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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
William HeronAmeriprise Financial Services, Inc.UBS Financial Services Inc.$5012-15-2016
Douglas John CalnanAmeriprise Financial Services, Inc.UBS Financial Services Inc.$2505-06-2016
Charles Michael HarveyAmeriprise Financial Services, Inc.UBS Financial Services Inc.$10011-16-2015
Joshua Basden ShepherdAmeriprise Financial Services, Inc.UBS Financial Services Inc.$5010-30-2015
Diana V. SmithAmeriprise Financial Services, Inc.UBS Financial Services Inc.12-06-2010
James Timothy FuerstnauAmeriprise Financial Services, Inc.UBS Financial Services Inc.$15004-21-2009
Philip Andre PeloquinCantella & Co., Inc.UBS Financial Services Inc.$5002-12-2016
Amy Elizabeth SantarelliCommonwealth Financial NetworkUBS Financial Services Inc.$2508-24-2018
Richard Raymond CarlsonCommonwealth Financial NetworkUBS Financial Services Inc.05-11-2012
Nicole Catherine DomnarskiCommonwealth Financial NetworkUBS Financial Services Inc.01-04-2012
Douglas Scott HardyCommonwealth Financial NetworkUBS Financial Services Inc.09-02-2011
David R. BermanCommonwealth Financial NetworkUBS Financial Services Inc.$2502-12-2010
William G GrahamFirst Republic Securities Company, LLCUBS Financial Services Inc.08-10-2010
Larry Albert XhamaJ.P. Morgan Securities LLCUBS Financial Services Inc.06-14-2019
Joseph Nicholas MarroccoJ.P. Morgan Securities LLCUBS Financial Services Inc.$1,00006-01-2018
Robert Allen WoolfJ.P. Morgan Securities LLCUBS Financial Services Inc.12-12-2014
Kara Grady BoudreauJ.P. Morgan Securities LLCUBS Financial Services Inc.02-17-2012
James C. Shannon IVLincoln InvestmentUBS Financial Services Inc.09-10-2014
Kevin M. SmithLPL Financial LLCUBS Financial Services Inc.06-15-2015
Daniel Francis MoranLPL Financial LLCUBS Financial Services Inc.11-15-2013
Michael P. McCarthyLPL Financial LLCUBS Financial Services Inc.$10009-27-2013
Michael Anthony AbramoLPL Financial LLCUBS Financial Services Inc.09-04-2013
Geoffrey D McCarthy Jr.LPL Financial LLCUBS Financial Services Inc.09-30-2011
Brian Anthony CookeLPL Financial LLCUBS Financial Services Inc.10-01-2009
Joseph Michael MasielloLPL Financial LLCUBS Financial Services Inc.$1002-23-2009
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Showing 1 to 25 of 89 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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