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
Alan Michael RomeroUBS Financial Services Inc.CUSO Financial Services, L.P.$5008-25-2011
Amelia Krill GuidiUBS Financial Services Inc.Cetera Advisor Networks LLC10-04-2013
Andrew D. WickUBS Financial Services Inc.StillPoint Capital, LLC09-02-2014
Andrew Michael KauthUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15004-21-2011
Anita Morris PolnerUBS Financial Services Inc.Morgan Stanley10-13-2011
Arthur Terry PolnerUBS Financial Services Inc.Morgan Stanley10-13-2011
Barbara Ann BudnyUBS Financial Services Inc.LPL Financial LLC$10010-22-2013
Bert Pierpont Palmer IIUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-29-2009
Bonnie Michelle GibbsUBS Financial Services Inc.Morgan Stanley$5009-02-2011
Bradley Scott HarveyUBS Financial Services Inc.Citigroup Global Markets Inc.$5004-21-2009
Bradley Scott MillsUBS Financial Services Inc.Morgan Stanley05-05-2011
Brian C. ColvertUBS Financial Services Inc.Citigroup Global Markets Inc.$1004-21-2009
Brooke Dunlap BontzUBS Financial Services Inc.Waddell & Reed08-21-2020
Brooke Dunlap BontzUBS Financial Services Inc.Waddell & Reed08-21-2020
Brooke Dunlap BontzUBS Financial Services Inc.Waddell & Reed08-21-2020
Bryan Louis WhiteUBS Financial Services Inc.Wells Fargo Clearing Services, LLC08-05-2011
Bryan Scott JarmanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10004-24-2009
Charles Edward Prather IVUBS Financial Services Inc.CUSO Financial Services, L.P.$10008-25-2011
Chester Henry WangUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-07-2016
Craig Fenton FerrisUBS Financial Services Inc.Citigroup Global Markets Inc.04-13-2009
Cynthia Ann HansenUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-05-2010
Daniel I. BarotzUBS Financial Services Inc.Morgan Stanley$5008-26-2011
Daniel Richard KatzUBS Financial Services Inc.First Financial Equity Corporation09-21-2017
David Wayne WeinbenderUBS Financial Services Inc.Edward Jones$1008-27-2010
Dennis Michael DoughertyUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10008-05-2011
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Showing 1 to 25 of 104 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.