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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Deborah R Johnston Erica Frantz Beth Peterson Hannah MasonUBS Financial Services Inc.RBC Capital Markets, LLC$22307-18-2017
Jeffrey Jon BotzUBS Financial Services Inc.Wells Fargo Clearing Services, LLC12-05-2019
Andrew Michael KnutsonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$611-15-2019
Carson Jasper WalkerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-17-2018
Zachary James JohnstonUBS Financial Services Inc.Securian Financial Services, Inc.12-12-2017
Jamal William Abu-ShamalaUBS Financial Services Inc.Principal Securities, Inc.11-30-2017
Deborah Rosemary JohnstonUBS Financial Services Inc.RBC Capital Markets, LLC07-18-2017
Erica Theresa FrantzUBS Financial Services Inc.RBC Capital Markets, LLC$5007-18-2017
Karen Ann PetersonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5006-14-2016
Kristin Emily LarsonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC04-18-2016
Donald Walter Adams JrUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-31-2016
Daniel William MonahanUBS Financial Services Inc.Wealth Enhancement Brokerage Services, LLC10-05-2015
Scott James GreeningUBS Financial Services Inc.Thrivent Investment Management Inc.08-07-2015
Jesse James BullUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$27403-19-2015
Troy Thomas WieblerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$3003-19-2015
Bruce Geoffrey WainUBS Financial Services Inc.Ameriprise Financial Services, LLC07-28-2014
Christina Van SlootenUBS Financial Services Inc.Wells Fargo Clearing Services, LLC08-13-2013
Patrick F MorganUBS Financial Services Inc.LPL Financial LLC$10006-27-2013
James M HayUBS Financial Services Inc.RBC Capital Markets, LLC$5005-14-2013
Judy A FredricksonUBS Financial Services Inc.AllianceBernstein L.P.04-10-2012
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 FolisiUBS Financial Services Inc.Wells Fargo Clearing Services, LLC11-02-2011
Thomas Jeffrey BarberUBS Financial Services Inc.Wells Fargo Clearing Services, LLC11-02-2011
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Showing 1 to 25 of 38 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.