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
Nicholas Joseph FeracciUBS Financial Services Inc.Morgan Stanley06-23-2016
Steven Andrew WestUBS Financial Services Inc.Morgan Stanley$10006-23-2016
Charles Harold CooperUBS Financial Services Inc.Morgan Stanley$15004-08-2016
Mitchell Robert CooperUBS Financial Services Inc.Morgan Stanley04-08-2016
James M IngoeUBS Financial Services Inc.FSC Securities Corporation$112-10-2015
Jeremy Joseph ReedUBS Financial Services Inc.Morgan Stanley10-16-2015
Richard Michael GaigeUBS Financial Services Inc.Morgan Stanley10-16-2015
Wayne Thomas LavalleeUBS Financial Services Inc.Morgan Stanley$5010-16-2015
Kultar Singh BindraUBS Financial Services Inc.Morgan Stanley06-04-2015
Stephen Frederick Owen IIIUBS Financial Services Inc.Morgan Stanley$10006-04-2015
Gerard George CaswellUBS Financial Services Inc.Vanguard Marketing Corporation12-23-2014
David Martin BowieUBS Financial Services Inc.B. Riley FBR, Inc.12-08-2014
David Paul ConnellyUBS Financial Services Inc.Morgan Stanley10-09-2014
Edward John RaileyUBS Financial Services Inc.Morgan Stanley$10008-28-2014
Kevin David ConnellyUBS Financial Services Inc.Morgan Stanley$10008-28-2014
Nicholas Francis SteierUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$2504-25-2014
Donald Arthur ChomasUBS Financial Services Inc.Morgan Stanley$10011-08-2013
Russell Matthew RifkinUBS Financial Services Inc.Morgan Stanley$5011-08-2013
Andrew Barry LeeUBS Financial Services Inc.Morgan Stanley$111-04-2013
Vitali NazlymovUBS Financial Services Inc.Morgan Stanley$5011-04-2013
Clark Alden HatchUBS Financial Services Inc.Morgan Stanley06-14-2013
Erin Schluter StoeckerUBS Financial Services Inc.Ameriprise Financial Services, Inc.02-19-2013
Kenneth A HechtUBS Financial Services Inc.Morgan Stanley$10001-23-2013
Eladio Arturo SantiagoUBS Financial Services Inc.Morgan Stanley11-09-2012
Pj Justin PearlstoneUBS Financial Services Inc.Morgan Stanley$10009-19-2012
Next Page »

Showing 1 to 25 of 53 entries

Page 1 | 2 | 3

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.

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.