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
Carl T NelsonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC09-22-2020
Lynn Devere HunterUBS Financial Services Inc.Morgan Stanley09-15-2020
Ayse OzkanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-11-2020
Sean Travis AnthonyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-11-2020
Henry Anthony HernandezUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5009-03-2020
Robert Magallanes JrUBS Financial Services Inc.Wells Fargo Clearing Services, LLC09-03-2020
Curtis R Eakin IIIUBS Financial Services Inc.Wells Fargo Clearing Services, LLC09-03-2020
Nicholas John HuntUBS Financial Services Inc.Ameriprise Financial Services, LLC08-21-2020
Arnoldo SantiagoUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15008-14-2020
Justin John FrameUBS Financial Services Inc.Morgan Stanley$14107-01-2020
Mark VanderburgUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-01-2020
Arnold Crisostomo TumbagaUBS Financial Services Inc.Morgan Stanley06-17-2020
Xiao Wen LuoUBS Financial Services Inc.Morgan Stanley04-23-2020
Joshua Corry BreedenUBS Financial Services Inc.Morgan Stanley$5003-23-2020
Jamie K BarronUBS Financial Services Inc.Morgan Stanley02-21-2020
Matthew Michael SimiUBS Financial Services Inc.Morgan Stanley$5002-21-2020
Gregory Scott SmithUBS Financial Services Inc.Morgan Stanley$10001-22-2020
Jennifer Marie SmithUBS Financial Services Inc.Morgan Stanley$2501-22-2020
Jason SchlesingerUBS Financial Services Inc.Robert W. Baird & Co. Incorporated$24001-17-2020
Jason Martin SchlesingerUBS Financial Services Inc.Robert W. Baird & Co. Incorporated01-17-2020
Jason Stephen CheuUBS Financial Services Inc.Robert W. Baird & Co. Incorporated$15001-17-2020
Christopher J HarrerUBS Financial Services Inc.Northern Trust Securities, Inc.12-16-2019
Sarin Scott PuriUBS Financial Services Inc.Equitable Advisors, LLC11-21-2019
Yu-Hsuan HsiehUBS Financial Services Inc.Morgan Stanley11-01-2019
Nicholas Ryan VillasenorUBS Financial Services Inc.Morgan Stanley$15010-11-2019
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Showing 1 to 25 of 406 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.