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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Ted Andrew ScharchUBS Financial Services Inc.Banc of America Investment Services, Inc.$15001-02-2009
David Mc QuadeUBS Financial Services Inc.Morgan Stanley & Co. LLC$15001-09-2009
Nancy Carol PowellUBS Financial Services Inc.Morgan Stanley & Co. LLC$15001-09-2009
Nicholas Alfred Maurillo Jr.UBS Financial Services Inc.Morgan Stanley & Co. LLC$10001-09-2009
John Owen RiggleUBS Financial Services Inc.Citigroup Global Markets Inc.$1001-09-2009
Bradford Wayne SmithyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-12-2009
Jerrey Alan ThurstonUBS Financial Services Inc.Morgan Stanley & Co. LLC01-15-2009
Peter E. Kelly Jr., James C. PerezUBS Financial Services Inc.Morgan Stanley & Co. LLC01-16-2009
Douglas Earl WilsonUBS Financial Services Inc.Citigroup Global Markets Inc.$10002-13-2009
Dwight Clyde WestUBS Financial Services Inc.Morgan Stanley & Co. LLC$10002-13-2009
Edwin Craig Lemasters, George Mitchell Schrenk IIIUBS Financial Services Inc.Citigroup Global Markets Inc.$5002-13-2009
Jason Aaron JohnsonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-13-2009
Christopher Scott SteelUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-13-2009
John Charles CastronuovoUBS Financial Services Inc.Ubs International Inc.02-26-2009
Thomas John Cleary, Robert Charles Whittington, David W. BurdenUBS Financial Services Inc.Morgan Stanley & Co. LLC$2502-27-2009
Eric Feil LubitzUBS Financial Services Inc.Morgan Stanley & Co. LLC$5003-09-2009
Sherrill Garrison Elrod Jr.UBS Financial Services Inc.Citigroup Global Markets Inc.03-27-2009
Faith Carol HarrisUBS Financial Services Inc.Citigroup Global Markets Inc.$5004-09-2009
Jeffrey S SchiffmanUBS Financial Services Inc.Banc of America Investment Services, Inc.$10004-24-2009
Peter Kakoyannis, Christopher George MorganUBS Financial Services Inc.Citigroup Global Markets Inc.04-30-2009
Russell Louis RothUBS Financial Services Inc.Citigroup Global Markets Inc.05-08-2009
Michael Steven LeeUBS Financial Services Inc.J.P. Morgan Securities LLC$10006-26-2009
Bruno Martins MirandaUBS Financial Services Inc.Ubs International Inc.$15001-01-2010
Richard A MaserUBS Financial Services Inc.Ubs International Inc.$15001-01-2010
Alberto Matias CohenUBS Financial Services Inc.Ubs International Inc.$15001-01-2010
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Showing 1 to 25 of 281 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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