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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Lisa Ann Kahululani TadichUBS Financial Services Inc.Wells Fargo Clearing Services, LLC08-06-2018
Jeffrey Thomas FredericksonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC02-14-2018
Lauren Olivia MaUBS Financial Services Inc.Morgan Stanley09-22-2017
Ryan Jonathan BakerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-04-2017
Michael Masud MiremadiUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-05-2017
Christopher P HeintzUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-05-2017
Katherine Lynne RatheUBS Financial Services Inc.Edward Jones10-27-2016
Jay Dohrn Baumgardner IIIUBS Financial Services Inc.J.P. Morgan Securities LLC09-22-2016
Jacob CooperUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-01-2016
Mark Andrew TunneyUBS Financial Services Inc.Bel Air Securities LLC07-18-2016
Oliver DudaUBS Financial Services Inc.Morgan Stanley06-10-2016
Marie Walsh PuterbaughUBS Financial Services Inc.City National Securities, Inc.05-18-2016
Benjamin Yinghang LamUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-21-2016
Magdalen YumUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-21-2016
Tina Meihong ChienUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-18-2016
Edward Brian MurphyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-18-2016
Echo M. ChenUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-17-2016
Julia Yi Julia WanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-14-2016
Francis Yiutung ChanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-11-2016
Robert Charles LevinUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-23-2016
Hsueh-Sheng Sheng SuUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-16-2016
Christopher Taylor GalloUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-04-2016
Stephen F. AndresUBS Financial Services Inc.Credit Suisse Securities (USA) LLC01-07-2016
Stephen Michael LafataUBS Financial Services Inc.Alethea Capital Management, LLC12-18-2015
Anthony Patrick BrookfieldUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-03-2015
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Showing 1 to 25 of 352 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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