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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Robert Kennedy TorringtonRaymond James & Associates, Inc.UBS Financial Services Inc.12-12-2014
Ana Margarita HerceItau International Securities Inc.UBS Financial Services Inc.12-11-2014
Gustavo Carlo NazarioRaymond James & Associates, Inc.UBS Financial Services Inc.11-26-2014
David Andres MayoDeutsche Bank Securities Inc.UBS Financial Services Inc.11-07-2014
Robert Bruce ElkinsWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5011-06-2014
Peter Vincent Allen Sr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.$10011-06-2014
Stanwood Chandler Sweetser Jr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.$10011-06-2014
William E Ward IIIAegis Capital Corp.UBS Financial Services Inc.$5010-31-2014
Shawn William HannaGWN Securities Inc.UBS Financial Services Inc.$2510-08-2014
Robert Steven BennettMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10009-23-2014
Mary AmatoStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$10008-15-2014
Steven KimJ.P. Morgan Securities LLCUBS Financial Services Inc.08-14-2014
Cory William YoungsMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.08-13-2014
James Lebaron Springer Jr.Stifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$10008-12-2014
Cleto Marcelino CardonaWells Fargo Clearing Services, LLCUBS Financial Services Inc.08-08-2014
Gregory Matthew PalmieriUSAA Financial Advisors, Inc.UBS Financial Services Inc.$10007-07-2014
Gary George VescioRaymond James & Associates, Inc.UBS Financial Services Inc.$5007-02-2014
Brandon A LevineRaymond James & Associates, Inc.UBS Financial Services Inc.07-02-2014
Eric Matthew ShippyJ.P. Morgan Securities LLCUBS Financial Services Inc.06-13-2014
Jose Raul RiveronCitigroup Global Markets Inc.UBS Financial Services Inc.$10005-02-2014
Robert Joseph Burke IIISunTrust Investment Services, Inc.UBS Financial Services Inc.$10005-01-2014
David BeharMorgan StanleyUBS Financial Services Inc.$15003-21-2014
Freddy Jose MartinezForem Investments LLCUBS Financial Services Inc.$1002-26-2014
Debbie Lynn TannerNorthwestern Mutual Investment Services, LLCUBS Financial Services Inc.01-29-2014
John Forbes ClarkThe Colony Group, LLCUBS Financial Services Inc.$15012-02-2013
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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.