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
Adam Jeffrey FuellemanUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$15001-28-2019
Adriana N SormaniUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5006-30-2011
Ajay J. Desai, Frank Domenic Pellicori, Andrew John LindblomUBS Financial Services Inc.Morgan Stanley11-04-2011
Anastasios P LiosatosUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-01-2013
Andrew P McLaughlinUBS Financial Services Inc.Plancorp, LLC03-07-2016
Benjamin John MillerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-16-2009
Bradley Paul ParksUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-24-2009
Bret Petersen, Darrel SwientonUBS Financial Services Inc.Morgan Stanley$8005-11-2011
Brian Christopher Kenney, Heather Ilene KenneyUBS Financial Services Inc.Morgan Stanley & Co. LLC$10003-06-2009
Brian M RubinUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-19-2014
Brian ZalewskiUBS Financial Services Inc.Morgan Stanley$11008-25-2011
Charles Patrick NewmanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15008-22-2014
Christopher R McCormickUBS Financial Services Inc.Credit Suisse Securities (USA) LLC12-08-2015
Darrel A Swienton, Bret J. PetersenUBS Financial Services Inc.Morgan Stanley04-15-2011
David Alan BoudreauUBS Financial Services Inc.Citigroup Global Markets Inc.$10005-08-2009
David Alan MelbyUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$2503-04-2016
David Allan HirschUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$15003-11-2016
Dmitry FarbmanUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$15002-24-2012
Earl Irwin SilverUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-01-2013
Frank Flaherty Quinn, Ethan Daniel HafnerUBS Financial Services Inc.Citigroup Global Markets Inc.$5002-13-2009
Gerald W SmithUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5010-22-2010
Glen Robert SondagUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10010-02-2012
Hugh Francis Breslin, Philip Charles Allen Jr.UBS Financial Services Inc.Banc of America Investment Services, Inc.01-30-2009
Jacob Roy NiggemannUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-05-2009
James C KellyUBS Financial Services Inc.Credit Suisse Securities (USA) LLC03-11-2016
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Showing 1 to 25 of 72 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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