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
Daniel Joe BaldwinMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
William Alan FraserMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Alan Michael WozniakWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00001-02-2009
Mark Carey BurnsLPL Financial LLCUBS Financial Services Inc.$5001-05-2009
Arthur Michael CordtsLPL Financial LLCUBS Financial Services Inc.$101-09-2009
Jason Edward SilvaWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00001-09-2009
Ralph Michaels SlocumRBC Capital Markets, LLCUBS Financial Services Inc.01-09-2009
David Paul LindstedtWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00001-14-2009
Frank Robinson Buchanan IVLPL Financial LLCUBS Financial Services Inc.$2501-15-2009
Rasik K ShahRaymond James Financial Services, Inc.UBS Financial Services Inc.$2501-23-2009
Rhonda Jean FinbyWells Fargo Clearing Services, LLCUBS Financial Services Inc.$15001-29-2009
James Hollis BrandtCitigroup Global Markets Inc.UBS Financial Services Inc.02-01-2009
Max David LileMorgan Stanley & Co. LLCUBS Financial Services Inc.02-01-2009
Sean Anthony RichardsonMorgan Stanley & Co. LLCUBS Financial Services Inc.02-01-2009
Peng Ken YapAlpine Wealth Management LLCUBS Financial Services Inc.02-05-2009
Ayman Noureddeen KahaleWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2502-06-2009
David Christopher MartinenkoWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00002-13-2009
Gilbert P CastilloWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00002-13-2009
David W AxelsonWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1102-17-2009
James Wallace DicoccoH&R Block Financial Advisors, Inc.UBS Financial Services Inc.02-20-2009
Amir NavabMorgan Stanley & Co. LLCUBS Financial Services Inc.03-01-2009
Andrew Troy DavisCitigroup Global Markets Inc.UBS Financial Services Inc.03-01-2009
Bradley Alexander FinniganMorgan Stanley & Co. LLCUBS Financial Services Inc.03-01-2009
Brent A JacobsCitigroup Global Markets Inc.UBS Financial Services Inc.03-01-2009
Daniel Alexander YoungMorgan Stanley & Co. LLCUBS Financial Services Inc.03-01-2009
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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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