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
Adam Paul RogersUBS Financial Services Inc.Credit Suisse Securities (USA) LLC01-14-2016
Alexander Ross KennedyUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$15010-01-2015
Alexander Victor MartinelliUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$10011-18-2015
Allen Michael SussmanUBS Financial Services Inc.Morgan Stanley07-03-2013
Andrea B BevisUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-16-2015
Anthony White SchweizerUBS Financial Services Inc.Citigroup Global Markets Inc.$5003-16-2009
Barry Alan PedersonUBS Financial Services Inc.Barclays Capital Inc.$5008-13-2014
Barry Spafford KingstonUBS Financial Services Inc.Morgan Stanley$10001-12-2012
Barry Thomas Oneil IIIUBS Financial Services Inc.RBC Capital Markets, LLC07-20-2011
Bradd Lawrence CuppelsUBS Financial Services Inc.Morgan Stanley$10003-11-2011
Brandon Spaulding AffeldtUBS Financial Services Inc.Columbia Management Investment Distributors, Inc.01-22-2018
Brendon Clarke HutchinsUBS Financial Services Inc.St. Germain Securities, Inc.12-05-2013
Brennan Christopher CollinsUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-05-2017
Brian Harkness WellsUBS Financial Services Inc.Morgan Stanley$2501-17-2014
Carl Spiros Aloupis Jr.UBS Financial Services Inc.Fidelity Brokerage Services LLC01-24-2013
Christopher Champion SpellmanUBS Financial Services Inc.M&T Securities, Inc.04-17-2012
Christopher CotterUBS Financial Services Inc.State Street Global Advisors Funds Distributors, LLC12-09-2015
Christopher Leo HerlihyUBS Financial Services Inc.Credit Suisse Securities (USA) LLC01-05-2016
Christopher Robert KetchenUBS Financial Services Inc.Morgan Stanley10-18-2013
Claire Ann AdamsUBS Financial Services Inc.Morgan Stanley$5006-08-2012
Clifton Roy Spinney Jr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-17-2013
Craig Allen LewisUBS Financial Services Inc.Morgan Stanley$5002-15-2019
Daniel Francis MilesUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-30-2009
Daniel J. SmithUBS Financial Services Inc.Sanford C. Bernstein & Co., LLC02-20-2009
Daniel Jacob LewinUBS Financial Services Inc.Citigroup Global Markets Inc.$10003-27-2009
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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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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