy CappellettiMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc. Inc.04-04-2016
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Showing 1 to 25 of 32 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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