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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Carrie Adele VelascoWells Fargo Clearing Services, LLCUBS Financial Services Inc.11-27-2015
Tyler Joseph DurandWells Fargo Clearing Services, LLCUBS Financial Services Inc.11-27-2015
Donald Charles BlairWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$5011-23-2015
Sean Richard O'DonnellMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$2511-20-2015
Grant Takeshi PonderMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.11-20-2015
Mark Franklin MooreJ.P. Morgan Securities LLCUBS Financial Services Inc.11-17-2015
Luke DillonRaymond James & Associates, Inc.UBS Financial Services Inc.11-13-2015
Joshua David LewensohnMorgan StanleyUBS Financial Services Inc.11-13-2015
Seth Adam RadowRaymond James & Associates, Inc.UBS Financial Services Inc.$10011-12-2015
Christopher Fernando SotoWells Fargo Clearing Services, LLCUBS Financial Services Inc.11-05-2015
Ronald Wayne PhillisLaurel Wealth Advisors, Inc.UBS Financial Services Inc.$5010-27-2015
Doron KochaviWestern International Securities, Inc.UBS Financial Services Inc.$10010-19-2015
Curtis Lawrence RachWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$10010-08-2015
Jud Swaim CraryWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$5010-08-2015
Justin Arthur YipMorgan StanleyUBS Financial Services Inc.09-22-2015
John Dustin RaringFirst Republic Securities Company, LLCUBS Financial Services Inc.09-02-2015
Tim John WoodallFirst Republic Securities Company, LLCUBS Financial Services Inc.$10009-02-2015
Christopher Edward BradleyUBS Financial Services Inc.UBS Financial Services Inc.08-10-2015
Norman F. NgMorgan StanleyUBS Financial Services Inc.$15008-10-2015
Ramon Valdez Jr.Wells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$5008-07-2015
Ariana Anais MangumMiramontes Capital, LLCUBS Financial Services Inc.08-04-2015
Barry BayatJ.P. Morgan Securities LLCUBS Financial Services Inc.07-31-2015
Wing-Yin Emily KongMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-28-2015
Brendan J. LynchMorgan StanleyUBS Financial Services Inc.07-22-2015
Isidro Z. MiramontesDaniel Wealth AdvisorsUBS Financial Services Inc.07-20-2015
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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.