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
Jeffrey S RizzoUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-20-2015
Kirk Alton RuthUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15008-20-2015
Michael Craig Carr Jr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-20-2015
Ricardo HellmundUBS Financial Services Inc.J.P. Morgan Securities LLC07-23-2015
Fred Bruce GefenUBS Financial Services Inc.Wells Fargo Clearing Services, LLC07-16-2015
Joshua Edward GrabelUBS Financial Services Inc.Wells Fargo Clearing Services, LLC07-16-2015
David A. Anthony LurchUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$906-30-2015
Linda Ann MelcerUBS Financial Services Inc.Oppenheimer & Co. Inc.05-04-2015
Eva Alison ZeffUBS Financial Services Inc.Oppenheimer & Co. Inc.04-30-2015
Kevin Allen KuharUBS Financial Services Inc.Oppenheimer & Co. Inc.04-30-2015
Joseph Luis GuerreroUBS Financial Services Inc.Morgan Stanley$6603-10-2015
Carlos Emilio Arguello IIUBS Financial Services Inc.BAC Florida Investments03-09-2015
Clifford Bryan MandodyUBS Financial Services Inc.Morgan Stanley$5002-20-2015
Emilio ArguelloUBS Financial Services Inc.HSBC Securities (USA) Inc.$2502-02-2015
Kristen Ann BissettUBS Financial Services Inc.Barclays Capital Inc.01-20-2015
Steven Mitchell MallahUBS Financial Services Inc.Morgan Stanley$25001-08-2015
Diego Bercianos SartoriUBS Financial Services Inc.RBC Capital Markets, LLC01-06-2015
Mari Zayas-BazanUBS Financial Services Inc.HSBC Securities (USA) Inc.01-06-2015
Mayrin Fontaine MoyaUBS Financial Services Inc.Credit Suisse Securities (USA) LLC01-06-2015
Douglas Edward TwohillUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$24711-17-2014
Steven Gerald ScaliciUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10011-17-2014
Robert Trent UlrichUBS Financial Services Inc.Morgan Stanley$10011-13-2014
Syndie Tina LevienUBS Financial Services Inc.Morgan Stanley$6811-11-2014
Brian Lee LowenthalUBS Financial Services Inc.Barclays Capital Inc.$10010-20-2014
Eileen Zimkind BermanUBS Financial Services Inc.Barclays Capital Inc.$2510-20-2014
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Showing 51 to 75 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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