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
Lawrence Alan FannUBS Financial Services Inc.RBC Capital Markets, LLC$2509-02-2016
Douglas Donaldson MoyerUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$2509-24-2015
Peter Yong ChoyUBS Financial Services Inc.Morgan Stanley$10007-16-2015
Michael Young ChoyUBS Financial Services Inc.Morgan Stanley07-16-2015
Susie Anne WongUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-20-2015
Blake Edward RorbachUBS Financial Services Inc.Morgan Stanley03-17-2015
Katrina Marie HanksUBS Financial Services Inc.Morgan Stanley$15005-02-2014
Kirk Martin JohnsonUBS Financial Services Inc.Morgan Stanley$10005-02-2014
Todd Richard WertUBS Financial Services Inc.Morgan Stanley$10004-04-2014
Sarah Catherine WhitmoreUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-31-2013
Steven Schultz, Scott MerrillUBS Financial Services Inc.Morgan Stanley$32004-03-2013
Scott Carl MerrillUBS Financial Services Inc.Morgan Stanley$10004-01-2013
Steven Lewellyn SchultzUBS Financial Services Inc.Morgan Stanley04-01-2013
James Neil BassettUBS Financial Services Inc.Wedbush Securities Inc.$2510-17-2012
Jason M. Ladner, Eric V. FranzUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-25-2012
Bishara A Bahbah, Asad Victor BahbahUBS Financial Services Inc.Morgan Stanley$2501-17-2012
Robert John LehnhardtUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-12-2012
Robert Larry BurnsUBS Financial Services Inc.Ameriprise Financial Services, Inc.$2511-16-2011
Jonathan Mayo MitchellUBS Financial Services Inc.Wells Fargo Clearing Services, LLC09-08-2011
Nicholas George AbdyUBS Financial Services Inc.Wells Fargo Clearing Services, LLC09-08-2011
Matthew Meyer, Christian StoutUBS Financial Services Inc.Morgan Stanley$13307-04-2011
Matthew Michael MeyerUBS Financial Services Inc.Morgan Stanley06-29-2011
Theresa Campbell ThorsonUBS Financial Services Inc.Morgan Stanley$2506-10-2011
Norman Robert LemusUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-14-2011
Anne Marie SpitzerUBS Financial Services Inc.Morgan Stanley09-16-2010
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Showing 1 to 25 of 29 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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