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
Michael BorselloMorgan Stanley Wealth ManagementBank of America Merrill Lynch$13204-21-2017
Craig Yates, John DillonMorgan Stanley Wealth ManagementUBS Financial Services$21905-31-2016
Lei Sun, Zhigang ShenMorgan Stanley Wealth ManagementBank of America Merrill Lynch$19004-08-2016
Eric T. PressmanMorgan Stanley Wealth ManagementBank of America Merrill Lynch$7501-09-2015
Carolyn SandersonMorgan Stanley Wealth ManagementJPMorgan Chase & Co.$10009-15-2014
Albert Fox, Edward Penberthy, Joseph DehnMorgan Stanley Wealth ManagementBank of America Merrill Lynch$60003-20-2014
Robert Finan, Anthony LaFonteMorgan Stanley Wealth ManagementBank of America Merrill Lynch$40009-12-2013
Arthur A. LevineMorgan Stanley Wealth ManagementWells Fargo Advisors06-06-2013
Howard ShallcrossMorgan Stanley Wealth ManagementBarclays$8011-23-2012
Frank SeminaraMorgan Stanley Wealth ManagementUBS Financial Services$75005-10-2012
Rick Hughes, Harry Greenberg, Shawn Senior, Daniel SilverbergMorgan Stanley Wealth ManagementUBS Financial Services$80003-26-2012
John Alex, Jose Pietri, Thomas LaughlinMorgan Stanley Wealth ManagementBank of America Merrill Lynch$20011-22-2011
Nancy Bernstein, Greg RosenMorgan Stanley Wealth ManagementBank of America Merrill Lynch$15711-15-2011
Lawrence Durso, Kris FrazierMorgan Stanley Wealth ManagementWells Fargo Advisors$28009-26-2011
Rick CaiazzoMorgan Stanley Wealth ManagementUBS Financial Services$29011-29-2010
Art Martin, Wade Martin, John RizzoMorgan Stanley Wealth ManagementUBS Financial Services$35008-20-2010

Showing 1 to 16 of 16 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.

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