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Advisers on the Move - InvestmentNews

Advisers on the Move TEST

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 (Q2 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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Aaron Jason SotakMorgan StanleyUBS Financial Services Inc.$5006-17-2010
Andrew Michael KnutsonWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-15-2012
Anne Marie KerstenThrivent Investment Management Inc.UBS Financial Services Inc.12-21-2012
Anthony James Tsakakis Jr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.$5004-27-2009
Ardis L. Nohner BlackLPL Financial LLCUBS Financial Services Inc.$5001-13-2010
Benjamin Alan LeistikowRBC Capital Markets, LLCUBS Financial Services Inc.$111-30-2018
Blane Jeffrey HammerMorgan StanleyUBS Financial Services Inc.$10007-03-2012
Bradley Carl JensonRaymond James Financial Services, Inc.UBS Financial Services Inc.$5005-08-2009
Bradley Keith ChristiansenRaymond James Financial Services, Inc.UBS Financial Services Inc.$15009-15-2011
Brenda Jane IonRaymond James & Associates, Inc.UBS Financial Services Inc.12-04-2009
Brett AngelLPL Financial LLCUBS Financial Services Inc.$1012-09-2011
Brian Robert ZimnyRBC Capital Markets, LLCUBS Financial Services Inc.04-24-2009
Brian Steven GrahekMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5001-16-2009
Brian William NelsonWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1004-29-2011
Brittany K. KochSII Investments, Inc.UBS Financial Services Inc.07-10-2012
Bruce Daniel BarronWaddell & ReedUBS Financial Services Inc.04-29-2016
Carol Ann BrookmanMorgan StanleyUBS Financial Services Inc.10-10-2012
Carol Jean BrundieckMorgan StanleyUBS Financial Services Inc.03-04-2011
Chad Dallas ShilsonRBC Capital Markets, LLCUBS Financial Services Inc.$15010-22-2010
Chad Edward SoptickU.S. Bancorp Investments, Inc.UBS Financial Services Inc.10-29-2018
Charles Alexander Stewart Jr.Robert W. Baird & Co. IncorporatedUBS Financial Services Inc.03-26-2009
Charles Kermit AltendorferAmeriprise Financial Services, LLCUBS Financial Services Inc.06-22-2012
Charles Roger NorrisOppenheimer & Co. Inc.UBS Financial Services Inc.05-07-2010
Christian Nesset TietzRobert W. Baird & Co. IncorporatedUBS Financial Services Inc.10-01-2014
Chuck Jason McBeainU.S. Bancorp Investments, Inc.UBS Financial Services Inc.$1010-11-2011
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Showing 1 to 25 of 136 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.