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.

Latest moves

Filters

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Daniel Richard KatzCDKV Holdings LLCUBS Financial Services Inc.01-29-2019
Joseph L. DuranQuestar Capital CorporationUBS Financial Services Inc.09-21-2018
Michael David BarthRobert W. Baird & Co. IncorporatedUBS Financial Services Inc.07-20-2018
Sandra Lynn ConroyMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$6806-20-2017
Brian C ColvertBonfire Financial, LLCUBS Financial Services Inc.05-22-2017
Thomas Einar GunnersenWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10005-05-2017
William Anthony MercerHighTower Securities, LLCUBS Financial Services Inc.$10005-05-2017
Bradley Scott HarveyHighTower Securities, LLCUBS Financial Services Inc.$10004-21-2017
Jeffery KellyHighTower Securities, LLCUBS Financial Services Inc.$10002-16-2017
Matthew Allen BurnettMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.01-18-2017
Rodney Brunnell SwearingenMorgan StanleyUBS Financial Services Inc.$110-11-2016
Randal John ComposantoLincoln Financial Advisors CorporationUBS Financial Services Inc.09-12-2016
To Hun PakMorgan StanleyUBS Financial Services Inc.07-21-2016
Scott Robert HollowayCambridge Investment Research, Inc.UBS Financial Services Inc.03-07-2016
Kelsey Ann OdeyWells Fargo Clearing Services, LLCUBS Financial Services Inc.10-30-2015
Anthony Paul SatrianoWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2510-02-2015
Mark Eldridge CrowThe Leaders Group, Inc.UBS Financial Services Inc.09-30-2015
Stephen Russell HansenJ.P. Morgan Securities LLCUBS Financial Services Inc.$5008-04-2015
Michael K WarneRBC Capital Markets, LLCUBS Financial Services Inc.$15007-08-2015
Alan Michael RomeroLPL Financial LLCUBS Financial Services Inc.06-01-2015
Brooke Ashley PackStrategic Advisers LLCUBS Financial Services Inc.02-13-2015
William Martin PierGood Life Advisors, LLCUBS Financial Services Inc.02-06-2015
Victoria V. ThompsonGood Life Advisors, LLCUBS Financial Services Inc.02-05-2015
Paul Edward Levy Jr.LPL Financial LLCUBS Financial Services Inc.$5002-04-2015
Charles Edward Prather IVLPL Financial LLCUBS Financial Services Inc.12-18-2014
Next Page »

Showing 1 to 25 of 87 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.

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