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
Sean David O'Toole1776 Wealth LLCUBS Financial Services Inc.03-10-2017
Deanna Leigh Suarez1776 Wealth LLCUBS Financial Services Inc.03-10-2017
Jonathan Marc SeidelAmeriprise Financial Services, Inc.UBS Financial Services Inc.$5008-05-2016
C N VenkateshCN Wealth Management, LLCUBS Financial Services Inc.07-24-2009
Carolyn Elizabeth SmithGoldman Sachs & Co.UBS Financial Services Inc.$15005-31-2013
Christopher Lewis CastellawJ.P. Morgan Securities LLCUBS Financial Services Inc.$25102-01-2019
Kathleen Anne Wray BazazJ.P. Morgan Securities LLCUBS Financial Services Inc.06-10-2015
Roland Sims PritchettJ.P. Morgan Securities LLCUBS Financial Services Inc.11-08-2013
Edwin Everett PuriJ.P. Morgan Securities LLCUBS Financial Services Inc.08-02-2013
Jeanne S. P. De BoerJanney Montgomery Scott LLCUBS Financial Services Inc.06-17-2013
Franklin E. DeemsLPL Financial LLCUBS Financial Services Inc.$2504-15-2009
Jeffrey Johnston BuiceMain Street Financial Solutions, LLCUBS Financial Services Inc.10-24-2016
Carla WrightMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$1007-31-2015
Ronald Nathaniel WhiteMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.12-15-2014
Jose Joaquin Hernandez IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.11-09-2010
Alan Howard SheldonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10006-30-2010
Randall RomanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.05-17-2010
Christopher Curtis GabrielMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5011-20-2009
Gordon Louis MonroeMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.11-13-2009
William John DeMartinoMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5003-06-2009
Jonathan Matthew ByrdMorgan StanleyUBS Financial Services Inc.$10006-14-2019
Grey Marshall DuddlestonMorgan StanleyUBS Financial Services Inc.06-14-2019
John Frederick Fisher, John C. FisherMorgan StanleyUBS Financial Services Inc.$13809-01-2017
David Taylor MillsMorgan StanleyUBS Financial Services Inc.03-20-2015
Scott Russell Lewis, Joshua R LewisMorgan StanleyUBS Financial Services Inc.$10001-09-2015
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Showing 1 to 25 of 67 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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