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
Timothy Michael Pennise, Eric J. DahlUBS Financial Services Inc.AllianceBernstein L.P.09-25-2009
Hugh Francis Breslin, Philip Charles Allen Jr.UBS Financial Services Inc.Banc of America Investment Services, Inc.01-30-2009
Michael Robert FerconioUBS Financial Services Inc.Barclays Capital Inc.02-27-2009
Laquanta N. WhiteUBS Financial Services Inc.Charles Schwab & Co., Inc.10-13-2015
David Alan BoudreauUBS Financial Services Inc.Citigroup Global Markets Inc.$10005-08-2009
James Patrick O'ConnellUBS Financial Services Inc.Citigroup Global Markets Inc.05-08-2009
Mark Frederick ShultzUBS Financial Services Inc.Citigroup Global Markets Inc.$10004-23-2009
Jonathan Simpson TraubUBS Financial Services Inc.Citigroup Global Markets Inc.$5004-17-2009
Mary Elizabeth Herman, Alexis Farzan SaedUBS Financial Services Inc.Citigroup Global Markets Inc.04-17-2009
Frank Flaherty Quinn, Ethan Daniel HafnerUBS Financial Services Inc.Citigroup Global Markets Inc.$5002-13-2009
Adam Jeffrey FuellemanUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$15001-28-2019
William Knight Blanchard Jr.UBS Financial Services Inc.Credit Suisse Securities (USA) LLC04-07-2016
David Allan HirschUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$15003-11-2016
James C KellyUBS Financial Services Inc.Credit Suisse Securities (USA) LLC03-11-2016
Paul Gerard VandenheuvelUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$1,00002-16-2016
John Andrew CochraneUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-16-2015
Jeffrey Robert MosterUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-08-2015
Christopher R McCormickUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-08-2015
Matthew NorwoodUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-08-2015
Marcia Betsy PayneUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-19-2015
Mark Christopher HutchinsonUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$10011-03-2015
Mark C. HutchinsonUBS Financial Services Inc.Credit Suisse Wealth Services$20411-03-2015
William Frederick Thoms IVUBS Financial Services Inc.Jefferies LLC$15002-13-2009
James George TalbotUBS Financial Services Inc.Mercer Allied Company, L.P.10-21-2011
Rod Loewenthal, Kevin Kamholz, Betsy Mason, Justin McIntireUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$90011-03-2017
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Showing 1 to 25 of 72 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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