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
Sarah Elaine ParenteauUBS Financial Services Inc.J.P. Morgan Securities LLC10-02-2015
Ryan Dennis DietzUBS Financial Services Inc.Wells Fargo Clearing Services, LLC10-30-2015
Hsin-Yen Sunny NeilonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-02-2015
Michael Parker Sherman Jr.UBS Financial Services Inc.Morgan Stanley$1011-06-2015
Eric Bruce MillerUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-16-2015
Jason Craig HollandUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-16-2015
Stewart Whitfield Bosley IIIUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-16-2015
Kevin Allen GauntUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-16-2015
Kurt Elliott MaierUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$15011-20-2015
Christopher Todd WagnerUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$15011-20-2015
Roger WackerUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-23-2015
Heinz JaeggiUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-23-2015
Stefan Felix LendiUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-23-2015
Juan Eugenio Gonzaga De La RamaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-24-2015
Yupan WenUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-24-2015
Jennifer HoUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15011-30-2015
Randall Guy ColomboUBS Financial Services Inc.RBC Capital Markets, LLC$15011-30-2015
Anthony Patrick BrookfieldUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-03-2015
Joanne Y. ZhongUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-03-2015
Alan Gregory ShankenUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$10012-04-2015
Christopher Maurice LaverUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$10012-04-2015
Geir FjugstadUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$2512-04-2015
Evan Fuwen LingUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5012-07-2015
Benjamin Jun-Wey LingUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2512-07-2015
Stephen Michael LafataUBS Financial Services Inc.Alethea Capital Management, LLC12-18-2015
« Previous PageNext Page »

Showing 276 to 300 of 352 entries

Page 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15

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.

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.