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
Steven Michael ChmaraStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$5001-27-2011
James Patrick KirwanWells Fargo Clearing Services, LLCUBS Financial Services Inc.$15001-20-2011
Joanne Marie MeningerWells Fargo Clearing Services, LLCUBS Financial Services Inc.01-20-2011
Ian Craig GoldeyGoTo FinancialUBS Financial Services Inc.01-07-2011
David Alexander LautLPL Financial LLCUBS Financial Services Inc.01-03-2011
Doredda Marie GrossmanLPL Financial LLCUBS Financial Services Inc.11-12-2010
Susan Pi-Hsia Huang-CramerMorgan StanleyUBS Financial Services Inc.11-05-2010
Anna WuMorgan StanleyUBS Financial Services Inc.11-05-2010
Gary Vincent ArenaWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2510-29-2010
Michael Eugene DeggelmanHighTower Securities, LLCUBS Financial Services Inc.$10010-26-2010
Javier Gomez MalfavonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.10-14-2010
Dan Lee FloresMorgan StanleyUBS Financial Services Inc.$10010-01-2010
Juan Ignacio CabanasMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10009-29-2010
Howard Allen LeeMorgan StanleyUBS Financial Services Inc.$2509-10-2010
Terri Lee LaneMorgan StanleyUBS Financial Services Inc.09-10-2010
Kevin Andrew AguileraWestern International Securities, Inc.UBS Financial Services Inc.09-07-2010
Ken R CoburnWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2509-02-2010
Paul Roger GuggerMorgan StanleyUBS Financial Services Inc.$5008-27-2010
September Joy SarnoMorgan StanleyUBS Financial Services Inc.$15008-13-2010
Thomas Kenneth SutterMorgan StanleyUBS Financial Services Inc.08-13-2010
Ryan Michael De La TorreAllstate Financial Services, LLCUBS Financial Services Inc.08-05-2010
Haseong JooMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$2507-29-2010
Steven Ian KernMorgan StanleyUBS Financial Services Inc.$15007-22-2010
Jonathan James SchiffRaymond James Financial Services, Inc.UBS Financial Services Inc.$2507-02-2010
Toby Duane FernerWells Fargo Clearing Services, LLCUBS Financial Services Inc.06-15-2010
« Previous PageNext Page »

Showing 226 to 250 of 345 entries

Page 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14

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.


Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting It'll help us continue to serve you.

Yes, show me how to whitelist

Ad blocker detected. Please whitelist us or give premium a try.