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
Perry Keith Jeffries IIIChase Investment Services Corp.UBS Financial Services Inc.01-01-2009
Christopher Patrick TuckerMorgan Stanley & Co. IncorporatedUBS Financial Services Inc.$15001-01-2009
Charles Anthony Romano IIIFidelity Brokerage Services LLCUBS Financial Services Inc.01-12-2009
James Irwin BriskLPL Financial LLCUBS Financial Services Inc.$5001-30-2009
Jonathon Alan ChalkCitigroup Global Markets Inc.UBS Financial Services Inc.02-01-2009
Jeffrey Stewart HedleyRobert W. Baird & Co. IncorporatedUBS Financial Services Inc.02-20-2009
Patrick Joseph RollinsCitigroup Global Markets Inc.UBS Financial Services Inc.$5003-01-2009
Laurence Joseph WulkerOppenheimer & Co. Inc.UBS Financial Services Inc.03-12-2009
Adelbert Francis DuffyCUSO Financial Services, L.P.UBS Financial Services Inc.03-23-2009
David Richard KaserMorgan Stanley & Co. LLCUBS Financial Services Inc.$2504-01-2009
Richard Joseph KaserMorgan Stanley & Co. LLCUBS Financial Services Inc.$2504-01-2009
Aaron E MechlingMorgan Stanley & Co. LLCUBS Financial Services Inc.04-01-2009
William Bartholomew Von HoeneAmeriprise Financial Services, LLCUBS Financial Services Inc.04-13-2009
Benjamin Wyan BaileyAmeriprise Financial Services, LLCUBS Financial Services Inc.$5004-22-2009
Mary Schroeder GierszStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$2505-01-2009
Daryl Joseph DemoMorgan Stanley & Co. IncorporatedUBS Financial Services Inc.$1005-01-2009
Gregory Bennett WellsMorgan Stanley & Co. LLCUBS Financial Services Inc.$10005-01-2009
Brian Keith AlbachMorgan Stanley & Co. LLCUBS Financial Services Inc.$10005-01-2009
Timothy Patrick LoftonMorgan Stanley & Co. LLCUBS Financial Services Inc.$20005-01-2009
Shawn D AndersonMorgan Stanley & Co. LLCUBS Financial Services Inc.05-01-2009
Stephen Edward DauerMorgan Stanley & Co. LLCUBS Financial Services Inc.$15005-01-2009
Kyle Waller PolandMorgan Stanley & Co. LLCUBS Financial Services Inc.$1005-01-2009
Anthony CeccarelliChase Investment Services Corp.UBS Financial Services Inc.05-04-2009
James Evan WilliamsOppenheimer & Co. Inc.UBS Financial Services Inc.$5005-04-2009
Brandon Thomas SmithMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5005-04-2009
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Showing 1 to 25 of 210 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.