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
Steven Ephrem KaiserUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$102-26-2016
Claudine Marie ChoquetteUBS Financial Services Inc.Credit Suisse Securities (USA) LLC02-12-2016
Javier Luis BricenoUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$101-29-2016
Kelly M SullivanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-29-2016
Franklin Carlyle Tiller Jr.UBS Financial Services Inc.Credit Suisse Securities (USA) LLC01-21-2016
William Steele Nugent IIUBS Financial Services Inc.USAA Financial Advisors, Inc.01-19-2016
Daniel Matthew ZuckerUBS Financial Services Inc.Morgan Stanley01-15-2016
Wade Gabriel KornblithUBS Financial Services Inc.Morgan Stanley01-15-2016
Cees-Jan Van HoekUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$5001-05-2016
Gregory Matthew DooleyUBS Financial Services Inc.LPL Financial LLC$5012-09-2015
James Stuart OkunUBS Financial Services Inc.Morgan Stanley$5012-04-2015
Daniel Diaz TorrobaUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-03-2015
Donald J DeverUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-02-2015
Alax GittlerUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$15012-01-2015
Meryl Debra Benyunes SpigelmanUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-01-2015
Alejandro MalbranUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-17-2015
Lorenzo C EstevaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-17-2015
Carolyn Ann AsencioUBS Financial Services Inc.John Hancock Distributors LLC10-13-2015
Pamela Montserrat Barrera BarronUBS Financial Services Inc.CGIS Securities LLC10-07-2015
Benjamin Maxwell JaffeUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-25-2015
David Adam HershUBS Financial Services Inc.Morgan Stanley09-24-2015
James Arthur Mucciaccio Jr.UBS Financial Services Inc.Morgan Stanley$5009-24-2015
Brian Jay GoldUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10009-18-2015
Gerald W Anders Jr.UBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5009-18-2015
Jeffrey Lane HogueUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10008-20-2015
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Showing 26 to 50 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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