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 WernerMorgan StanleyUBS Financial Services Inc.04-04-2014
Gary Jay HandlerRaymond James & Associates, Inc.UBS Financial Services Inc.$20703-28-2014
Morris Nathan SymsonKestra Investment Services, LLCUBS Financial Services Inc.$10003-03-2014
Stanley Kalman KingOppenheimer & Co. Inc.UBS Financial Services Inc.$15002-05-2014
James Warren Friedlan IiiMorgan StanleyUBS Financial Services Inc.01-29-2014
Stephen Jae ShinMorgan StanleyUBS Financial Services Inc.01-28-2014
Melissa YueMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.01-21-2014
James Lawrence MillsMorgan StanleyUBS Financial Services Inc.01-03-2014
Christopher George VenutiMorgan StanleyUBS Financial Services Inc.01-03-2014
Bryan Nicholas MountainMorgan StanleyUBS Financial Services Inc.$5001-03-2014
Marc C RoggenkampMorgan StanleyUBS Financial Services Inc.$2501-03-2014
Rita J RothsteinMorgan StanleyUBS Financial Services Inc.$7001-02-2014
Julie C LinAmeriprise Financial Services, LLCUBS Financial Services Inc.10-25-2013
James Thomas CarterAmeriprise Financial Services, LLCUBS Financial Services Inc.10-25-2013
Gary Paul KelmanAmeriprise Financial Services, LLCUBS Financial Services Inc.$1,00009-27-2013
Dina J ArtztWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10009-26-2013
Paul William KinneyThe Kinney Group, LLCUBS Financial Services Inc.$15009-03-2013
Joanne Junko NishiyamaThe Kinney Group, LLCUBS Financial Services Inc.$1008-30-2013
Trevor Brent SchwartzRaymond James & Associates, Inc.UBS Financial Services Inc.$10008-16-2013
Anita Marie DaguilarOppenheimer & Co. Inc.UBS Financial Services Inc.$15007-15-2013
Ronald William TolleMorgan StanleyUBS Financial Services Inc.$10007-12-2013
Ryan Sean WintersMorgan StanleyUBS Financial Services Inc.06-26-2013
Theodore Samuel ColemanMorgan StanleyUBS Financial Services Inc.06-07-2013
John Gregory MarkoffMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-19-2013
Christopher John GalloHilltop Securities Inc.UBS Financial Services Inc.04-10-2013
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Showing 301 to 325 of 500 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.