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
Ned Joseph PascucciUBS Financial Services Inc.1st Discount Brokerage, Inc.09-30-2010
Michael Evan KahnUBS Financial Services Inc.A. R. Schmeidler & Co., Inc.10-09-2012
Michael GlombUBS Financial Services Inc.ADP Broker-Dealer, Inc.07-30-2012
Dean Robert LouckaUBS Financial Services Inc.AE Wealth Management, LLC07-28-2017
Stephen Michael LafataUBS Financial Services Inc.Alethea Capital Management, LLC12-18-2015
Marshall Harkless Dean IIIUBS Financial Services Inc.Alliance Affiliated Equities Corporation$1304-29-2016
Blair CannonUBS Financial Services Inc.AllianceBernstein L.P.07-29-2015
Paul Selby DolcimascoloUBS Financial Services Inc.AllianceBernstein L.P.$10007-15-2014
Pedro A. FernandezUBS Financial Services Inc.AllianceBernstein L.P.04-28-2014
Brian K. GrayUBS Financial Services Inc.AllianceBernstein L.P.04-08-2014
Barry Allen SchwartzUBS Financial Services Inc.AllianceBernstein L.P.06-12-2013
Christopher R. CoramUBS Financial Services Inc.AllianceBernstein L.P.03-04-2013
Moshe Ron BaninUBS Financial Services Inc.AllianceBernstein L.P.02-13-2013
Andrew Scott HalpernUBS Financial Services Inc.AllianceBernstein L.P.09-19-2012
Aaron Keith KnudsenUBS Financial Services Inc.AllianceBernstein L.P.06-02-2012
Judy Ann Fredrickson, Robert Sterling MetcalfUBS Financial Services Inc.AllianceBernstein L.P.04-10-2012
Henry W. JordanUBS Financial Services Inc.AllianceBernstein L.P.08-29-2011
Timothy Michael Pennise, Eric J. DahlUBS Financial Services Inc.AllianceBernstein L.P.09-25-2009
Kevin M. O'LearyUBS Financial Services Inc.AllianceBernstein L.P.02-27-2009
Frank Paul PanayotouUBS Financial Services Inc.AllianceBernstein L.P.02-20-2009
Adam C. GalaburdaUBS Financial Services Inc.AllianceBernstein L.P.02-06-2009
Gregory Dayton MillerUBS Financial Services Inc.AllianceBernstein L.P.01-29-2009
Carlos Julio ArangoUBS Financial Services Inc.Amerant Investments, Inc.08-10-2011
Maria Carolina CardenasUBS Financial Services Inc.Amerant Investments, Inc.10-04-2010
Daniel Patrick Gaertner Jr.UBS Financial Services Inc.American Century Investment Services Inc.01-08-2018
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Showing 1 to 25 of 2,626 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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