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
Emilia Moreira DickeyMorgan StanleyUBS Financial Services Inc.$108-29-2011
Frank Xavier Olney Jr.Morgan StanleyUBS Financial Services Inc.$10008-26-2011
John Daniel Forgatch Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-15-2011
John Gerard BurnsMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10007-15-2011
Richard Joseph KrennMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-15-2011
Henry Arnold GriffinMorgan StanleyUBS Financial Services Inc.$15006-29-2011
John Francis Kennedy Jr.Raymond James & Associates, Inc.UBS Financial Services Inc.04-19-2011
John Robert KaddisRaymond James & Associates, Inc.UBS Financial Services Inc.$10004-19-2011
Jorge BenitezWells Fargo Clearing Services, LLCUBS Financial Services Inc.$104-01-2011
Thomas Newell CashLPL Financial LLCUBS Financial Services Inc.$103-31-2011
Pablo SernaWells Fargo Clearing Services, LLCUBS Financial Services Inc.03-24-2011
Lawrence William HallMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$20003-18-2011
Louis Anthony Tinoco Jr.Barclays Capital Inc.UBS Financial Services Inc.03-08-2011
Joel Richard FishkinMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$102-18-2011
Kevin James KingMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5002-18-2011
James Edward ThomsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.01-14-2011
Stephen L WatkinsMorgan StanleyUBS Financial Services Inc.12-16-2010
Matteo InvernizziMorgan StanleyUBS Financial Services Inc.$15011-05-2010
Joselito Miguel BalintonaSunTrust Investment Services, Inc.UBS Financial Services Inc.10-25-2010
Andrew Cy BanksWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5009-10-2010
James Claude BrittMorgan StanleyUBS Financial Services Inc.$15009-08-2010
Leslie Warren Hankinson IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.08-09-2010
Federico M BarretoMorgan StanleyUBS Financial Services Inc.$5008-04-2010
Julia Teresa MarinaMorgan StanleyUBS Financial Services Inc.07-20-2010
Daniel Patrick MaroneyWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10005-14-2010
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Showing 176 to 200 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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