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
Dok Sang ChuaUBS Financial Services Inc.Ubs International Inc.01-01-2010
Dominick Stephen LovecchioUBS Financial Services Inc.Morgan Stanley$5004-02-2019
Dorothy DeCarloUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-20-2015
Douglas Steven GrahamUBS Financial Services Inc.Morgan Stanley$10008-15-2011
Edward Michael Foley Jr.UBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-14-2012
Elizabeth Smith CliffordUBS Financial Services Inc.PIMCO Investments LLC08-17-2015
Elkhadir ToubaliUBS Financial Services Inc.Ubs International Inc.01-01-2010
Enrique StieglitzUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-27-2015
Eric Andrew WittenbergUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-20-2015
Eric DelagarzaUBS Financial Services Inc.Morgan Stanley$15004-25-2013
Eric Philip BergerUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-03-2015
Eric SerfatyUBS Financial Services Inc.Ubs International Inc.01-01-2010
Ernest Alexander OsleUBS Financial Services Inc.Barclays Capital Inc.05-18-2015
Everett WeinbergerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15011-18-2011
Everson DasilvaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-16-2012
Fanny Hiufun ManUBS Financial Services Inc.Ubs International Inc.01-01-2010
Francisco Gabriel FolleUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-04-2016
Frank Coiro, Larry Glickstein, Brian FreyUBS Financial Services Inc.Morgan Stanley$40007-30-2015
Frank James Coiro Jr.UBS Financial Services Inc.Morgan Stanley$10007-30-2015
Frank Peter TortoriciUBS Financial Services Inc.Morgan Stanley$10009-21-2012
Frank SchiroUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-30-2011
Frederick John SpagnolaUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10004-23-2015
Gabriel A Caponetto Jr.UBS Financial Services Inc.Essex National Securities, LLC12-18-2013
Gabriel Jacob CoopermanUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-24-2015
Garrick Paolo MontenegroUBS Financial Services Inc.J.P. Morgan Securities LLC06-24-2011
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Showing 101 to 125 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 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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