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
Pamela Lee CarterUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-15-2011
Paul Adrian KromhoutUBS Financial Services Inc.Sterne, Agee & Leach, Inc.$20003-21-2011
Sanae A. Anne Garcia, Brian A. Augustine GarciaUBS Financial Services Inc.Morgan Stanley$10003-22-2011
John Lawrence Sullivan IIUBS Financial Services Inc.Jefferies LLC$10003-28-2011
Scott Craig SorensonUBS Financial Services Inc.Jefferies LLC$5003-28-2011
Leor TzourUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-30-2011
Michael MonatlikUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-30-2011
Michael Monatlik, Leor TzourUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$18304-05-2011
John Sullivan, Scott SorensonUBS Financial Services Inc.Jefferies$15004-06-2011
Henry Weinhard Wagner IIIUBS Financial Services Inc.Sterne, Agee & Leach, Inc.$15004-18-2011
Kenneth AbadyUBS Financial Services Inc.Morgan Stanley$15004-19-2011
Bradford Carter BenterUBS Financial Services Inc.Morgan Stanley$10004-19-2011
Steven M DematteoUBS Financial Services Inc.Morgan Stanley$1004-19-2011
Brad Benter, Ken Abady, Steve DeMatteoUBS Financial Services Inc.Morgan Stanley04-26-2011
Henry WagnerUBS Financial Services Inc.Sterne Agee$22404-27-2011
Susan Elizabeth DemingUBS Financial Services Inc.Sterne, Agee & Leach, Inc.$5004-27-2011
Christopher GeorgeUBS Financial Services Inc.Morgan Stanley$10004-28-2011
Frederick Francis Telarico Jr.UBS Financial Services Inc.Morgan Stanley04-29-2011
Stefan Wilford OgleveeUBS Financial Services Inc.Mercer Allied Company, L.P.05-12-2011
Michael Winn, David JamesUBS Financial Services Inc.Oppenheimer$42105-17-2011
Wolfgang Karl FrischUBS Financial Services Inc.Mercer Allied Company, L.P.05-19-2011
Irwin Hilton ShapiroUBS Financial Services Inc.RBC Capital Markets, LLC$5006-16-2011
Keith H. TranUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-22-2011
Alan S ToresUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5007-29-2011
Margaret Lech-LoubetUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$54208-04-2011
« Previous PageNext Page »

Showing 101 to 125 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.