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
Andrew Malcolm YaleAmeriprise Financial Services, Inc.UBS Financial Services Inc.10-06-2009
Jeffrey Paul BadamoAmeriprise Financial Services, Inc.UBS Financial Services Inc.09-25-2009
Bruce Randy SearingMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$12308-25-2009
Jose Xavier RiveraEdward JonesUBS Financial Services Inc.08-24-2009
James Christian PetersonJ.P. Morgan Securities LLCUBS Financial Services Inc.08-10-2009
Douglas G AdamsMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-09-2009
Brian Lucas BaughmanEdward JonesUBS Financial Services Inc.$2507-06-2009
Jacob Anthony KozmicMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-02-2009
Jesus RomeroMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$15007-02-2009
Michael Edward Hernandez RussellSummit Brokerage Services, Inc.UBS Financial Services Inc.06-25-2009
Chad Nickolas LosonFifth Third Securities, Inc.UBS Financial Services Inc.06-22-2009
Fred Philip SteinmarkSecurities America, Inc.UBS Financial Services Inc.06-18-2009
Peter P JargowskyNewbridge Securities CorporationUBS Financial Services Inc.06-11-2009
Scott S. NotowitzMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.06-10-2009
Stephen Christopher MeikleInternational Assets Advisory, LLCUBS Financial Services Inc.06-08-2009
John Ward Harrison IIISummit Brokerage Services, Inc.UBS Financial Services Inc.$5006-04-2009
Keith Michael KunzigAmeriprise Financial Services, Inc.UBS Financial Services Inc.06-03-2009
Tyson Frederick MartinMorgan Keegan & Company, Inc.UBS Financial Services Inc.05-11-2009
Neal Evan LeschelWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00005-07-2009
Aaron P WhiteMorgan Stanley & Co. LLCUBS Financial Services Inc.05-01-2009
Henry R GrinbergCitigroup Global Markets Inc.UBS Financial Services Inc.05-01-2009
Joseph Philip RakowskiMorgan Stanley & Co. LLCUBS Financial Services Inc.05-01-2009
Leonard Ian KatzMorgan Stanley & Co. LLCUBS Financial Services Inc.05-01-2009
Darrin James MarkeyLPL Financial LLCUBS Financial Services Inc.$104-30-2009
Stephen Alan JaffeWells Fargo Clearing Services, LLCUBS Financial Services Inc.04-30-2009
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Showing 226 to 250 of 291 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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