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
Brett GoldsteinUBS Financial Services Inc.HSBC Securities (USA) Inc.01-02-2015
Charles D. DayUBS Financial Services Inc.Morgan Stanley$18109-24-2014
Charles Dara DayUBS Financial Services Inc.Morgan Stanley$2509-24-2014
Charles E McCoolUBS Financial Services Inc.Morgan Stanley & Co. LLC$15001-16-2009
Christopher Francis EckertUBS Financial Services Inc.Morgan Stanley$5010-17-2014
Christopher J Parker Jr.UBS Financial Services Inc.Morgan Stanley$10007-23-2010
Daniel Richard AdamsUBS Financial Services Inc.Morgan Stanley$5009-11-2013
Daniel Richard Adams Jr.UBS Financial Services Inc.Natixis Distribution, L.P.12-04-2018
David Keith Ellovich, Greg Fitzgerald MendozaUBS Financial Services Inc.Citigroup Global Markets Inc.$5004-24-2009
Dean Homer GauglerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10004-24-2009
Douglas John DomianUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-13-2012
Elma Lee MohanUBS Financial Services Inc.Janney Montgomery Scott LLC$10006-29-2012
Eric Andrew PetersonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1001-22-2009
Eric T KreuterUBS Financial Services Inc.Morgan Stanley & Co. LLC$10001-06-2009
Erwin Joseph RivenUBS Financial Services Inc.Citigroup Global Markets Inc.02-27-2009
Frank Joseph Lockwood Jr.UBS Financial Services Inc.Morgan Stanley$10008-18-2010
Garrett D HoferUBS Financial Services Inc.Morgan Stanley09-11-2013
Gerald Butler Dubey, Richard Anton Cyphers, Jared B DubeyUBS Financial Services Inc.Citigroup Global Markets Inc.$10004-02-2009
Glenn Albert HamlerUBS Financial Services Inc.Stifel, Nicolaus & Company, Incorporated$5009-30-2010
Gregory Dayton MillerUBS Financial Services Inc.AllianceBernstein L.P.01-29-2009
James Aubrey CrawfordUBS Financial Services Inc.Raymond James Financial Services, Inc.$10003-30-2015
James B DorneyUBS Financial Services Inc.Citigroup Global Markets Inc.03-27-2009
James Edgar IsemanUBS Financial Services Inc.Morgan Stanley$2503-09-2012
James Nathaniel ParkerUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10009-02-2015
Jane P. PageUBS Financial Services Inc.Wells Fargo Advisors Financial Network, LLC08-16-2013
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Showing 1 to 25 of 54 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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