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
Robert Rotstan Jr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-02-2009
Don Persons WyseUBS Financial Services Inc.Deutsche Bank Securities Inc.$10001-02-2009
Richard Dennis NammUBS Financial Services Inc.Morgan Stanley & Co. LLC$5001-02-2009
David TrentUBS Financial Services Inc.Deutsche Bank Securities Inc.01-02-2009
John Joseph MoranUBS Financial Services Inc.Morgan Stanley & Co. LLC$2501-02-2009
Anthony Warren NyeUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10001-02-2009
Jesse Matrix AmarillasUBS Financial Services Inc.Deutsche Bank Securities Inc.01-02-2009
Rene W. HenriksenUBS Financial Services Inc.Deutsche Bank Securities Inc.01-02-2009
James Robert ValeUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2009
Xuemei WeiUBS Financial Services Inc.Deutsche Bank Securities Inc.01-02-2009
William Forbes McCollamUBS Financial Services Inc.Morgan Stanley & Co. LLC$1001-05-2009
Peter Xavier ProphitUBS Financial Services Inc.Credit Suisse Securities (USA) LLC01-09-2009
Jack David StonhausUBS Financial Services Inc.Morgan Stanley & Co. LLC$2501-16-2009
Leonard KreutnerUBS Financial Services Inc.Morgan Stanley & Co. LLC01-16-2009
Steven Harlen LevineUBS Financial Services Inc.Credit Suisse Securities (USA) LLC01-16-2009
Patricia Mae FarrellUBS Financial Services Inc.Morgan Stanley & Co. LLC01-16-2009
Marque V CohenUBS Financial Services Inc.Morgan Stanley & Co. LLC$5001-16-2009
Dru W ArgueUBS Financial Services Inc.Citigroup Global Markets Inc.$5001-16-2009
Douglas James MazzuccoUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-16-2009
Michael Edward HardyUBS Financial Services Inc.Morgan Stanley & Co. LLC$10001-16-2009
Carol Ann WilshireUBS Financial Services Inc.Citigroup Global Markets Inc.$5001-16-2009
Steven WestermanUBS Financial Services Inc.Credit Suisse Securities (USA) LLC01-16-2009
Adam Seth KreutnerUBS Financial Services Inc.Morgan Stanley & Co. Incorporated01-16-2009
John Ramsdell Lucas Jr.UBS Financial Services Inc.Credit Suisse Securities (USA) LLC01-20-2009
Pamela A. BlazickUBS Financial Services Inc.UBS Financial Services Inc.01-20-2009
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Showing 1 to 25 of 553 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.