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
Richard A SorensonRBC Capital Markets, LLCUBS Financial Services Inc.02-03-2009
Matthew Bartlett SorensonRBC Capital Markets, LLCUBS Financial Services Inc.$5002-06-2009
John William LongfieldRBC Capital Markets, LLCUBS Financial Services Inc.02-06-2009
Kevin George SahliUmpqua Investments, Inc.UBS Financial Services Inc.02-10-2009
Marcia Marie Moore-HullRBC Capital Markets, LLCUBS Financial Services Inc.$15004-09-2009
Christopher AchesonRBC Capital Markets, LLCUBS Financial Services Inc.$15004-09-2009
Christopher Peter KlavinsRBC Capital Markets, LLCUBS Financial Services Inc.$15004-09-2009
Kevin James JordanWedbush Securities Inc.UBS Financial Services Inc.$5004-15-2009
Douglas John McCaslinPaulson Investment Company LLCUBS Financial Services Inc.$2504-27-2009
Eric Phillip StromAmeriprise Financial Services, LLCUBS Financial Services Inc.$2505-08-2009
Earl Brent TyeStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.05-14-2009
Will DietzRBC Capital Markets, LLCUBS Financial Services Inc.$15006-04-2009
Patricia Shannon HeaslerWaddell & ReedUBS Financial Services Inc.$107-09-2009
Russell Harvey JacobsenUmpqua Investments, Inc.UBS Financial Services Inc.08-17-2009
Curtis Fred BennettD.A. Davidson & Co.UBS Financial Services Inc.11-18-2009
David Michael PreszlerD.A. Davidson & Co.UBS Financial Services Inc.11-18-2009
Ray Allen CoxMorgan StanleyUBS Financial Services Inc.$10001-06-2010
Robert Everett StorlieSummit Brokerage Services, Inc.UBS Financial Services Inc.$10001-08-2010
Anthony Hurlbut FisherMorgan StanleyUBS Financial Services Inc.03-19-2010
David Randolph ThomasWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5005-12-2010
Mark Brownell ThomasWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-12-2010
William Wallace McCraeRBC Capital Markets, LLCUBS Financial Services Inc.$15006-11-2010
Charles Henry PutneyRBC Capital Markets, LLCUBS Financial Services Inc.06-11-2010
Steven Arthur RapfRBC Capital Markets, LLCUBS Financial Services Inc.06-25-2010
Keith MorganUmpqua Investments, Inc.UBS Financial Services Inc.$15007-15-2010
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Showing 1 to 25 of 54 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.