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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Grant Joseph TrowerUBS Financial Services Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)01-09-2019
Sean MuncyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-03-2019
Mark Alexander WilkinsUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-15-2015
Margaret A PrescotteUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-03-2015
Andrew Howard SiglerUBS Financial Services Inc.Hutchinson, Shockey, Erley & Co.12-01-2014
Jerome Francis MartinUBS Financial Services Inc.Morgan Stanley03-27-2013
Ryan Timothy HoganUBS Financial Services Inc.MetLife Securities Inc.07-23-2012
John E BurnsUBS Financial Services Inc.Edward Jones09-08-2011
Regina Ruth OnkstUBS Financial Services Inc.Morgan Stanley & Co. LLC05-20-2009
Joanne Vera McknightUBS Financial Services Inc.Citigroup Global Markets Inc.04-24-2009
Robert Henry Mooney IIIUBS Financial Services Inc.Citigroup Global Markets Inc.03-13-2009
Joel F. EngelhardtUBS Financial Services Inc.Oppenheimer & Co. Inc.01-30-2009
James Bernard LipariUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10009-03-2015
Michael Lavery MartinUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10004-11-2014
Stacey Denise ParkerUBS Financial Services Inc.Ameriprise Financial Services, Inc.$10003-24-2014
Thomas Matthew CordesUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10012-13-2013
James Frederick Shafferman IIIUBS Financial Services Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$10001-18-2013
Michael Patrick GerardUBS Financial Services Inc.Morgan Stanley$10007-13-2012
Jerry Dean SmithUBS Financial Services Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$10005-08-2009
Steven Philip WirthUBS Financial Services Inc.Citigroup Global Markets Inc.$10005-08-2009
Gregory Buell CamdenUBS Financial Services Inc.Citigroup Global Markets Inc.$10005-08-2009
Frances Watkins DouthatUBS Financial Services Inc.Citigroup Global Markets Inc.$10004-24-2009
Paul Irving MillerUBS Financial Services Inc.Citigroup Global Markets Inc.$10003-13-2009
Douglas Charles GastUBS Financial Services Inc.Oppenheimer & Co. Inc.$10001-20-2009
Robert Douglas GastUBS Financial Services Inc.Oppenheimer & Co. Inc.$10001-20-2009
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Showing 1 to 25 of 52 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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