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
Adrian CrespoUBS Financial Services Inc.Ubs International Inc.$2501-01-2010
Alexander Charles LadageUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2505-01-2009
Alexander Dowd ArmstrongUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-30-2015
Allen AbneyUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-02-2015
Amador Rodriguez Jr.UBS Financial Services Inc.Ubs International Inc.$15001-01-2010
Amanda L. EvansUBS Financial Services Inc.BB&T Investment Services, Inc.08-21-2015
Andrew Charles O'ConnellUBS Financial Services Inc.J.P. Morgan Securities LLC10-31-2013
Andrew Clifford WilliamsonUBS Financial Services Inc.Morgan Stanley$10006-22-2011
Andrew Patrick NooneUBS Financial Services Inc.Mercer Allied Company, L.P.07-09-2010
Andrew R. KnoxUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-29-2017
Antonio Correa PonceUBS Financial Services Inc.Ubs International Inc.01-01-2010
Bernard Mark PaulUBS Financial Services Inc.Citigroup Global Markets Inc.05-05-2009
Blake Pratz, Jo SimmonsUBS Financial Services Inc.Morgan Stanley$22312-01-2010
Bobby Joe FogleUBS Financial Services Inc.Citigroup Global Markets Inc.$10002-06-2009
Bradford Alex KleinUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-13-2012
Brandon R WilkUBS Financial Services Inc.MetLife Securities Inc.03-27-2014
Brant Christopher FergusonUBS Financial Services Inc.Citigroup Global Markets Inc.05-05-2009
Brian David FeldmanUBS Financial Services Inc.Mercer Allied Company, L.P.09-24-2010
Brian Richard DodsonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5002-12-2015
Bryan Lloyd CharlesUBS Financial Services Inc.Morgan Stanley05-10-2010
Byron Ralph BrooksUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-28-2015
Cari Ann SchulzUBS Financial Services Inc.Morgan Stanley$5010-13-2014
Carlo Eugenio ValerioUBS Financial Services Inc.Ubs International Inc.01-01-2010
Carlos Alberto LozanoUBS Financial Services Inc.Ubs International Inc.01-01-2010
Carol L. Mani JohnstonUBS Financial Services Inc.Morgan Stanley12-03-2013
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Showing 1 to 25 of 224 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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