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.Recruiting Scoreboard (Q4 2019)
Recruiting Gains
Recruiting Losses
Net Gains
Latest moves
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| Christopher Morgan Eckhardt | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $100 | 07-02-2019 |
| Michael Andrew Bates | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $1,000 | 05-24-2019 |
| Ronald Eugene Lohbeck | UBS Financial Services Inc. | Wells Fargo Clearing Services, LLC | $1,000 | 04-03-2019 |
| Dustin Craig Rief | UBS Financial Services Inc. | Mercer Global Advisors Inc. | $1,000 | 03-12-2019 |
| David Joseph Boland | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $50 | 09-01-2018 |
| Linda Marie Standen | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $1,000 | 08-31-2018 |
| Lisa Ann Kahululani Tadich | UBS Financial Services Inc. | Wells Fargo Clearing Services, LLC | — | 08-06-2018 |
| Robert Bradley Frederickson | UBS Financial Services Inc. | Wells Fargo Clearing Services, LLC | $1,000 | 02-14-2018 |
| Jeffrey Thomas Frederickson | UBS Financial Services Inc. | Wells Fargo Clearing Services, LLC | — | 02-14-2018 |
| Joseph Caselle | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $250 | 09-29-2017 |
| Thomas Melohn | UBS Financial Services Inc. | Morgan Stanley | $200 | 09-29-2017 |
| Thomas Hillis Melohn Jr. | UBS Financial Services Inc. | Morgan Stanley | $231 | 09-22-2017 |
| Lauren Olivia Ma | UBS Financial Services Inc. | Morgan Stanley | — | 09-22-2017 |
| Joseph Turner Caselle | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $100 | 08-04-2017 |
| Ryan Jonathan Baker | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | — | 08-04-2017 |
| Michael Miremadi, Christopher Heintz, Teresa Uzeta | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $200 | 05-05-2017 |
| Michael Masud Miremadi | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | — | 05-05-2017 |
| Christopher P Heintz | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | — | 05-05-2017 |
| Katherine Lynne Rathe | UBS Financial Services Inc. | Edward Jones | — | 10-27-2016 |
| Christopher S. Gee | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $100 | 10-26-2016 |
| Juliana Park | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $100 | 10-26-2016 |
| Hallie Brier Hart | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $50 | 10-26-2016 |
| Jay Dohrn Baumgardner III | UBS Financial Services Inc. | J.P. Morgan Securities LLC | — | 09-22-2016 |
| Jacob Cooper | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | — | 09-01-2016 |
| Travis Lee Smith | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $25 | 08-18-2016 |
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.
