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
James Firth DowleyWells Fargo Clearing Services, LLCUBS Financial Services Inc.06-19-2009
Joshua William CumminsMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10006-12-2009
Larry John SwansonAmeriprise Financial Services, Inc.UBS Financial Services Inc.$5006-03-2009
David James Trogan Jr.Morgan StanleyUBS Financial Services Inc.$20006-01-2009
Alan Alfredo FloresClearView Investment Partners, LLCUBS Financial Services Inc.05-28-2009
Kenneth Gordon HobbsClearView Investment Partners, LLCUBS Financial Services Inc.05-22-2009
Victoria Jiang CacciamattaWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-22-2009
William Allan FarberAmeriprise Financial Services, Inc.UBS Financial Services Inc.05-22-2009
Larry Thomas Pino Jr.LPL Financial LLCUBS Financial Services Inc.$5005-21-2009
George Howard WilliamsStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.05-06-2009
Lorraine Miranda SalinasWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-04-2009
Dean Masami SuzukiAmeriprise Financial Services, Inc.UBS Financial Services Inc.$10005-01-2009
Brad KalasLPL Financial LLCUBS Financial Services Inc.$5005-01-2009
Michael Daniel BarisWedbush Securities Inc.UBS Financial Services Inc.05-01-2009
Bruce Jay LessingerOppenheimer & Co. Inc.UBS Financial Services Inc.$5004-29-2009
Revital AlonAmeriprise Financial Services, Inc.UBS Financial Services Inc.04-29-2009
Sam Santo BellestriRaymond James Financial Services, Inc.UBS Financial Services Inc.04-29-2009
Janet Lee SimonLPL Financial LLCUBS Financial Services Inc.$2504-28-2009
Bradley Lester SwainWedbush Securities Inc.UBS Financial Services Inc.$5004-24-2009
Charles Siu Lun MokMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5004-24-2009
Tracey Marie Kenney-BrayWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1004-24-2009
Joel GinsburgLPL Financial LLCUBS Financial Services Inc.$2504-03-2009
Stephen Eugene BenjestorfRaymond James Financial Services, Inc.UBS Financial Services Inc.04-03-2009
Mark Matthew MartiakFirst Allied Securities, Inc.UBS Financial Services Inc.04-03-2009
Paul Allen MathesonWedbush Securities Inc.UBS Financial Services Inc.03-30-2009
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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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