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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Peggy Ann KelleherNewbridge Securities CorporationUBS Financial Services Inc.04-29-2009
Robert Lawrence WaxmanAmeriprise Financial Services, Inc.UBS Financial Services Inc.04-29-2009
Larry Allen WildesRaymond James & Associates, Inc.UBS Financial Services Inc.$2504-27-2009
Andrew RaskinNewbridge Securities CorporationUBS Financial Services Inc.04-24-2009
Cherie Dale CohenMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-24-2009
Diana C TorreMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-24-2009
Ivan Orlando HernandezMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-24-2009
Michael Scott WagnerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-24-2009
Steven Alan WagnerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-24-2009
Emalyn Carla QuinbyMoors & Cabot, Inc.UBS Financial Services Inc.04-23-2009
Raymond Fredrick BourqueH&R Block Financial Advisors, Inc.UBS Financial Services Inc.04-23-2009
Rhonda Lynn McnielOppenheimer & Co. Inc.UBS Financial Services Inc.$10004-23-2009
Robert L ArroyoLPL Financial LLCUBS Financial Services Inc.04-23-2009
Chadwick Lynn HargisH&R Block Financial Advisors, Inc.UBS Financial Services Inc.04-17-2009
Jeffrey Joseph WinklerCitigroup Global Markets Inc.UBS Financial Services Inc.04-01-2009
Mark Mccoy BarberCitigroup Global Markets Inc.UBS Financial Services Inc.04-01-2009
Matthew Timothy ShaferCitigroup Global Markets Inc.UBS Financial Services Inc.04-01-2009
Thomas Francis NelsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5003-10-2009
John William ToggweilerMorgan Stanley & Co. IncorporatedUBS Financial Services Inc.03-01-2009
Steven Alan HawksMorgan Stanley & Co. IncorporatedUBS Financial Services Inc.03-01-2009
William John BarrettMorgan Stanley & Co. IncorporatedUBS Financial Services Inc.03-01-2009
Richard YavnerOppenheimer & Co. Inc.UBS Financial Services Inc.02-23-2009
Barbara Lynn MarshWells Fargo Clearing Services, LLCUBS Financial Services Inc.02-13-2009
Aldo Ceaser BusotCitigroup Global Markets Inc.UBS Financial Services Inc.02-01-2009
Florencio Otto BusotCitigroup Global Markets Inc.UBS Financial Services Inc.02-01-2009
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Showing 251 to 275 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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