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
Hallie Page LeeUBS Financial Services Inc.Guggenheim Investments11-01-2019
Charles M. AndersonUBS Financial Services Inc.UBS Asset Management (US) Inc.09-10-2018
Steven Andrew WestUBS Financial Services Inc.Morgan Stanley$10006-23-2016
Nicholas Joseph FeracciUBS Financial Services Inc.Morgan Stanley06-23-2016
Charles Harold CooperUBS Financial Services Inc.Morgan Stanley$25004-08-2016
Mitchell Robert CooperUBS Financial Services Inc.Morgan Stanley04-08-2016
James M IngoeUBS Financial Services Inc.FSC Securities Corporation$10012-10-2015
Wayne Thomas LavalleeUBS Financial Services Inc.Morgan Stanley$5010-16-2015
Richard Michael GaigeUBS Financial Services Inc.Morgan Stanley10-16-2015
Jeremy Joseph ReedUBS Financial Services Inc.Morgan Stanley10-16-2015
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
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, LLC04-25-2014
Donald Arthur ChomasUBS Financial Services Inc.Morgan Stanley11-08-2013
Russell RifkinUBS Financial Services Inc.Morgan Stanley11-08-2013
Andrew Barry LeeUBS Financial Services Inc.Morgan Stanley11-04-2013
Vitali NazlymovUBS Financial Services Inc.Morgan Stanley11-04-2013
Kenneth A. HechtUBS Financial Services Inc.Morgan Stanley$5001-23-2013
P PearlstoneUBS Financial Services Inc.Morgan Stanley$5009-19-2012
Kevin Ryan BellUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-02-2012
Gary Andrew Edmonds Jr.UBS Financial Services Inc.Wells Fargo Clearing Services, LLC$15004-21-2011
Troy Bryant, Eric Watson, Bart Gibson, William Murphy, Kyle Harris, Eric Buckner, Philip Lazzari, Mark StevensUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$50011-19-2010
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Showing 1 to 25 of 41 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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