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
Adrian Davis De MontluzinUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10007-29-2011
Adrienne FrankUBS Financial Services Inc.Morgan Stanley09-29-2010
Alax GittlerUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$15012-01-2015
Albert Richard LucciUBS Financial Services Inc.Morgan Stanley$10007-15-2011
Alberto LunaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-01-2011
Alberto RafulsUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15002-26-2016
Alejandro MalbranUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-17-2015
Alejandro Enrique WabnikUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-25-2013
Alex Gerardo HerreraUBS Financial Services Inc.HSBC Securities (USA) Inc.03-08-2012
Alex Lane HarriganUBS Financial Services Inc.EDI Financial, Inc.09-12-2014
Alfred Francis LoboUBS Financial Services Inc.Morgan Stanley$10010-16-2014
Alisa Bachana JaffeUBS Financial Services Inc.Morgan Stanley$110-09-2014
Allen M ShapiroUBS Financial Services Inc.Morgan Stanley02-12-2010
Ana Catalina SmalleyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-30-2012
Andres Felipe HerreraUBS Financial Services Inc.HSBC Securities (USA) Inc.03-25-2013
Andrew James PlumUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10009-30-2010
Andrew Michael MachataUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-26-2011
Anthony James MazzoUBS Financial Services Inc.Oppenheimer & Co. Inc.07-22-2011
Antonio Giorgetti Jr.UBS Financial Services Inc.Credit Suisse Securities (USA) LLC$11903-01-2016
Antonio Burke NavarroUBS Financial Services Inc.HSBC Securities (USA) Inc.07-24-2014
Arnold Ira CohenUBS Financial Services Inc.PNC Investments$10004-14-2016
Ashiqul IslamUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-28-2017
Barry Allen SchwartzUBS Financial Services Inc.AllianceBernstein L.P.$10006-12-2013
Benjamin B LaneUBS Financial Services Inc.Morgan Stanley$10005-07-2012
Benjamin Maxwell JaffeUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-25-2015
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Showing 1 to 25 of 309 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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