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
Brad Frederickson, Jeff FredericksonUBS Financial ServicesWells Fargo Advisors$40002-14-2018
Joseph CaselleUBS Financial ServicesBank of America Merrill Lynch$25009-29-2017
Thomas MelohnUBS Financial ServicesMorgan Stanley Wealth Management$20009-29-2017
Michael Miremadi, Christopher Heintz, Teresa UzetaUBS Financial ServicesBank of America Merrill Lynch$20005-05-2017
Rodney Haug, Oliver DudaUBS Financial ServicesMorgan Stanley Wealth Management$60006-10-2016
Gary Amaral UBS Financial ServicesBank of America Merrill Lynch$33005-08-2015
James E. HulburdUBS Financial ServicesBank of America Merrill Lynch$111-17-2014
Kaylyn A. MaherUBS Financial ServicesBank of America Merrill Lynch$12008-28-2014
Mark J. Grueninger, Benjamin C. SauerUBS Financial ServicesBank of America Merrill Lynch02-14-2014
Mark Binder, Craig Chiate, Glenn Oratz, Scott BrownUBS Financial ServicesBank of America Merrill Lynch$310-29-2013
Christopher S. Gaal, Jeffrey C. HamiltonUBS Financial ServicesBank of America Merrill Lynch$57510-29-2013
David MandelUBS Financial ServicesBank of America Merrill Lynch$17510-29-2013
James B. Axelson, Barry F. PorterUBS Financial ServicesBank of America Merrill Lynch$55010-29-2013
James E. Chiate, Anthony D. GuinaneUBS Financial ServicesBank of America Merrill Lynch$50010-29-2013
M. Scott HarriesUBS Financial ServicesBank of America Merrill Lynch$50010-29-2013
Larry SchnaidUBS Financial ServicesRBC Wealth Management03-08-2012
Baldwin, Naples, AssociatesUBS Financial ServicesBank of America Merrill Lynch$47001-27-2012
Shawn Shafer, James Forsyth, Steven MillerUBS Financial ServicesMorgan Stanley Wealth Management01-11-2012
Margaret Lech-LoubetUBS Financial ServicesBank of America Merrill Lynch$54208-04-2011
Michael Winn, David JamesUBS Financial ServicesOppenheimer$42105-17-2011
Henry WagnerUBS Financial ServicesSterne Agee$22404-27-2011
Brad Benter, Ken Abady, Steve DeMatteoUBS Financial ServicesMorgan Stanley Wealth Management04-26-2011
John Sullivan, Scott SorensonUBS Financial ServicesJefferies$15004-06-2011
Michael Monatlik, Leor TzourUBS Financial ServicesBank of America Merrill Lynch$18304-05-2011
Roger Stephens, Dan Rothenberg, Theodore FisherUBS Financial ServicesMorgan Stanley Wealth Management$211-09-2010
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Showing 1 to 25 of 26 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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