Advisers on the Move TEST

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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Gerald Louis FilsAdventus Veritas LLCUBS Financial Services Inc.05-22-2015
James Arthur KujawskiAmeriprise Financial Services, LLCUBS Financial Services Inc.03-26-2018
Derek Steven FishAmeriprise Financial Services, LLCUBS Financial Services Inc.09-13-2013
Christopher Brian McGaviskAmeriprise Financial Services, LLCUBS Financial Services Inc.05-08-2009
Christopher Scott AndersonAnderson Wealth Management, Inc.UBS Financial Services Inc.10-05-2009
Eladio Arturo SantiagoCambridge Investment Research, Inc.UBS Financial Services Inc.10-26-2018
Michael Eugene PalazzoCapital One Investment Services LLCUBS Financial Services Inc.$5012-15-2014
Brian Michael BassCetera Advisors LLCUBS Financial Services Inc.06-17-2015
Todd D. FlowerCetera Investment Services LLCUBS Financial Services Inc.12-12-2011
Thomas Nelson ThibeaultChapin, DavisUBS Financial Services Inc.10-16-2009
Charles Taliaferro BaileyChapin, DavisUBS Financial Services Inc.$1005-04-2009
Yeena Ines LiuCitigroup Global Markets Inc.UBS Financial Services Inc.05-01-2009
Stephen Edmond BerubeEcho Creek Capital, LLCUBS Financial Services Inc.$10007-12-2013
John Thomas HalleronHarbor Investment Advisory, LLCUBS Financial Services Inc.09-11-2015
Charles Russell WardHarbor Investment Advisory, LLCUBS Financial Services Inc.$10009-11-2015
Richard ClonchLPL Financial LLCUBS Financial Services Inc.04-28-2009
Mark A. Fitz-PatrickMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$2503-31-2016
Michael Addison Fitz-PatrickMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.03-31-2016
Dale Allen Waters Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10012-12-2014
Brett I. MoritzMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10012-05-2014
Karen Mary SpencerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10003-19-2012
Brendan Matthew O'ConnellMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.02-11-2011
Clark James KlineMorgan StanleyUBS Financial Services Inc.11-01-2019
Louis Alan SchaftelMorgan StanleyUBS Financial Services Inc.$10004-08-2014
Robert Alexander FollitMorgan StanleyUBS Financial Services Inc.$10001-30-2014
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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.