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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Alan Dixon BeuggPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$15001-22-2014
Anthony Paul SatrianoWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5010-02-2015
Barbara Jean GrantWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2505-03-2019
Bart Gene KramerCarpe Diem InvestingUBS Financial Services Inc.07-01-2009
Bradley Scott HarveyHighTower Securities, LLCUBS Financial Services Inc.$10004-21-2017
Brian C. ColvertBonfire Financial, LLCUBS Financial Services Inc.05-22-2017
Brian Patrick RorickStephen A. Kohn & Associates, Ltd.UBS Financial Services Inc.$10007-18-2011
Brian Patrick SullivanPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$5001-22-2014
Candace Lee AllenWells Fargo Clearing Services, LLCUBS Financial Services Inc.$15002-20-2009
Catherine ScheuberLPL Financial LLCUBS Financial Services Inc.05-14-2009
Christopher Patrick EissingerMorgan StanleyUBS Financial Services Inc.02-17-2012
Clifford Houston HickersonWells Fargo Clearing Services, LLCUBS Financial Services Inc.06-18-2010
Daniel Richard KatzCDKV Holdings LLCUBS Financial Services Inc.01-29-2019
Danielle Kathleen BerzLPL Financial LLCUBS Financial Services Inc.05-09-2013
Darwin Clair Campbell, Matthew Richard MatherlyMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-01-2009
David Fortner JonesRaymond James & Associates, Inc.UBS Financial Services Inc.$10001-30-2009
Douglas Allan BehnfieldMorgan StanleyUBS Financial Services Inc.06-07-2019
Edwin Eugene DoerffelWedbush Securities Inc.UBS Financial Services Inc.12-02-2009
Fermin John Padilla Jr.Cascade Investment Group, Inc.UBS Financial Services Inc.$5006-20-2019
Gary Bryan SmyMorgan StanleyUBS Financial Services Inc.11-03-2009
Gary Theodore PadussisCetera Advisors LLCUBS Financial Services Inc.$15004-12-2013
Herman Tiemens IIWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5005-11-2011
James Michael OlsonMorgan StanleyUBS Financial Services Inc.$10007-30-2010
Jay Paul SantangeloMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10009-24-2009
Jeffery KellyHighTower Securities, LLCUBS Financial Services Inc.$10002-16-2017
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Showing 1 to 25 of 67 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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