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
Peter Vincent Allen Sr.UBS Financial Services Inc.Citigroup Global Markets Inc.04-23-2009
Stanwood Chandler Sweetser Jr.UBS Financial Services Inc.Citigroup Global Markets Inc.04-23-2009
Faith Carol HarrisUBS Financial Services Inc.Citigroup Global Markets Inc.$5004-09-2009
Sherrill Garrison Elrod Jr.UBS Financial Services Inc.Citigroup Global Markets Inc.03-27-2009
Dean Douglas DancerUBS Financial Services Inc.Citigroup Global Markets Inc.03-25-2009
Norman Lewis ReiterUBS Financial Services Inc.Citigroup Global Markets Inc.03-25-2009
Pamela L ReiterUBS Financial Services Inc.Citigroup Global Markets Inc.03-25-2009
Steven Lee GrossmanUBS Financial Services Inc.Citigroup Global Markets Inc.03-25-2009
Thomas Joseph GoelzUBS Financial Services Inc.Citigroup Global Markets Inc.03-25-2009
Eric Feil LubitzUBS Financial Services Inc.Morgan Stanley & Co. LLC$12003-09-2009
Susan G. Somers PollockUBS Financial Services Inc.Morgan Stanley & Co. LLC$103-09-2009
Christopher Scott SteelUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5002-13-2009
Douglas Earl WilsonUBS Financial Services Inc.Citigroup Global Markets Inc.$2502-13-2009
Dwight Clyde WestUBS Financial Services Inc.Morgan Stanley & Co. LLC$15002-13-2009
Jason Aaron JohnsonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15002-13-2009
Nicolas Jesus BarriosUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$15002-03-2009
Joel Lawrence KarpayUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-30-2009
Rhoda Lionell KarpayUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-30-2009
Brian Jeffrey GoldbergUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-23-2009
Robert James JurgensUBS Financial Services Inc.Morgan Stanley & Co. LLC01-23-2009
Robert Kennedy TorringtonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-23-2009
Jerrey Alan ThurstonUBS Financial Services Inc.Morgan Stanley & Co. LLC$10001-15-2009
Bradford Wayne SmithyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1001-12-2009
Cynthia M. LopezUBS Financial Services Inc.Morgan Stanley & Co. LLC01-09-2009
David Mc Mc QuadeUBS Financial Services Inc.Morgan Stanley & Co. LLC$15001-09-2009
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Showing 276 to 300 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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