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 |
|---|---|---|---|---|
| James Firth Dowley | Wells Fargo Clearing Services, LLC | UBS Financial Services Inc. | — | 06-19-2009 |
| Joshua William Cummins | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UBS Financial Services Inc. | $100 | 06-12-2009 |
| Larry John Swanson | Ameriprise Financial Services, Inc. | UBS Financial Services Inc. | $50 | 06-03-2009 |
| David James Trogan Jr. | Morgan Stanley | UBS Financial Services Inc. | $200 | 06-01-2009 |
| Alan Alfredo Flores | ClearView Investment Partners, LLC | UBS Financial Services Inc. | — | 05-28-2009 |
| Kenneth Gordon Hobbs | ClearView Investment Partners, LLC | UBS Financial Services Inc. | — | 05-22-2009 |
| Victoria Jiang Cacciamatta | Wells Fargo Clearing Services, LLC | UBS Financial Services Inc. | — | 05-22-2009 |
| William Allan Farber | Ameriprise Financial Services, Inc. | UBS Financial Services Inc. | — | 05-22-2009 |
| Larry Thomas Pino Jr. | LPL Financial LLC | UBS Financial Services Inc. | $50 | 05-21-2009 |
| George Howard Williams | Stifel, Nicolaus & Company, Incorporated | UBS Financial Services Inc. | — | 05-06-2009 |
| Lorraine Miranda Salinas | Wells Fargo Clearing Services, LLC | UBS Financial Services Inc. | — | 05-04-2009 |
| Dean Masami Suzuki | Ameriprise Financial Services, Inc. | UBS Financial Services Inc. | $100 | 05-01-2009 |
| Brad Kalas | LPL Financial LLC | UBS Financial Services Inc. | $50 | 05-01-2009 |
| Michael Daniel Baris | Wedbush Securities Inc. | UBS Financial Services Inc. | — | 05-01-2009 |
| Bruce Jay Lessinger | Oppenheimer & Co. Inc. | UBS Financial Services Inc. | $50 | 04-29-2009 |
| Revital Alon | Ameriprise Financial Services, Inc. | UBS Financial Services Inc. | — | 04-29-2009 |
| Sam Santo Bellestri | Raymond James Financial Services, Inc. | UBS Financial Services Inc. | — | 04-29-2009 |
| Janet Lee Simon | LPL Financial LLC | UBS Financial Services Inc. | $25 | 04-28-2009 |
| Bradley Lester Swain | Wedbush Securities Inc. | UBS Financial Services Inc. | $50 | 04-24-2009 |
| Charles Siu Lun Mok | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UBS Financial Services Inc. | $50 | 04-24-2009 |
| Tracey Marie Kenney-Bray | Wells Fargo Clearing Services, LLC | UBS Financial Services Inc. | $10 | 04-24-2009 |
| Joel Ginsburg | LPL Financial LLC | UBS Financial Services Inc. | $25 | 04-03-2009 |
| Stephen Eugene Benjestorf | Raymond James Financial Services, Inc. | UBS Financial Services Inc. | — | 04-03-2009 |
| Mark Matthew Martiak | First Allied Securities, Inc. | UBS Financial Services Inc. | — | 04-03-2009 |
| Paul Allen Matheson | Wedbush Securities Inc. | UBS Financial Services Inc. | — | 03-30-2009 |
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.
