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.Recruiting Scoreboard (Q4 2019)
Recruiting Gains
Recruiting Losses
Net Gains
Latest moves
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| James Robert Wilson | UBS Financial Services Inc. | Morgan Stanley & Co. LLC | $150 | 01-02-2009 |
| Robert S. Prater Jr. | UBS Financial Services Inc. | Morgan Stanley & Co. LLC | $100 | 01-02-2009 |
| Michael Robert Sanders | UBS Financial Services Inc. | Morgan Stanley & Co. LLC | — | 01-02-2009 |
| Michael Wayne Borchers | UBS Financial Services Inc. | Citigroup Global Markets Inc. | $150 | 01-22-2009 |
| Richard Steven Dubow | UBS Financial Services Inc. | Citigroup Global Markets Inc. | $150 | 01-22-2009 |
| James Casey Jones | UBS Financial Services Inc. | Citigroup Global Markets Inc. | $50 | 01-22-2009 |
| David Langley Higgins | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 01-22-2009 |
| William H. Pahl Jr. | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 01-22-2009 |
| Jefferson David Pace II | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 01-22-2009 |
| Christine Anne Lizaso | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 01-22-2009 |
| Scott Charles Serafin | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 01-22-2009 |
| Edward Upchurch Miller | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $25 | 02-02-2009 |
| Stuart James Marsden | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | — | 02-03-2009 |
| Richard Eldon Hamrick, Mark Irving Spiegel, Angela Tello Calvin | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 02-20-2009 |
| Richard Paul Grodzicki | UBS Financial Services Inc. | Citigroup Global Markets Inc. | $150 | 02-27-2009 |
| David Bruce Kusiel, Jeffrey Aaron Lapp | UBS Financial Services Inc. | Morgan Stanley & Co. LLC | $100 | 02-27-2009 |
| Nigel M Fleming | UBS Financial Services Inc. | Morgan Stanley & Co. LLC | $50 | 03-06-2009 |
| Gregory Keith Lowery | UBS Financial Services Inc. | Barclays Capital Inc. | — | 03-06-2009 |
| Alan Marshall Smith, Christopher Alan Smith | UBS Financial Services Inc. | Morgan Stanley & Co. LLC | $100 | 04-17-2009 |
| Otis Miles Pollard III | UBS Financial Services Inc. | Credit Suisse Securities (USA) LLC | $50 | 05-08-2009 |
| Howard Wilson Glasgow III | UBS Financial Services Inc. | Credit Suisse Securities (USA) LLC | — | 05-08-2009 |
| Scott Carlton Olsen | UBS Financial Services Inc. | Deutsche Bank Securities Inc. | — | 05-22-2009 |
| Raymond Eugene Vuicich Jr. | UBS Financial Services Inc. | Deutsche Bank Securities Inc. | — | 05-22-2009 |
| Lawrence Ferber Buckley | UBS Financial Services Inc. | Deutsche Bank Securities Inc. | — | 05-22-2009 |
| John Lamar Coleman, Elaine Fitzgerald | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $50 | 02-22-2010 |
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.
