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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Michael Robert SandersUBS Financial Services Inc.Morgan Stanley & Co. LLC01-02-2009
Robert S Prater JrUBS Financial Services Inc.Morgan Stanley & Co. LLC01-02-2009
James R WilsonUBS Financial Services Inc.Morgan Stanley & Co. LLC01-02-2009
David Edward WardCommonwealth Financial NetworkAmeriprise Financial Services, LLC$5001-05-2009
Evit SmithWaddell & ReedAvantax Investment Services, Inc.01-05-2009
Harsh MehraCommonwealth Financial NetworkAmeriprise Financial Services, LLC$5001-05-2009
William Wade HatcherCommonwealth Financial NetworkAmeriprise Financial Services, LLC$5001-05-2009
James Wallace Woods JrSouthport CapitalOppenheimer & Co. Inc.$10001-06-2009
J Kevin MeadersVoya Financial Advisors, Inc.Raymond James Financial Services, Inc.$5001-07-2009
Jeffrey Jay HardestyWoodstock Financial Group, Inc.Waddell & Reed01-08-2009
Michael Christopher NapolitanoAmerican Capital Partners, LLCOppenheimer & Co. Inc.01-08-2009
Frederick Mark KoppelmannLPL Financial LLCCitigroup Global Markets Inc.01-12-2009
Scott Coleman DozierMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$15001-16-2009
Barry Raymon NathansonRBC Capital Markets, LLCWells Fargo Clearing Services, LLC01-16-2009
James MyersMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$15001-16-2009
Richard S DubowUBS Financial Services Inc.Citigroup Global Markets Inc.$1,50001-22-2009
David Langley HigginsUBS Financial Services Inc.Citigroup Global Markets Inc.01-22-2009
William H Pahl JrUBS Financial Services Inc.Citigroup Global Markets Inc.01-22-2009
Michael Wayne BorchersUBS Financial Services Inc.Citigroup Global Markets Inc.$10001-22-2009
Jefferson David Pace IiUBS Financial Services Inc.Citigroup Global Markets Inc.01-22-2009
Christine Anne LizasoUBS Financial Services Inc.Citigroup Global Markets Inc.01-22-2009
James Casey JonesUBS Financial Services Inc.Citigroup Global Markets Inc.$50001-22-2009
Scott Charles SerafinUBS Financial Services Inc.Citigroup Global Markets Inc.01-22-2009
Richard Kevan DunneWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-23-2009
Todd Dwain GauthierSunTrust Investment Services, Inc.Wells Fargo Clearing Services, LLC$15001-26-2009
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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.