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.

Recruiting Scoreboard (Q4 2020)

Recruiting Gains

Firm Total Moves

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Recruiting Losses

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Net Gains

Firm Total Moves

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Net Losses

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Latest moves

Filters

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Howard R ShoreUBS Financial Services Inc.Oppenheimer & Co. Inc.12-13-2017
Kevin J WilsonUBS Financial Services Inc.Oppenheimer & Co. Inc.10-02-2015
Neil Roy RubinUBS Financial Services Inc.Oppenheimer & Co. Inc.06-18-2015
Alexandre Martins SantosUBS Financial Services Inc.Oppenheimer & Co. Inc.04-30-2015
Weipeng ZhongUBS Financial Services Inc.Oppenheimer & Co. Inc.05-13-2013
Michael Paddington NorrisUBS Financial Services Inc.Oppenheimer & Co. Inc.02-25-2011
Joel F EngelhardtUBS Financial Services Inc.Oppenheimer & Co. Inc.01-30-2009
Robert Douglas GastUBS Financial Services Inc.Oppenheimer & Co. Inc.01-20-2009
Taylor Rose WillhiteUBS Financial Services Inc.Oppenheimer & Co. Inc.01-16-2009
Greg Robert DayUBS Financial Services Inc.Oppenheimer & Co. Inc.$5001-22-2016
Eric B B SoosUBS Financial Services Inc.Oppenheimer & Co. Inc.$5006-11-2015
Steven Thomas HorkyUBS Financial Services Inc.Oppenheimer & Co. Inc.$5006-11-2015
Michael Sean MacdonaldUBS Financial Services Inc.Oppenheimer & Co. Inc.$5004-30-2015
Noah David RubinUBS Financial Services Inc.Oppenheimer & Co. Inc.$5004-30-2015
John Kyle MaysUBS Financial Services Inc.Oppenheimer & Co. Inc.$5011-14-2014
Monda Degan HannaUBS Financial Services Inc.Oppenheimer & Co. Inc.$5006-16-2011
Darrell Scott RosenthalUBS Financial Services Inc.Oppenheimer & Co. Inc.$5001-29-2009
Michael Allen BoberUBS Financial Services Inc.Oppenheimer & Co. Inc.$9804-30-2015
Carroll Edward Mullis IIUBS Financial Services Inc.Oppenheimer & Co. Inc.$10001-22-2016
Martin Edward NorciniUBS Financial Services Inc.Oppenheimer & Co. Inc.$10002-15-2013
Douglas Charles GastUBS Financial Services Inc.Oppenheimer & Co. Inc.$10001-20-2009
Hilda A StreitzUBS Financial Services Inc.Oppenheimer & Co. Inc.$15005-29-2018
Ryan EinigUBS Financial Services Inc.Oppenheimer & Co. Inc.$15011-15-2012
Jon Paul WillhiteUBS Financial Services Inc.Oppenheimer & Co. Inc.$15001-16-2009
Ettore D VentriceUBS Financial Services Inc.Oppenheimer & Co. Inc.$19804-30-2015

Showing 1 to 25 of 25 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.