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
Aaron Michael PierceUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-17-2018
Adrienne FrankUBS Financial Services Inc.Morgan Stanley09-29-2010
Alax GittlerUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-01-2015
Albert Richard LucciUBS Financial Services Inc.Morgan Stanley$10007-15-2011
Alberto RafulsUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-26-2016
Alejandro Antonio Ayaviri CastilloUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-22-2017
Alejandro Enrique WabnikUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-25-2013
Alejandro GonzalezUBS Financial Services Inc.EFG Capital International11-13-2018
Alex Lane HarriganUBS Financial Services Inc.EDI Financial, Inc.09-12-2014
Alexandre Martins SantosUBS Financial Services Inc.Oppenheimer & Co. Inc.04-30-2015
Alfred Francis LoboUBS Financial Services Inc.Morgan Stanley$10010-16-2014
Alice Legan JohnsonUBS Financial Services Inc.American Century Brokerage, Inc.04-25-2012
Alisa Bachana JaffeUBS Financial Services Inc.Morgan Stanley10-09-2014
Allan Dean YarkinUBS Financial Services Inc.Morgan Stanley$1,80702-27-2013
Alvaro A MayorgaUBS Financial Services Inc.HSBC Securities (USA) Inc.10-13-2017
Anatoly IofeUBS Financial Services Inc.Northwestern Mutual Investment Services, LLC12-17-2018
Andrew James PlumUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-30-2010
Antonio Burke NavarroUBS Financial Services Inc.HSBC Securities (USA) Inc.07-24-2014
Antonio Giorgetti JrUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$11903-01-2016
Arlene Teresa Mendez-NouelUBS Financial Services Inc.Credit Suisse Securities (USA) LLC01-21-2016
Arlyn KalkaUBS Financial Services Inc.HSBC Securities (USA) Inc.06-27-2018
Barry Allen SchwartzUBS Financial Services Inc.AllianceBernstein L.P.$10006-12-2013
Becky LightmanUBS Financial Services Inc.Northern Trust Securities, Inc.05-07-2019
Benjamin B LaneUBS Financial Services Inc.Morgan Stanley$10005-07-2012
Bradford Wayne SmithyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-12-2009
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Showing 1 to 25 of 300 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.