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
Dane Curtiss UrieUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-26-2012
Jeffrey Sarver Ritch Jr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-26-2012
Jeffrey Sarver Ritch Sr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1003-26-2012
Jordan A FuntUBS Financial Services Inc.Morgan Stanley03-26-2012
Patrick Christopher TaylorUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5003-26-2012
Timothy Allan WalshUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10003-26-2012
William John GilcherUBS Financial Services Inc.G.Distributors, LLC$10003-26-2012
Nancy Jean KatzUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15703-22-2012
Diana Monell FanningUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-21-2012
Regina Monell TarasUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$20003-21-2012
Alex Gerardo HerreraUBS Financial Services Inc.HSBC Securities (USA) Inc.03-08-2012
Eric Joel HyndenUBS Financial Services Inc.Flint Financial Investments Management Corporation$10003-01-2012
Sonia Maria FernandezUBS Financial Services Inc.HSBC Securities (USA) Inc.$10002-28-2012
S Matthews KilgroeUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-27-2012
John Timothy Mcgee IIUBS Financial Services Inc.Morgan Stanley$15002-24-2012
Thomas L BurtUBS Financial Services Inc.Morgan Stanley$10002-24-2012
Lucie Sabella AlessioUBS Financial Services Inc.Morgan Stanley$10001-13-2012
Richard Jeffrey KahnUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5001-06-2012
Kenneth Glen St PierreUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-05-2012
Patrick Ryan BrayUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-01-2012
Pablo Cesar AnnovelliUBS Financial Services Inc.HSBC Securities (USA) Inc.12-19-2011
Jorge L Balladares Jr.UBS Financial Services Inc.HSBC Securities (USA) Inc.12-16-2011
Matthew Jackson WatsonUBS Financial Services Inc.SunTrust Investment Services, Inc.11-29-2011
Roger Ericson BellUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-18-2011
William Carr White IIIUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5011-18-2011
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Showing 176 to 200 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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