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
Alan Edwin DanielsonRBC Capital Markets, LLCUBS Financial Services Inc.02-25-2009
Brett I. MoritzMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.12-05-2014
Brian Michael BassCetera Advisors LLCUBS Financial Services Inc.06-17-2015
Catherine Marie NicholasWells Fargo Clearing Services, LLCUBS Financial Services Inc.$20002-27-2009
Chad Everett VaughnMorgan StanleyUBS Financial Services Inc.06-30-2010
Charles Russell WardHarbor Investment Advisory, LLCUBS Financial Services Inc.$10009-11-2015
Constance Mackay MinerRaymond James Financial Services, Inc.UBS Financial Services Inc.$10201-14-2016
Dale Allen Waters Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.12-12-2014
David James BoltenWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00005-03-2017
David Samuel SheusiWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-26-2009
Derek Steven FishAmeriprise Financial Services, Inc.UBS Financial Services Inc.09-13-2013
Eladio Arturo SantiagoCambridge Investment Research, Inc.UBS Financial Services Inc.$10010-26-2018
Eric David Brann, Philip Kenneth Lee, Matthew Allen MayMorgan StanleyUBS Financial Services Inc.$5006-30-2010
Gary Roger PlushnickWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10002-27-2009
Glenn Stevens WoolschlagerWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1005-29-2009
Gregory James Duncan-PetersWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2512-02-2015
James Arthur KujawskiAmeriprise Financial Services, Inc.UBS Financial Services Inc.03-26-2018
Jerry Dominic TrumanRBC Capital Markets, LLCUBS Financial Services Inc.$10001-23-2019
John Thomas HalleronHarbor Investment Advisory, LLCUBS Financial Services Inc.09-11-2015
Karen Mary SpencerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10003-19-2012
Keith Terry BarberisRaymond James Financial Services, Inc.UBS Financial Services Inc.$5007-20-2016
Kenneth John WirschingWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5004-24-2009
Lawrence Robert WethjeMorgan StanleyUBS Financial Services Inc.12-03-2012
Lorenzo David AscoliWells Fargo Clearing Services, LLCUBS Financial Services Inc.12-02-2015
Louis Alan SchaftelMorgan StanleyUBS Financial Services Inc.$10004-08-2014
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Showing 1 to 25 of 39 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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