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
John Gray MannUBS Financial Services Inc.Raymond James & Associates, Inc.$5010-16-2015
Kaitlyn Mcinnis CarlsonUBS Financial Services Inc.Putnam Retail Management Limited Partnership08-31-2015
Elmo Zornes IIIUBS Financial Services Inc.J.P. Morgan Securities LLC08-21-2015
Rachelle Lynn SneddonUBS Financial Services Inc.Morgan Stanley01-08-2015
Jeffrey Christopher C WhiteUBS Financial Services Inc.Edward Jones$2511-13-2014
Christine Montz AlphonsoUBS Financial Services Inc.Morgan Stanley06-05-2014
Nicholas Joseph Randazzo Jr.UBS Financial Services Inc.Morgan Stanley$5005-20-2014
William Andrew Wing IIUBS Financial Services Inc.RBC Capital Markets, LLC05-08-2014
Charles Hunter H RudolphUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-24-2014
Edgar Mason Rudolph IIUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10004-24-2014
John Cothran EllisUBS Financial Services Inc.MMC Securities LLC08-14-2013
Gene Luke Novak Jr.UBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10001-18-2013
Travis Ryan GodleyUBS Financial Services Inc.Edward Jones04-27-2012
Lacy Elise Foreman LabbeUBS Financial Services Inc.Edward Jones$103-30-2012
Kenneth Paul RabalaisUBS Financial Services Inc.Edward Jones$2501-19-2012
Kevin Allen CookUBS Financial Services Inc.Edward Jones$5011-17-2011
Hunter Numa CharbonnetUBS Financial Services Inc.Morgan Keegan & Company, Inc.$110-28-2011
Tyler Walsh McgeeUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-12-2011
Christopher Wesley ZinkUBS Financial Services Inc.Citigroup Global Markets Inc.$10004-01-2009
Richard Hayes Pipes Jr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$14302-20-2009
Oliver Morgan Hall Jr.UBS Financial Services Inc.Morgan Keegan & Company, Inc.$15002-10-2009
Dennis Terry FontenotUBS Financial Services Inc.Citigroup Global Markets Inc.$29801-30-2009
Diana Dalton StieffelUBS Financial Services Inc.Morgan Keegan & Company, Inc.$5101-12-2009

Showing 1 to 23 of 23 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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