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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Steven Charles ErdalPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$5004-28-2009
David Burch DreherPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.04-30-2009
Tom S BolingPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.04-30-2009
Alan Richard BattlesPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$5005-01-2009
Ethan SchneidPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$2510-09-2009
Venkat KrishnaswamyPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.10-09-2009
Randall James SmithPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$1012-23-2011
Samuel Mcmanus KieferPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$15002-17-2012
Todd Edward ArensPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$15007-26-2012
Nicholas Giovanni CunningtonPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.04-03-2013
Mitsuo Eli LockrowPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$10009-20-2013
Robert Alexander Leggett IIIPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$10001-06-2014
Alan Dixon BeuggPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$15001-22-2014
James Richard LynchPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$5005-23-2014
Joseph Conrad TrucanoPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.05-23-2014
Jerod GustafsonPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$10009-03-2014
Andrew William ArnoldPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$10001-23-2015
Matthew Charles HuntPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$5001-23-2015
David Michael GoarPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$1003-30-2015
David NealPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$15004-02-2015
Ray E. Dillon IVPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.04-02-2015
John D. JenkinsPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$10004-07-2015
Joseph Anthony La Ferla Jr.Purshe Kaplan Sterling InvestmentsUBS Financial Services Inc.05-15-2015
Regis R DillonPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$105-15-2015
Dewey Deane SteffenPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$5007-05-2016
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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.