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
Jeffrey Lawrence SarkinUBS Financial Services Inc.Oppenheimer & Co. Inc.$5007-29-2011
Adrian Davis De MontluzinUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-29-2011
Carolyn Marie FilaskyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10007-29-2011
Howard LeonUBS Financial Services Inc.Oppenheimer & Co. Inc.07-22-2011
Anthony James MazzoUBS Financial Services Inc.Oppenheimer & Co. Inc.$10007-22-2011
Peter NavarettaUBS Financial Services Inc.Morgan Stanley$5007-15-2011
James Harold Mahoney Jr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10007-15-2011
Paul Joseph StanislauUBS Financial Services Inc.Morgan Stanley07-15-2011
Albert Richard LucciUBS Financial Services Inc.Morgan Stanley$5007-15-2011
Peter John NavarettaUBS Financial Services Inc.Morgan Stanley$5007-15-2011
Joe MalaveUBS Financial Services Inc.Nfp Advisor Services$5006-23-2011
James Parker ScullinUBS Financial Services Inc.BigSur Partners, LLC06-22-2011
Matthew Louis ChambersUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-26-2011
Andrew Michael MachataUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-26-2011
Thomas CullenUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-19-2011
Nelson Vieira Barreira FilhoUBS Financial Services Inc.HSBC Securities (USA) Inc.05-13-2011
Kevin David OsterbergerUBS Financial Services Inc.Morgan Stanley04-29-2011
Michael A RatnerUBS Financial Services Inc.Charles Schwab & Co., Inc.$15004-11-2011
Michael Ronald SmithUBS Financial Services Inc.Morgan Stanley$15003-31-2011
David SheinheitUBS Financial Services Inc.Morgan Stanley$5003-31-2011
Bryan Neil SchulmanUBS Financial Services Inc.Symetra Investment Services, Inc.$2503-28-2011
Peter MotzenbeckerUBS Financial Services Inc.Capital Brokerage Corporation02-28-2011
John Michael MurphyUBS Financial Services Inc.Morgan Stanley$10002-24-2011
John W. GrannisUBS Financial Services Inc.Morgan Stanley$10001-21-2011
Doron A RachmanUBS Financial Services Inc.Morgan Stanley01-03-2011
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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.