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
Jeffrey Ian Appelstein, Justin Hill MonahanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1001-02-2009
David Reynolds AveryUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-05-2009
Joseph Coalter WilliamsUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-07-2009
Jason Sophocles SymondUBS Financial Services Inc.Citigroup Global Markets Inc.01-07-2009
Daniel Michael McLaughlinUBS Financial Services Inc.Citigroup Global Markets Inc.$2501-16-2009
Scott F NewtonUBS Financial Services Inc.RBC Capital Markets, LLC01-26-2009
James Andrew CalabreseUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-30-2009
William Stephen TagermanUBS Financial Services Inc.Morgan Stanley & Co. LLC$15001-30-2009
Daniel Francis MilesUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-30-2009
Jeffrey Grant AffeldtUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-30-2009
Frank Paul PanayotouUBS Financial Services Inc.AllianceBernstein L.P.02-20-2009
Daniel J. SmithUBS Financial Services Inc.Sanford C. Bernstein & Co., LLC02-20-2009
Mary Ellen KettUBS Financial Services Inc.Citigroup Global Markets Inc.$5002-26-2009
Robert James SalamyUBS Financial Services Inc.Citigroup Global Markets Inc.02-26-2009
James Wesley TaylorUBS Financial Services Inc.Citigroup Global Markets Inc.$2502-27-2009
Mark Anthony PaoneUBS Financial Services Inc.Citigroup Global Markets Inc.02-27-2009
Kirsten L IsmailUBS Financial Services Inc.Citigroup Global Markets Inc.02-27-2009
Robert James MosesianUBS Financial Services Inc.Citigroup Global Markets Inc.02-27-2009
Robert Joseph Callanan Jr.UBS Financial Services Inc.Citigroup Global Markets Inc.03-12-2009
Anthony White SchweizerUBS Financial Services Inc.Citigroup Global Markets Inc.$5003-16-2009
Timothy Michael FortuneUBS Financial Services Inc.Citigroup Global Markets Inc.03-25-2009
Daniel Jacob LewinUBS Financial Services Inc.Citigroup Global Markets Inc.$10003-27-2009
James W BuzgoUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-24-2009
John Joseph O'ConnorUBS Financial Services Inc.Barclays Capital Inc.$5006-28-2010
Michael Paul WinnUBS Financial Services Inc.Morgan Stanley09-01-2010
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Showing 1 to 25 of 92 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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