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

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Peter Xavier ProphitUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$20001-09-2009
Steven WestermanUBS Financial Services Inc.Credit Suisse Securities (USA) LLC01-16-2009
John Ramsdell Lucas Jr.UBS Financial Services Inc.Credit Suisse Securities (USA) LLC$5001-20-2009
Siri Ohara BergUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$15003-04-2009
Donald Lee Trabert, Joseph Ricci AsianoUBS Financial Services Inc.Credit Suisse Securities (USA) LLC03-18-2009
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
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
Stephen F. AndresUBS Financial Services Inc.Credit Suisse Securities (USA) LLC01-07-2016
Norman Abraham EpsteinUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$5002-08-2016
Aaron Joel MendelsonUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$5004-04-2016

Showing 1 to 22 of 22 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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