Advisers on the Move TEST

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
Robert Rotstan Jr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-02-2009
James Robert ValeUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2009
Douglas James MazzuccoUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-16-2009
Christopher Scott SutcliffUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-23-2009
Steven James HockingUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-23-2009
Tim John WoodallUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-28-2009
William Robert EagletonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-30-2009
John Hodson KerrUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-30-2009
Kathleen Agatha BurnsUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-30-2009
Mark Daniel MorganUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-30-2009
Lee Shin ChenUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-30-2009
Brett Rogers HendersonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-30-2009
Catherine Anne GerstUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-20-2009
Greg Robert SatzUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5002-20-2009
Russell Douglas EvansUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-20-2009
Nathaniel S. DownesUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-20-2009
Mary Joan CasselberryUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-20-2009
Eric H. TaslitzUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-20-2009
James Scott DuncansonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-20-2009
Christopher Fernando SotoUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-24-2009
Kevin Richard MartinUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-27-2009
Christopher Huy DoUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-06-2009
Gary Dean RothUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15003-13-2009
Jonathan Richard O'ConnellUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5005-01-2009
Rodrigo RamosUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5003-18-2010
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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.