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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Javier FerreiraWells Fargo Clearing Services, LLCUBS Financial Services Inc.03-15-2016
Marizel Valdivia SchiavettiAegis Capital Corp.UBS Financial Services Inc.03-04-2016
Linda Ann MelcerShearson Financial Services, LLCUBS Financial Services Inc.$5003-02-2016
Perry Alexander SwitzerThe Jeffrey Matthews Financial Group, L.L.C.UBS Financial Services Inc.$10003-02-2016
Ricardo J. Harten WollWells Fargo Clearing Services, LLCUBS Financial Services Inc.03-01-2016
Michael Francis RomagnoloMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.02-19-2016
Alexander J. KeimRaymond James & Associates, Inc.UBS Financial Services Inc.02-12-2016
Robert Charles BurnsMorgan StanleyUBS Financial Services Inc.$1001-15-2016
Janice Weitz KleinMorgan StanleyUBS Financial Services Inc.$10001-15-2016
Lauren Marie SalasMorgan StanleyUBS Financial Services Inc.01-15-2016
Howard Steven WalzerBB&T Securities, LLCUBS Financial Services Inc.12-18-2015
Michelle Ann DavisWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10012-10-2015
Eva Alison ZeffMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5011-16-2015
Howard LeonNational Securities CorporationUBS Financial Services Inc.10-30-2015
Jeffrey Sarver Ritch Jr.E*TRADE Securities LLCUBS Financial Services Inc.10-23-2015
Ricardo F. GuimaraesWells Fargo Clearing Services, LLCUBS Financial Services Inc.10-13-2015
Armando E. RodriguezWells Fargo Clearing Services, LLCUBS Financial Services Inc.10-13-2015
Gustavo Nicolas CubasWells Fargo Clearing Services, LLCUBS Financial Services Inc.09-22-2015
Ignacio Javier HawleyMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5009-03-2015
Judith I. PantojaMorgan StanleyUBS Financial Services Inc.$5009-03-2015
Juan Pablo BriatoreMorgan StanleyUBS Financial Services Inc.09-03-2015
Gustavo Ariel DardikMorgan StanleyUBS Financial Services Inc.09-03-2015
Cristian N. GamarraMorgan StanleyUBS Financial Services Inc.09-03-2015
Manuel M. MendezMorgan StanleyUBS Financial Services Inc.09-03-2015
Clark David SmithSunTrust Investment Services, Inc.UBS Financial Services Inc.08-28-2015
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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.