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
Jonathan James SchiffRaymond James Financial Services, Inc.UBS Financial Services Inc.$2507-02-2010
Toby Duane FernerWells Fargo Clearing Services, LLCUBS Financial Services Inc.06-15-2010
Nicole Natalie DickersonMorgan StanleyUBS Financial Services Inc.06-07-2010
Stan SklenarMorgan StanleyUBS Financial Services Inc.05-28-2010
Jeffrey Lloyd MischelWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5005-13-2010
Laura Ann SmithWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-10-2010
Brooke Justine SimmonsLPL Financial LLCUBS Financial Services Inc.04-27-2010
Anthony Duvall LeeWedbush Securities Inc.UBS Financial Services Inc.04-23-2010
Scott Kevin TroutMorgan StanleyUBS Financial Services Inc.$2504-16-2010
Matthew James SchaferRaymond James Financial Services, Inc.UBS Financial Services Inc.$15004-15-2010
Mary Elizabeth CollinsWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5004-08-2010
Carter Stanley HersheyOppenheimer & Co. Inc.UBS Financial Services Inc.03-25-2010
James Holmes Dugan Jr.Morgan StanleyUBS Financial Services Inc.$2503-19-2010
Katie Qingqing PanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.03-12-2010
William John MagetteWells Fargo Clearing Services, LLCUBS Financial Services Inc.$15002-26-2010
Jerrold Arthur Beyer Jr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.$10002-26-2010
Robert Henry RosenbergWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10002-26-2010
Judd Brian FrankWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5002-26-2010
Winfield James WesternWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5002-22-2010
Marshall David PearlmanWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10002-11-2010
Patrick Richard CindricWells Fargo Clearing Services, LLCUBS Financial Services Inc.02-11-2010
Joshua Adam LevineRBC Capital Markets, LLCUBS Financial Services Inc.01-13-2010
Mary Alice HansenfarisWells Fargo Clearing Services, LLCUBS Financial Services Inc.01-08-2010
Daryl Ray FarisWells Fargo Clearing Services, LLCUBS Financial Services Inc.01-08-2010
Shiela HingoraniMorgan StanleyUBS Financial Services Inc.01-08-2010
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Showing 251 to 275 of 347 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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