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
Scott John HellandStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$5001-02-2009
Keith Joseph RyanStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.01-16-2009
Richard Elliot GrifflerStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.02-23-2009
Thomas James MaddenStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$5004-09-2009
Susan K BarlowStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.04-20-2009
Mary Schroeder GierszStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$2505-01-2009
George Howard WilliamsStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$10005-06-2009
Michael Raymond BeckerStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$15005-07-2009
Stanley Bruce FinkelbergStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$5005-11-2009
Phillip Roy CohlStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$15012-01-2010
Tawnee A HosickStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.12-01-2010
Steven Michael ChmaraStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$10001-27-2011
Stanton Konrad JonesStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.03-03-2011
Robert Pierre HollandStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.03-24-2011
Stanley Keith PriceStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.06-03-2011
Thomas Alan EisenstadtStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$10011-30-2011
Richard Henry ThomasStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.03-15-2012
Michael P Wallace Todd J BelfioreStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$17906-05-2013
Michael Peter WallaceStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.06-05-2013
Todd Joseph BelfioreStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$5006-05-2013
Philip William SloanStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$20009-30-2013
Stephen Lee CarterStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$10010-17-2013
Mark Allen HainerStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$5001-10-2014
Gilbert Jesus Riojas JrStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$5001-30-2014
Barre McLeod Butler Park B Smith Jr W Hampton Avant Lucinda ShieldsStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$54203-27-2014
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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.