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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Recruiting Scoreboard (Q4 2020)

Recruiting Gains

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Recruiting Losses

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Net Gains

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Net Losses

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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Andrew Eric KellerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-02-2020
James MalatosUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$13712-06-2019
James G MalatosUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-06-2019
Angelo Vincent Esposito JrUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1010-18-2019
Daniel F EmersonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-18-2019
Scott M EmersonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-18-2019
Raphael Jacquim FairellUBS Financial Services Inc.Morgan Stanley08-29-2019
Louis Morgan Rawls IiiUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-19-2017
Greg Robert DayUBS Financial Services Inc.Oppenheimer & Co. Inc.$5001-22-2016
Carroll Edward Mullis IIUBS Financial Services Inc.Oppenheimer & Co. Inc.$10001-22-2016
David Krunch Whitfield KloberdanzUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$10012-15-2015
MICHAEL Wayne OLMSTEDUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$9912-09-2015
Carlton Montgomery ForresterUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-09-2015
Lindsay Belton PaughUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$2512-09-2015
Timothy Alan DodUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$5012-01-2015
Bradley Edward RobertsUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-01-2015
Brent LaneUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-01-2015
Michael Howard RadetskyUBS Financial Services Inc.J.P. Morgan Securities LLC$19709-30-2015
Leslie Anthony NetterUBS Financial Services Inc.Morgan Stanley$5007-16-2015
Christopher Schueller MoormanUBS Financial Services Inc.Wells Fargo Clearing Services, LLC06-30-2015
Casey M ArundelUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-06-2015
Jason T DouglasUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5009-10-2014
Erik B SeeneyUBS Financial Services Inc.Mercer Allied Company, L.P.02-28-2014
Keegan Michael HennessyUBS Financial Services Inc.Morgan Stanley01-13-2014
Julie Erin AxleyUBS Financial Services Inc.Morgan Stanley01-13-2014
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Showing 1 to 25 of 76 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.