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
Ryan Michael De La TorreAllstate Financial Services, LLCUBS Financial Services Inc.08-05-2010
James Scott CaveAllstate Financial Services, LLCUBS Financial Services Inc.07-29-2009
Peng Ken YapAlpine Wealth Management LLCUBS Financial Services Inc.02-05-2009
Kristofer Michael GustafsonAmeriprise Advisor Services, Inc.UBS Financial Services Inc.03-06-2009
Stephen Michael Gilbreth Jr.Ameriprise Advisor Services, Inc.UBS Financial Services Inc.03-06-2009
Chris Richard LeonhardAmeriprise Financial Services, Inc.UBS Financial Services Inc.$5001-18-2019
George Allen Yackey Jr.Ameriprise Financial Services, Inc.UBS Financial Services Inc.07-06-2018
Sean Patrick DonnellyAmeriprise Financial Services, Inc.UBS Financial Services Inc.$7510-03-2014
Louis Philip AshamallahAmeriprise Financial Services, Inc.UBS Financial Services Inc.08-01-2014
Julie C. LinAmeriprise Financial Services, Inc.UBS Financial Services Inc.10-25-2013
Gary Paul KelmanAmeriprise Financial Services, Inc.UBS Financial Services Inc.$1,00009-27-2013
Theodore Robert FisherAmeriprise Financial Services, Inc.UBS Financial Services Inc.02-12-2013
Mark John TaylorAmeriprise Financial Services, Inc.UBS Financial Services Inc.11-14-2012
Paul Robert FeigerAmeriprise Financial Services, Inc.UBS Financial Services Inc.04-05-2012
Richard King RosenfeldAmeriprise Financial Services, Inc.UBS Financial Services Inc.$26501-06-2012
Charles Lex ShoemakerAmeriprise Financial Services, Inc.UBS Financial Services Inc.11-04-2010
Larry John SwansonAmeriprise Financial Services, Inc.UBS Financial Services Inc.$2506-03-2009
William Allan FarberAmeriprise Financial Services, Inc.UBS Financial Services Inc.$5005-22-2009
James Larry BrockmanAmeriprise Financial Services, Inc.UBS Financial Services Inc.05-12-2009
Dean Masami SuzukiAmeriprise Financial Services, Inc.UBS Financial Services Inc.$2505-01-2009
Revital AlonAmeriprise Financial Services, Inc.UBS Financial Services Inc.04-29-2009
Michael CrawfordArete Wealth Management, LLCUBS Financial Services Inc.$10011-09-2018
Mark Lee HayekBCG Securities, Inc.UBS Financial Services Inc.08-20-2009
Sheetal Shyam BagdeBuckingham Strategic WealthUBS Financial Services Inc.12-10-2014
David Matthew DietrichCetera Advisor Networks LLCUBS Financial Services Inc.06-23-2016
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Showing 1 to 25 of 501 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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