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
George Joseph Simon JrRaymond James Financial Services, Inc.UBS Financial Services Inc.$5009-02-2020
Michael Brown Tammy Brown Adam BrownRaymond James Financial Services, Inc.UBS Financial Services Inc.$30006-03-2020
Michael Luther BrownRaymond James Financial Services, Inc.UBS Financial Services Inc.$15006-03-2020
Tammy Thompson BrownRaymond James Financial Services, Inc.UBS Financial Services Inc.$15006-03-2020
Adam Christopher BrownRaymond James Financial Services, Inc.UBS Financial Services Inc.$15006-03-2020
Carson Taylor SanfordDelta Wealth Solutions, LLCUBS Financial Services Inc.02-07-2020
James Christopher BeckerJ.P. Morgan Securities LLCUBS Financial Services Inc.$15010-25-2019
Dolores M FainJ.P. Morgan Securities LLCUBS Financial Services Inc.10-25-2019
Pamela Jean Abercrombie CappsJ.P. Morgan Securities LLCUBS Financial Services Inc.10-25-2019
James Carl AlbertsJ.P. Morgan Securities LLCUBS Financial Services Inc.10-25-2019
Glenn Thomas ReganEdward JonesUBS Financial Services Inc.01-12-2019
Edward Gerard HenrichsRaymond James & Associates, Inc.UBS Financial Services Inc.$5008-31-2018
Bernard Joseph HaselhorstRaymond James & Associates, Inc.UBS Financial Services Inc.$15008-31-2018
Martin E ObermanRaymond James & Associates, Inc.UBS Financial Services Inc.$15008-31-2018
Harold MacFarland Tadd HicksRaymond JamesUBS Financial Services Inc.$22010-25-2016
Harold Edward MacfarlandRaymond James & Associates, Inc.UBS Financial Services Inc.$5009-23-2016
Tadd Duane HicksRaymond James & Associates, Inc.UBS Financial Services Inc.$15009-23-2016
Gary F EinigWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10005-31-2016
Stephen William PetersMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$1010-29-2015
Stephen Joseph WillmanWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5010-01-2015
Richard Godwin JoyceWells Fargo Clearing Services, LLCUBS Financial Services Inc.09-25-2014
Philip Lance WellmanAmeriprise Financial Services, LLCUBS Financial Services Inc.07-11-2014
James Laughlin SrWells Fargo Clearing Services, LLCUBS Financial Services Inc.$9706-12-2014
James Paul Laughlin SrWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10006-12-2014
Robert Richard MoseleyEdward JonesUBS Financial Services Inc.02-27-2014
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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.