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
Bryant Julio DiazUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10007-14-2016
Gerald W Anders Jr.UBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5009-18-2015
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
Ellen Carol ZaneUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$18108-15-2014
Perry Alexander SwitzerUBS Financial Services Inc.Wells Fargo Clearing Services, LLC08-15-2014
Simon John WheeldonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10008-15-2014
Worth Walker TrainorUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5008-15-2014
Thomas Roy IsaacsUBS Financial Services Inc.Wells Fargo Clearing Services, LLC04-17-2014
Jacob Jonathan HeronUBS Financial Services Inc.Wells Fargo Clearing Services, LLC08-16-2013
James Fleming Smalley Jr.UBS Financial Services Inc.Wells Fargo Clearing Services, LLC08-01-2013
Ralph PicascioUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5011-08-2012
Bonnie Langson DodsonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC10-25-2012
Richard Anthony AlbertUBS Financial Services Inc.Wells Fargo Clearing Services, LLC10-25-2012
Kimberly Ann DupontUBS Financial Services Inc.Wells Fargo Clearing Services, LLC08-13-2012
Richard Jeffrey KahnUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5001-06-2012
Patrick Ryan BrayUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-01-2012
Marina PopovetskyUBS Financial Services Inc.Wells Fargo Clearing Services, LLC11-12-2010
Richard Joseph KrennUBS Financial Services Inc.Wells Fargo Clearing Services, LLC09-03-2010
Charles Palmer HarrimanUBS Financial Services Inc.Wells Fargo Clearing Services, LLC06-10-2010
Robert Ward FlahertyUBS Financial Services Inc.Wells Fargo Clearing Services, LLC04-24-2009
Nicolas Jesus BarriosUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$15002-03-2009
Joel Lawrence KarpayUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-30-2009
Rhoda Lionell KarpayUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-30-2009
Brian Jeffrey GoldbergUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-23-2009
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Showing 1 to 25 of 27 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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