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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
John William Ryan IIIMorgan Stanley & Co. LLCUBS Financial Services Inc.$10001-01-2009
Richard John JacobyCitigroup Global Markets Inc.UBS Financial Services Inc.$15001-01-2009
Hillel Montram JaffeMorgan Stanley & Co. LLCUBS Financial Services Inc.$15001-01-2009
William Harvey ConnerH&R Block Financial Advisors, Inc.UBS Financial Services Inc.$10001-26-2009
Earl David Wheway Jr.Morgan Stanley & Co. LLCUBS Financial Services Inc.$15002-01-2009
Robert Anthony PanzaMorgan Stanley & Co. LLCUBS Financial Services Inc.$20002-01-2009
Nathaniel Warren FooteMorgan Stanley & Co. LLCUBS Financial Services Inc.02-01-2009
Ernest A Greywacz IIIOppenheimer & Co. Inc.UBS Financial Services Inc.$10002-27-2009
J Powers ShepardMorgan Stanley & Co. LLCUBS Financial Services Inc.$10003-01-2009
Michael John Weiss Sr.Morgan Stanley & Co. LLCUBS Financial Services Inc.03-01-2009
Mark ReitmanMorgan Stanley & Co. LLCUBS Financial Services Inc.03-01-2009
Theodore Martin DegrootLPL Financial LLCUBS Financial Services Inc.$25004-02-2009
James Francis ComerfordOppenheimer & Co. Inc.UBS Financial Services Inc.$50004-06-2009
Susan K. BarlowStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$15004-20-2009
Robert Charles LavinDeutsche Bank Securities Inc.UBS Financial Services Inc.05-01-2009
Claudia Rose LarocqueWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)UBS Financial Services Inc.$25005-06-2009
Mary Ann McguinnessInvestors Capital Corp.UBS Financial Services Inc.$15005-08-2009
Russell Paul KarpfAmeriprise Financial Services, Inc.UBS Financial Services Inc.$25007-02-2009
Jon M NarducciMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10007-17-2009
Peter John HaynesMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$50008-04-2009
Michael Thomas BirdAmerican Portfolios Financial Services, Inc.UBS Financial Services Inc.08-06-2009
Vincent Francis CondonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10008-19-2009
Brian Joseph BelloMorgan StanleyUBS Financial Services Inc.$25008-21-2009
Charles Frederick ThreshieMorgan StanleyUBS Financial Services Inc.$50008-21-2009
Christopher Brent MetcalfMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10010-09-2009
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Showing 1 to 25 of 118 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.

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