Advisers on the Move TEST

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
Jose Saul Sasson-LernerUBS Financial Services Inc.BNP Paribas Investment Services, LLC07-02-2014
Sandro Jaime PestanaUBS Financial Services Inc.Barclays Capital Inc.$15005-30-2014
Huy Ly LeUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-19-2014
Pedro A. FernandezUBS Financial Services Inc.AllianceBernstein L.P.04-28-2014
Thomas Roy IsaacsUBS Financial Services Inc.Wells Fargo Clearing Services, LLC04-17-2014
James Cameron WilliamsUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-08-2014
Franklin Mitchell HowellUBS Financial Services Inc.Morgan Stanley$7503-21-2014
Carlos Arturo MoralesUBS Financial Services Inc.Arca Capital Investments, Inc.03-21-2014
Steven Lee ShapiroUBS Financial Services Inc.Morgan Stanley03-14-2014
David Michael OgmanUBS Financial Services Inc.Morgan Stanley$5003-14-2014
David Edward HansonUBS Financial Services Inc.J.P. Morgan Securities LLC03-07-2014
Fabian Martin HellerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-11-2014
Gregory H RothUBS Financial Services Inc.Morgan Stanley01-09-2014
Stephen Scott SchaeferUBS Financial Services Inc.Morgan Stanley$10011-14-2013
Hiromi HanamuraUBS Financial Services Inc.Morgan Stanley$5011-14-2013
George C. DonUBS Financial Services Inc.Morgan Stanley11-14-2013
David Bruce QuintyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5011-07-2013
Christopher Ryan QuintyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-07-2013
Luis Ausberto GuerreroUBS Financial Services Inc.HSBC Securities (USA) Inc.10-07-2013
Frederik GuerraUBS Financial Services Inc.Citi International Financial Services LLC09-16-2013
Blanca T. SalazarUBS Financial Services Inc.Beta Capital Securities LLC09-16-2013
Michelle L. VartanianUBS Financial Services Inc.Morgan Stanley09-11-2013
Raffi Robert VartanianUBS Financial Services Inc.Morgan Stanley09-11-2013
Mary Louise DrozdowskiUBS Financial Services Inc.Morgan Stanley08-29-2013
Thomas George WagnerUBS Financial Services Inc.Credit Suisse Securities (USA) LLC08-26-2013
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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.