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
Howard Harbison DoanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-15-2014
Howard Joseph AshlockStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$19606-22-2018
Howard K WenMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$26403-31-2016
Howard Steven MeyersonLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10012-07-2018
Howard WenMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$17903-31-2016
Hsin-Yen Sunny NeilonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-02-2015
Hsiu WangNYLIFE Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated04-01-2013
Hsueh-Sheng Sheng SuUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-16-2016
Huiying ChengMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated11-27-2018
Hung Tuan SamWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-29-2016
Hyung Jin KimKLK Capital Management LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated04-25-2014
Ia Phan S. JonesWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1009-07-2016
Iain Whyte, Simon Holford, Bryan MuthPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$80005-18-2018
Imelda Liu YangUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15003-21-2016
Isaac Wing Hon ChanCetera Investment Services LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5004-17-2015
J. Michael MullenLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated08-21-2009
Jack Douglas BanningMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated01-05-2017
Jack Liang HsiaWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10012-18-2015
Jacob CooperUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-01-2016
Jacob NicholsJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-24-2019
Jacqueline DuranMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-30-2016
Jacques Joseph KalanjianTD Ameritrade Investment Management, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-19-2009
James Anthony DeakWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-15-2011
James Arthur SimpsonCUSO Financial Services, L.P.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-13-2009
James B. Axelson, Barry F. PorterUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$55010-29-2013
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Showing 326 to 350 of 918 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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