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
Adam Paul RogersUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$5001-14-2016
Alex William PardyUBS Financial Services Inc.Standard Life Investments Securities LLC10-05-2018
Alexander Ross KennedyUBS Financial Services Inc.Credit Suisse Securities (USA) LLC$15010-01-2015
Alexander Victor MartinelliUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-18-2015
Allen Michael SussmanUBS Financial Services Inc.Morgan Stanley$10007-03-2013
Andrea B BevisUBS Financial Services Inc.Credit Suisse Securities (USA) LLC11-16-2015
Barry Alan PedersonUBS Financial Services Inc.Barclays Capital Inc.$5008-13-2014
Barry Spafford KingstonUBS Financial Services Inc.Morgan Stanley$10001-12-2012
Barry Thomas Oneil IIIUBS Financial Services Inc.RBC Capital Markets, LLC07-20-2011
Benjamin Dolan OConnorUBS Financial Services Inc.Jefferies LLC11-08-2017
Bradd Lawrence CuppelsUBS Financial Services Inc.Morgan Stanley03-11-2011
Brandon Spaulding AffeldtUBS Financial Services Inc.Columbia Management Investment Distributors, Inc.01-22-2018
Brendan Michael CollinsUBS Financial Services Inc.Fidelity Personal and Workplace Advisors01-14-2020
Brendon Clarke HutchinsUBS Financial Services Inc.St. Germain Securities, Inc.$5012-05-2013
Brennan Christopher CollinsUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-05-2017
Brian Harkness WellsUBS Financial Services Inc.Morgan Stanley$2501-17-2014
Brian Michael MurphyUBS Financial Services Inc.Morgan Stanley09-28-2012
Carl Spiros Aloupis JrUBS Financial Services Inc.Strategic Advisers LLC01-24-2013
Christine Santos ShukesUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-30-2009
Christopher Champion SpellmanUBS Financial Services Inc.M&T Securities, Inc.$2504-17-2012
Christopher CotterUBS Financial Services Inc.State Street Global Advisors Funds Distributors, LLC12-09-2015
Christopher Leo HerlihyUBS Financial Services Inc.Credit Suisse Securities (USA) LLC01-05-2016
Christopher Robert KetchenUBS Financial Services Inc.Morgan Stanley$5010-18-2013
Claire Ann AdamsUBS Financial Services Inc.Morgan Stanley$16006-08-2012
Clifton Roy Spinney JrUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10004-17-2013
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Showing 1 to 25 of 121 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.