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

Filters

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Mary Talbott JohnsonUBS Financial Services Inc.Charles Schwab & Co., Inc.08-23-2019
Christine Ann GustafsonUBS Financial Services Inc.Charles Schwab & Co., Inc.02-01-2018
Chelsea Seville SmithUBS Financial Services Inc.Charles Schwab & Co., Inc.06-30-2017
Laquanta N. WhiteUBS Financial Services Inc.Charles Schwab & Co., Inc.10-13-2015
Dan Joseph SklarUBS Financial Services Inc.Charles Schwab & Co., Inc.02-10-2015
Kristyn Louanne VincentUBS Financial Services Inc.Charles Schwab & Co., Inc.02-27-2012
Michael A RatnerUBS Financial Services Inc.Charles Schwab & Co., Inc.$15004-11-2011
Le-Thuy Cao NguyenUBS Financial Services Inc.Charles Schwab & Co., Inc.03-31-2011
Robert Winthrop Mercer IIIUBS Financial Services Inc.Charles Schwab & Co., Inc.03-31-2011
Heather Ashley Brown FaircloughUBS Financial Services Inc.Charles Schwab & Co., Inc.02-04-2011
Matthew Alan TannerUBS Financial Services Inc.Charles Schwab & Co., Inc.$10009-21-2010
James Tyler BoonUBS Financial Services Inc.Charles Schwab & Co., Inc.05-14-2010
Joseph Sam BergamoUBS Financial Services Inc.Charles Schwab & Co., Inc.$23504-08-2009

Showing 1 to 13 of 13 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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