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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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Steven Harman MogulMiramar CapitalUBS Financial Services Inc.08-26-2020
Mark Leslie MohanBrookstone Capital Management LLCUBS Financial Services Inc.05-13-2020
James Marshall PerkinsQuantum Private Wealth, LLCUBS Financial Services Inc.04-09-2020
Jennifer Ann MorrealeQuantum Private Wealth, LLCUBS Financial Services Inc.04-09-2020
Michael Robert FerconioRaymond James & Associates, Inc.UBS Financial Services Inc.$2504-01-2020
Laquanta N WhiteTradeStation Securities, Inc.UBS Financial Services Inc.03-31-2020
Andrew Scott CzarkowskiJ.P. Morgan Securities LLCUBS Financial Services Inc.12-23-2019
Heather Ilene KenneyMorgan StanleyUBS Financial Services Inc.11-26-2019
Michael Samuel GodlinWells Fargo Clearing Services, LLCUBS Financial Services Inc.10-25-2019
Darrel A SwientonWells Fargo Clearing Services, LLCUBS Financial Services Inc.10-24-2019
Bret J PetersenWells Fargo Clearing Services, LLCUBS Financial Services Inc.$6610-24-2019
Eric Dahl Tim PenniseRobert W. Baird & Co. IncorporatedUBS Financial Services Inc.$20009-04-2019
Timothy Michael PenniseRobert W. Baird & Co. IncorporatedUBS Financial Services Inc.$5009-04-2019
Eric J DahlRobert W. Baird & Co. IncorporatedUBS Financial Services Inc.09-04-2019
Jesse DiazWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2503-29-2019
Thomas Lynn StotzWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10003-29-2019
Michael Henry MartinRBC Capital Markets, LLCUBS Financial Services Inc.$10010-26-2018
Kevin M RosenbergMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.09-19-2018
Benjamin Joseph HeiseRBC Capital Markets, LLCUBS Financial Services Inc.08-03-2018
Ryan James NottestadRBC Capital Markets, LLCUBS Financial Services Inc.08-03-2018
Jennifer Arquilla David ArquillaWells Fargo Clearing Services, LLCUBS Financial Services Inc.$33605-30-2018
Ron Lambke Louis MontanaWells Fargo Clearing Services, LLCUBS Financial Services Inc.$18005-30-2018
Jennifer A ArquillaWells Fargo Clearing Services, LLCUBS Financial Services Inc.$15005-25-2018
Louis Anthony MontanaWells Fargo Clearing Services, LLCUBS Financial Services Inc.$3705-25-2018
David Daniel ArquillaWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2505-25-2018
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Showing 1 to 25 of 153 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.