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
Michael Henry HaggertyUBS Financial Services Inc.Weston Securities Corporation04-01-2013
Martin McLaughlin Sr Martin McLaughlin JrUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$18009-07-2010
James Nathaniel ParkerUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$7509-02-2015
Christopher Michael SpahnUBS Financial Services Inc.Wells Fargo Clearing Services, LLC03-23-2012
Martin Paul McLaughlinUBS Financial Services Inc.Wells Fargo Clearing Services, LLC08-26-2010
John Anthony SommoUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10005-08-2009
John Joseph Kubica JrUBS Financial Services Inc.Wells Fargo Clearing Services, LLC04-29-2009
Robert Joseph LenihanUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-08-2009
Jane P PageUBS Financial Services Inc.Wells Fargo Advisors Financial Network, LLC08-16-2013
Loretta Lang FinckUBS Financial Services Inc.Summit Securities Group LLC$10009-20-2010
Martin M MaffeiUBS Financial Services Inc.Strategic Advisers LLC02-23-2018
Glenn Albert HamlerUBS Financial Services Inc.Stifel, Nicolaus & Company, Incorporated$5009-30-2010
Patrick Francis DuffUBS Financial Services Inc.RBC Capital Markets, LLC$17010-09-2015
James Aubrey CrawfordUBS Financial Services Inc.Raymond James Financial Services, Inc.$12003-30-2015
Stephen Crathorne CollinsUBS Financial Services Inc.Raymond James & Associates, Inc.07-31-2020
David Bunim RosenthalUBS Financial Services Inc.Raymond James & Associates, Inc.$15007-31-2020
Matthew E StendardiUBS Financial Services Inc.Paychex Securities Corporation12-19-2018
Hilda A StreitzUBS Financial Services Inc.Oppenheimer & Co. Inc.$15005-29-2018
Daniel R Adams JrUBS Financial Services Inc.Natixis Distribution, L.P.12-04-2018
Kristin Elizabeth BloomUBS Financial Services Inc.Morgan Stanley & Co. LLC01-16-2009
Charles E McCoolUBS Financial Services Inc.Morgan Stanley & Co. LLC01-16-2009
Eric T KreuterUBS Financial Services Inc.Morgan Stanley & Co. LLC$10001-06-2009
Charles D DayUBS Financial Services Inc.Morgan Stanley$18109-24-2014
Sarah PetroneUBS Financial Services Inc.Morgan Stanley10-12-2018
Victor PappollaUBS Financial Services Inc.Morgan Stanley02-14-2017
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Showing 1 to 25 of 71 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.