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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Virginia Kimiye KuwaharaStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$2509-05-2018
Paul Max SeiferleLega Z Advisory LLCUBS Financial Services Inc.09-04-2018
Deborah Lynn KeyWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10608-31-2018
Kirk BadiiRaymond James Financial Services, Inc.UBS Financial Services Inc.$15008-20-2018
Leonard KreutnerRBC Capital Markets, LLCUBS Financial Services Inc.08-16-2018
Patricia Mae FarrellRBC Capital Markets, LLCUBS Financial Services Inc.08-16-2018
Brian Christian DentRBC Capital Markets, LLCUBS Financial Services Inc.$10008-16-2018
Adam Seth KreutnerRBC Capital Markets, LLCUBS Financial Services Inc.08-16-2018
Mallory Lark BarnumFidelity Brokerage Services LLCUBS Financial Services Inc.07-12-2018
George Allen Yackey Jr.Ameriprise Financial Services, LLCUBS Financial Services Inc.07-06-2018
Louie Anthony Valdez Jr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.$5007-05-2018
Nicholas Austin SondgerothWells Fargo Clearing Services, LLCUBS Financial Services Inc.07-05-2018
Thomas Patrick KirwanWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10006-29-2018
Michael Brooks TownsendWells Fargo Clearing Services, LLCUBS Financial Services Inc.06-29-2018
Peter John WaterlooMorgan StanleyUBS Financial Services Inc.$10006-01-2018
Brett Rogers HendersonResources Investment AdvisorsUBS Financial Services Inc.$10005-30-2018
Michael Christopher RaissisOppenheimer & Co. Inc.UBS Financial Services Inc.05-17-2018
Natalie Michelle StaplesJ.P. Morgan Securities LLCUBS Financial Services Inc.$2505-15-2018
David P LacroixSecurities America, Inc.UBS Financial Services Inc.$15005-10-2018
Peter Richards De CastroRBC Capital Markets, LLCUBS Financial Services Inc.$15005-04-2018
Christopher Huy DoWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-04-2018
Paul Steven CohenRaymond James & Associates, Inc.UBS Financial Services Inc.$8604-06-2018
Susanna Kim BrackeWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10004-06-2018
Gary Jon SampsonWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5003-02-2018
Jay Bernard EricssonWells Fargo Clearing Services, LLCUBS Financial Services Inc.$9403-02-2018
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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.