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 |
|---|---|---|---|---|
| Greg Richard Werner | Morgan Stanley | UBS Financial Services Inc. | — | 04-04-2014 |
| Gary Jay Handler | Raymond James & Associates, Inc. | UBS Financial Services Inc. | $207 | 03-28-2014 |
| Morris Nathan Symson | Kestra Investment Services, LLC | UBS Financial Services Inc. | $100 | 03-03-2014 |
| Stanley Kalman King | Oppenheimer & Co. Inc. | UBS Financial Services Inc. | $150 | 02-05-2014 |
| James Warren Friedlan Iii | Morgan Stanley | UBS Financial Services Inc. | — | 01-29-2014 |
| Stephen Jae Shin | Morgan Stanley | UBS Financial Services Inc. | — | 01-28-2014 |
| Melissa Yue | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UBS Financial Services Inc. | — | 01-21-2014 |
| James Lawrence Mills | Morgan Stanley | UBS Financial Services Inc. | — | 01-03-2014 |
| Christopher George Venuti | Morgan Stanley | UBS Financial Services Inc. | — | 01-03-2014 |
| Bryan Nicholas Mountain | Morgan Stanley | UBS Financial Services Inc. | $50 | 01-03-2014 |
| Marc C Roggenkamp | Morgan Stanley | UBS Financial Services Inc. | $25 | 01-03-2014 |
| Rita J Rothstein | Morgan Stanley | UBS Financial Services Inc. | $70 | 01-02-2014 |
| Julie C Lin | Ameriprise Financial Services, LLC | UBS Financial Services Inc. | — | 10-25-2013 |
| James Thomas Carter | Ameriprise Financial Services, LLC | UBS Financial Services Inc. | — | 10-25-2013 |
| Gary Paul Kelman | Ameriprise Financial Services, LLC | UBS Financial Services Inc. | $1,000 | 09-27-2013 |
| Dina J Artzt | Wells Fargo Clearing Services, LLC | UBS Financial Services Inc. | $100 | 09-26-2013 |
| Paul William Kinney | The Kinney Group, LLC | UBS Financial Services Inc. | $150 | 09-03-2013 |
| Joanne Junko Nishiyama | The Kinney Group, LLC | UBS Financial Services Inc. | $10 | 08-30-2013 |
| Trevor Brent Schwartz | Raymond James & Associates, Inc. | UBS Financial Services Inc. | $100 | 08-16-2013 |
| Anita Marie Daguilar | Oppenheimer & Co. Inc. | UBS Financial Services Inc. | $150 | 07-15-2013 |
| Ronald William Tolle | Morgan Stanley | UBS Financial Services Inc. | $100 | 07-12-2013 |
| Ryan Sean Winters | Morgan Stanley | UBS Financial Services Inc. | — | 06-26-2013 |
| Theodore Samuel Coleman | Morgan Stanley | UBS Financial Services Inc. | — | 06-07-2013 |
| John Gregory Markoff | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UBS Financial Services Inc. | — | 04-19-2013 |
| Christopher John Gallo | Hilltop Securities Inc. | UBS Financial Services Inc. | — | 04-10-2013 |
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.
