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.

Recruiting Scoreboard (Q4 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

Filters

Adviser(s) Firm joining Firm leaving AUM ($M) Date
John Richard CarterUBS Financial Services Inc.Morgan Stanley04-13-2020
Alvin C MakUBS Financial Services Inc.Morgan Stanley03-30-2020
Jordan McLendonUBS Financial Services Inc.Morgan Stanley$27012-06-2019
Jordan Paul McLendonUBS Financial Services Inc.Morgan Stanley12-06-2019
James Allen MillerUBS Financial Services Inc.Morgan Stanley04-18-2019
John Patrick MalarneyUBS Financial Services Inc.Morgan Stanley01-17-2019
Kyle Aaron AshmoreUBS Financial Services Inc.Morgan Stanley09-05-2018
Luis Rafael DiazUBS Financial Services Inc.Morgan Stanley03-19-2018
Steven James CervinoUBS Financial Services Inc.Morgan Stanley02-23-2018
Mario GutierrezUBS Financial Services Inc.Morgan Stanley12-14-2017
Mazhar M KhorakiwalaUBS Financial Services Inc.Morgan Stanley$2511-16-2017
Alexis Olga ProkopUBS Financial Services Inc.Morgan Stanley11-15-2017
Marisol NicollUBS Financial Services Inc.Morgan Stanley03-10-2017
Michael John TaylorUBS Financial Services Inc.Morgan Stanley02-22-2017
Natalie A FlotnerUBS Financial Services Inc.Morgan Stanley11-15-2016
Bradley Jay RubinUBS Financial Services Inc.Morgan Stanley05-11-2016
Amy Beth LevensonUBS Financial Services Inc.Morgan Stanley$5003-28-2016
Annemarie E CookUBS Financial Services Inc.Morgan Stanley03-22-2016
James Edward KrugUBS Financial Services Inc.Morgan Stanley01-15-2016
Anthony John CappielloUBS Financial Services Inc.Morgan Stanley$3510-23-2015
Brian John DejoyUBS Financial Services Inc.Morgan Stanley$10010-07-2015
Alexander Edward MacphersonUBS Financial Services Inc.Morgan Stanley09-30-2015
Gary Michael KenajianUBS Financial Services Inc.Morgan Stanley09-03-2015
David Sobocinski Julian Frank Marc Wong Mark RemigioUBS Financial Services Inc.Morgan Stanley$95008-28-2015
David P Paul SobocinskiUBS Financial Services Inc.Morgan Stanley$15008-28-2015
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Showing 1 to 25 of 130 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.