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
Abe PomerancWells Fargo Clearing Services, LLCUBS Financial Services Inc.02-14-2019
Adriana DepalmaRaymond James Financial Services, Inc.UBS Financial Services Inc.02-10-2015
Alan Michael BlockMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10010-21-2013
Alan Neal RoseWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10001-25-2013
Alex Harris WrenWells Fargo Clearing Services, LLCUBS Financial Services Inc.10-22-2018
Alex Mead StetterMorgan StanleyUBS Financial Services Inc.06-15-2015
Alexander DimartiniRoyal Alliance Associates, Inc.UBS Financial Services Inc.$5001-27-2017
Alexander Theophilos FokidesMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5011-17-2017
Amal D GawlePruco Securities, LLC.UBS Financial Services Inc.06-01-2009
Amy Jeanne SullivanWells Fargo Clearing Services, LLCUBS Financial Services Inc.06-30-2017
Andre T SpantopanagosState Farm VP Management Corp.UBS Financial Services Inc.07-01-2014
Andrew DupontMorgan StanleyUBS Financial Services Inc.$2510-07-2016
Andrew Kenneth PleatMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.08-10-2012
Andrew William ArnoldPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$10001-23-2015
Angela D. RutledgeMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.06-23-2014
Anthony Paul CatalanoMorgan StanleyUBS Financial Services Inc.$5003-01-2013
Arlo James HanleyAmeriprise Financial Services, Inc.UBS Financial Services Inc.$10008-31-2017
Barry Neal CahnWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5011-15-2017
Barry TuckerJ.P. Morgan Securities LLCUBS Financial Services Inc.06-11-2010
Ben Young P YoungLazard Asset Management Securities LLCUBS Financial Services Inc.04-26-2016
Benjamin MarcanoWells Fargo Clearing Services, LLCUBS Financial Services Inc.03-06-2015
Benjamin Neil CohenWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-11-2018
Bernard Arthur CliftonRaymond James Financial Services, Inc.UBS Financial Services Inc.$5006-19-2009
Bernie Lee TownesJanney Montgomery Scott LLCUBS Financial Services Inc.$10011-30-2017
Beryl Ephraim SorscherWells Fargo Clearing Services, LLCUBS Financial Services Inc.03-16-2009
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Showing 1 to 25 of 289 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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