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
Hsiao-Chuan ChangUBS Financial Services Inc.Purshe Kaplan Sterling Investments04-30-2020
Blair G. LappUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15011-21-2019
Leif V. SpringerUBS Financial Services Inc.Transamerica Capital, Inc.01-10-2018
Adriana SernaUBS Financial Services Inc.Morgan Stanley09-14-2017
Chad Evan LemkoUBS Financial Services Inc.Morgan Stanley05-04-2017
Jasmine Clarice IsrealUBS Financial Services Inc.TD Ameritrade Investment Management, LLC10-25-2016
Brock William Van SelowUBS Financial Services Inc.Edward Jones07-21-2016
Daniel George JabbourUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-21-2016
Alexis Mcbath GeorgeUBS Financial Services Inc.Morgan Stanley12-16-2015
Mark D. GilbertUBS Financial Services Inc.Wells Fargo Clearing Services, LLC11-02-2015
Joseph Martin PertaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-16-2015
Nicholas Christopher FieldUBS Financial Services Inc.Quest Capital Strategies, Inc.03-26-2014
John A. ArasUBS Financial Services Inc.Morgan Stanley$2501-15-2014
Tara J. WardUBS Financial Services Inc.Morgan Stanley10-17-2013
Douglas Rene LabossiereUBS Financial Services Inc.Morgan Stanley05-10-2013
Patricia K. Van KirkUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-14-2012
Adam Joseph BrinkleyUBS Financial Services Inc.Morgan Stanley$2511-23-2012
Bryon Paul FusiniUBS Financial Services Inc.Morgan Stanley01-13-2012
Richard Lee SteinUBS Financial Services Inc.Morgan Stanley$10001-13-2012
Anthony Christian ConnorUBS Financial Services Inc.Morgan Stanley$1001-13-2012
Thomas Clark ClearyUBS Financial Services Inc.Morgan Stanley12-02-2011
Jerry Dominic TrumanUBS Financial Services Inc.Morgan Stanley12-02-2011
James J PhelanUBS Financial Services Inc.Morgan Stanley08-16-2011
Frederick Joseph SchultzUBS Financial Services Inc.Morgan Stanley08-05-2011
David John AndreadisUBS Financial Services Inc.Morgan Stanley08-05-2011
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Showing 1 to 25 of 56 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.