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.

Recruiting Scoreboard (Q4 2020)

Recruiting Gains

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Recruiting Losses

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Net Gains

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Net Losses

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Latest moves

Filters

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Benjamin S BlumenthalUBS Financial Services Inc.Morgan Stanley07-23-2020
Hallie Page LeeUBS Financial Services Inc.Guggenheim Funds Distributors, LLC11-01-2019
Samuel Jeremy FeldmanUBS Financial Services Inc.Equitable Advisors, LLC07-19-2019
Alena M KurlovichUBS Financial Services Inc.Wells Fargo Clearing Services, LLC05-19-2017
Steven Andrew WestUBS Financial Services Inc.Morgan Stanley06-23-2016
Nicholas Joseph FeracciUBS Financial Services Inc.Morgan Stanley06-23-2016
Mary T StilesUBS Financial Services Inc.Morgan Stanley04-08-2016
Mitchell Robert CooperUBS Financial Services Inc.Morgan Stanley04-08-2016
James M IngoeUBS Financial Services Inc.FSC Securities Corporation12-10-2015
Wayne Thomas LavalleeUBS Financial Services Inc.Morgan Stanley10-16-2015
Richard Michael GaigeUBS Financial Services Inc.Morgan Stanley10-16-2015
Jeremy Joseph ReedUBS Financial Services Inc.Morgan Stanley10-16-2015
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 Stanley08-28-2014
Andrew Barry LeeUBS Financial Services Inc.Morgan Stanley11-04-2013
Daniel Jim LawsonUBS Financial Services Inc.Morgan Stanley11-04-2013
James Bartley GibsonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-17-2010
Nicholas Joseph BarbieriUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-17-2010
Walter A Williams JrUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-17-2010
William Mark ClarkUBS Financial Services Inc.Deutsche Bank Securities Inc.07-16-2009
Kevin E WesnerUBS Financial Services Inc.Citigroup Global Markets Inc.04-13-2009
Charles Walker AndersonUBS Financial Services Inc.Citigroup Global Markets Inc.03-26-2009
Elaine FlaniganUBS Financial Services Inc.Citigroup Global Markets Inc.03-26-2009
Russell J WeberUBS Financial Services Inc.Citigroup Global Markets Inc.03-05-2009
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Showing 1 to 25 of 51 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.