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
Byron Neal FoxRBC Capital Markets, LLCUBS Financial Services Inc.$28205-31-2019
Cynthia Lou PennerRBC Capital Markets, LLCUBS Financial Services Inc.$15005-31-2019
Jules Ronald FreemanAmeriprise Financial Services, Inc.UBS Financial Services Inc.$10005-31-2019
Craig Laurence WhittenStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.09-14-2018
Craig Edward JohnsonStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$10008-30-2018
Roger Wayne BurtonWells Fargo Clearing Services, LLCUBS Financial Services Inc.08-17-2018
Ruggero Enrico BorlettiMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$15011-30-2017
John Marc HebertKestra Investment Services, LLCUBS Financial Services Inc.$10011-29-2017
Brandon John HebertKestra Investment Services, LLCUBS Financial Services Inc.$2511-29-2017
J Fredrick MartinezRBC Capital Markets, LLCUBS Financial Services Inc.11-03-2017
Allen LangerRBC Capital Markets, LLCUBS Financial Services Inc.11-03-2017
William John Paynter Jr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.04-27-2017
Matthew Eric PadillaWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.10-17-2016
Kristopher Beau Scott SmithFirst Financial Equity CorporationUBS Financial Services Inc.$9106-01-2016
Bradley Scott MillsRaymond James & Associates, Inc.UBS Financial Services Inc.05-10-2016
Matthew Alfenso Gimmelli, Teri Twarkins KelleyMorgan StanleyUBS Financial Services Inc.01-06-2016
Daniel Harlan WelkerWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$5007-10-2015
Ted W. HawksWedbush Securities Inc.UBS Financial Services Inc.06-05-2015
Timothy Joseph DunneRBC Capital Markets, LLCUBS Financial Services Inc.05-08-2015
Timothy Christopher HughesWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-01-2015
Cindy Tam LienUSAA Financial Advisors, Inc.UBS Financial Services Inc.03-24-2015
Bradley James GrabowyJ.P. Morgan Securities LLCUBS Financial Services Inc.11-17-2014
Christian Randolph SnowdenSagePoint Financial, Inc.UBS Financial Services Inc.$1008-13-2014
Michael Duane GronlundStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$10004-29-2014
Mitchell Joseph SivertsonWells Fargo Clearing Services, LLCUBS Financial Services Inc.04-25-2014
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Showing 1 to 25 of 50 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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