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
Heather Elizabeth HayesUBS Financial Services Inc.LPL Financial LLC$5011-10-2011
Robert Edward DeforestUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10011-10-2011
Alberto LunaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-01-2011
John Edward LansingUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$20010-27-2011
Howard Steven WalzerUBS Financial Services Inc.Janney Montgomery Scott LLC09-23-2011
Janine Lynn CowartUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-19-2011
Christopher Ryan PhillipsUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5009-16-2011
Cristina Beatrice MendezUBS Financial Services Inc.Citigroup Global Markets Inc.$5009-16-2011
Zoraida Caridad DiazUBS Financial Services Inc.Citigroup Global Markets Inc.$5009-16-2011
Jose Raul RiveronUBS Financial Services Inc.Hapoalim Securities USA, Inc.09-02-2011
Elizabeth Hodges HowarthUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-01-2011
Sara Katherine WadeUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-01-2011
Mauricio Pinto De MagalhaesUBS Financial Services Inc.StanChart Securities International, Inc.08-26-2011
Robert M HirschUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-12-2011
Carlos Julio ArangoUBS Financial Services Inc.Amerant Investments, Inc.08-10-2011
Adrian Davis De MontluzinUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10007-29-2011
Carolyn Marie FilaskyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-29-2011
Jeffrey Lawrence SarkinUBS Financial Services Inc.Oppenheimer & Co. Inc.$6107-29-2011
Michael Joseph MelnykUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5007-29-2011
Anthony James MazzoUBS Financial Services Inc.Oppenheimer & Co. Inc.07-22-2011
Howard LeonUBS Financial Services Inc.Oppenheimer & Co. Inc.07-22-2011
Albert Richard LucciUBS Financial Services Inc.Morgan Stanley$10007-15-2011
James Harold Mahoney Jr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-15-2011
Joe MalaveUBS Financial Services Inc.Nfp Advisor Services06-23-2011
James Parker ScullinUBS Financial Services Inc.BigSur Wealth Management, LLC06-22-2011
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Showing 201 to 225 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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