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

Filters

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Blair Groh EgeUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-21-2019
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
Daniel George JabbourUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-21-2016
Brock William Van SelowUBS Financial Services Inc.Edward Jones07-21-2016
Jennifer W. Keller-SmithUBS Financial Services Inc.Convergent Wealth Advisors, LLC04-06-2016
Alexis Mcbath GeorgeUBS Financial Services Inc.Morgan Stanley12-16-2015
Mark D. GilbertUBS Financial Services Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)11-02-2015
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
Tara Juliette WardUBS Financial Services Inc.Morgan Stanley10-17-2013
Bryon Paul FusiniUBS Financial Services Inc.Morgan Stanley01-13-2012
James J PhelanUBS Financial Services Inc.Morgan Stanley08-16-2011
Erica Hicks LandskroenerUBS Financial Services Inc.Morgan Stanley08-05-2011
Anothep Anthony PhimmasoneUBS Financial Services Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)07-19-2011
Nicola Lee OneilUBS Financial Services Inc.BNP Paribas Investment Services, LLC04-08-2011
Gerald Louis FilsUBS Financial Services Inc.Morgan Stanley03-28-2011
John William Clark MillerUBS Financial Services Inc.Northwestern Mutual Investment Services, LLC12-13-2010
John Q PiperUBS Financial Services Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)04-19-2010
Raj Christian BhattacharyaUBS Financial Services Inc.Morgan Stanley & Co. LLC02-27-2009
Pamela Nichols HoweUBS Financial Services Inc.Morgan Stanley & Co. LLC02-12-2009
Paul Lawrence Fowler Jr.UBS Financial Services Inc.Morgan Stanley & Co. LLC02-11-2009
James Arthur KujawskiUBS Financial Services Inc.Morgan Stanley & Co. LLC02-06-2009
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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 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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