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
Craig William BeresinUBS Financial Services Inc.Precision Securities, LLC$5004-26-2016
Daisy A. FengUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-29-2016
Daniel E SharkeyUBS Financial Services Inc.Barclays Capital Inc.02-26-2015
Daniel George DichterUBS Financial Services Inc.Morgan Stanley06-21-2010
Daniel John McLoughlinUBS Financial Services Inc.Citigroup Global Markets Inc.05-12-2010
Daniel Sheldon SchwartzUBS Financial Services Inc.Morgan Stanley$10007-12-2012
Dante OrienteUBS Financial Services Inc.Lincoln Financial Distributors, Inc.07-16-2015
David Alan ShorrUBS Financial Services Inc.Morgan Stanley01-27-2012
David Dawson CrapserUBS Financial Services Inc.Morgan Stanley11-11-2013
David Emerson MarshallUBS Financial Services Inc.Morgan Stanley & Co. LLC$2502-23-2009
David Evan SternUBS Financial Services Inc.Revere Securities LLC04-28-2016
David Harold HollenbaughUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1,96001-19-2016
David John MattiaUBS Financial Services Inc.City National Securities, Inc.05-27-2011
David Joseph SchnallUBS Financial Services Inc.Morgan Stanley$5007-17-2014
David Louis Danby WarrenUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$21705-12-2016
David M. WardropUBS Financial Services Inc.J.P. Morgan Securities LLC06-15-2015
David Paul SobocinskiUBS Financial Services Inc.Morgan Stanley08-28-2015
David ShorrUBS Financial Services Inc.Morgan Stanley$35502-07-2012
David Sobocinski, Julian Frank, Marc Wong, Mark RemigioUBS Financial Services Inc.Morgan Stanley$95008-28-2015
David Tat Wai ChongUBS Financial Services Inc.Credit Suisse Securities (USA) LLC10-25-2012
David Winthrop MillsUBS Financial Services Inc.UBS Securities LLC11-16-2011
Debra Ann BushmanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5010-18-2010
Diego MoraUBS Financial Services Inc.Ubs International Inc.$2501-01-2010
Diego OleaUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-09-2015
Dimitrios Kosmo MichelisUBS Financial Services Inc.J.P. Morgan Securities LLC06-24-2011
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Showing 76 to 100 of 401 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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