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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Adam David ProgerRaymond James & Associates, Inc.UBS Financial Services Inc.09-03-2019
Alan Edwin DanielsonRBC Capital Markets, LLCUBS Financial Services Inc.$10002-25-2009
Arun SardanaRaymond James & Associates, Inc.UBS Financial Services Inc.$2509-03-2019
Arun Sardana Adam Proger Paul Grambsch Reilly LoflinRaymond James & Associates, Inc.UBS Financial Services Inc.$99009-03-2019
Brett I MoritzMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.12-05-2014
Brian Christpoher TurnerWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2502-06-2009
Brian Michael BassCetera Advisors LLCUBS Financial Services Inc.06-17-2015
Bryan Andrew LenetWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1507-18-2011
Catherine Marie NicholasWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00002-27-2009
Charles Jason BealSunTrust Investment Services, Inc.UBS Financial Services Inc.09-09-2016
Charles Russell WardHarbor Investment Advisory, LLCUBS Financial Services Inc.$15009-11-2015
Clark James KlineMorgan StanleyUBS Financial Services Inc.11-01-2019
Constance Mackay MinerRaymond James Financial Services, Inc.UBS Financial Services Inc.$15001-14-2016
Constance Miner Ross HamiltonRaymond JamesUBS Financial Services Inc.$20001-14-2016
Cory Dale ChambersWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$5012-13-2019
Dale A Waters JrMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.12-12-2014
Dale WatersMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$18512-12-2014
Daniel Guy CoteCetera Advisors LLCUBS Financial Services Inc.08-10-2012
David Brian MillerRBC Capital Markets, LLCUBS Financial Services Inc.$15008-21-2019
David J James BoltenWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00005-03-2017
David Paul BrownSunTrust Investment Services, Inc.UBS Financial Services Inc.$15012-04-2015
David Samuel SheusiWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00005-26-2009
Derek Steven FishAmeriprise Financial Services, LLCUBS Financial Services Inc.09-13-2013
Donald Paul GlabWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10006-26-2020
Eladio Arturo SantiagoCambridge Investment Research, Inc.UBS Financial Services Inc.$10010-26-2018
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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.