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
Deborah R. Johnston, Erica Frantz, Beth Peterson, Hannah MasonUBS Financial Services Inc.RBC Wealth Management$22307-18-2017
Deborah Rosemary JohnstonUBS Financial Services Inc.RBC Capital Markets, LLC$5007-18-2017
Erica Theresa FrantzUBS Financial Services Inc.RBC Capital Markets, LLC07-18-2017
Kristin Emily LarsonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC04-18-2016
Donald Walter Adams Jr.UBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10003-31-2016
Troy Thomas WieblerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1003-19-2015
Jesse James BullUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-19-2015
Christina Dae Van SlootenUBS Financial Services Inc.Wells Fargo Clearing Services, LLC08-13-2013
James Morey HayUBS Financial Services Inc.RBC Capital Markets, LLC05-14-2013
Judy Ann Fredrickson, Robert Sterling MetcalfUBS Financial Services Inc.AllianceBernstein L.P.04-10-2012
Gary James HansenUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-28-2012
Mark Jeffrey SpeckerUBS Financial Services Inc.OTR Global Trading LLC03-26-2012
Edward Joseph Folisi, Thomas Jefrey BarberUBS Financial Services Inc.Wells Fargo Clearing Services, LLC11-02-2011
David Edward IrvinUBS Financial Services Inc.Robert W. Baird & Co. Incorporated$15008-24-2011
Lisa Anne ByrneUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2505-19-2011
Michael Brian BlockUBS Financial Services Inc.Independent Financial Group, LLC04-25-2011
Brandon Matthew LarsonUBS Financial Services Inc.RBC Capital Markets, LLC$10002-23-2011
Ernest Harmon McFaddenUBS Financial Services Inc.Morgan Stanley10-29-2010
Gregory Allen FosterUBS Financial Services Inc.RBC Capital Markets, LLC$5007-28-2010
Jonathan Andrew EklinUBS Financial Services Inc.Citigroup Global Markets Inc.02-20-2009
John Gregory HedrickUBS Financial Services Inc.Citigroup Global Markets Inc.$10002-19-2009
Gregory Phillip IdelkopeUBS Financial Services Inc.Citigroup Global Markets Inc.$5002-19-2009
Jay Michael GriepUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-13-2009
Carin Lorraine ThomasUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-23-2009
Lester Allen Brunker Jr.UBS Financial Services Inc.Citigroup Global Markets Inc.01-02-2009

Showing 1 to 25 of 25 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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