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
Alan Marshall Smith, Christopher Alan SmithUBS Financial Services Inc.Morgan Stanley & Co. LLC$10004-17-2009
Araya MesfinUBS Financial Services Inc.Morgan Stanley01-13-2014
Benjamin DukesUBS Financial Services Inc.Morgan Stanley04-13-2012
Bradley Edward RobertsUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-01-2015
Brandon D. BrownUBS Financial Services Inc.Morgan Stanley$10001-13-2014
Brent LaneUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-01-2015
Brian K. GrayUBS Financial Services Inc.AllianceBernstein L.P.04-08-2014
Carlton Montgomery ForresterUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-09-2015
Carroll Edward Mullis IIUBS Financial Services Inc.Oppenheimer & Co. Inc.$10001-22-2016
Casey M. ArundelUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-06-2015
Charles Elijah GillisUBS Financial Services Inc.Morgan Stanley$2511-30-2012
Charles Michael JohnsonUBS Financial Services Inc.Morgan Keegan & Company, Inc.$15007-13-2012
Christine Anne LizasoUBS Financial Services Inc.Citigroup Global Markets Inc.01-22-2009
Christopher Schueller MoormanUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10006-30-2015
Clayton Joseph ConstantUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5008-03-2012
Comer Brooks WoodruffUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15007-29-2011
David Bruce Kusiel, Jeffrey Aaron LappUBS Financial Services Inc.Morgan Stanley & Co. LLC$10002-27-2009
David Langley HigginsUBS Financial Services Inc.Citigroup Global Markets Inc.01-22-2009
David Robert TrickerUBS Financial Services Inc.J.P. Morgan Securities LLC09-17-2013
David Whitfield KloberdanzUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$10012-15-2015
Edward Upchurch MillerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2502-02-2009
Erik B. SeeneyUBS Financial Services Inc.Mercer Allied Company, L.P.02-28-2014
Gena Ann BarbatoUBS Financial Services Inc.Morgan Stanley$15005-04-2012
Geoffrey Charles GillUBS Financial Services Inc.Deutsche Bank Securities Inc.$10008-13-2010
Greg Robert DayUBS Financial Services Inc.Oppenheimer & Co. Inc.$10001-22-2016
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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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