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
Robert Timothy HigginsWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10003-01-2019
Paul Raymond HakelMid Atlantic Capital CorporationUBS Financial Services Inc.$15012-13-2018
Edmund David FosterRBC Capital Markets, LLCUBS Financial Services Inc.$15011-30-2017
Mark Floyd SantiaRBC Capital Markets, LLCUBS Financial Services Inc.$5011-30-2017
Victoria Nicole GoralHaverford Trust Securities, Inc.UBS Financial Services Inc.10-27-2017
Michael Anthony MarottaMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.02-08-2017
Gregory Ron BowdenWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.01-10-2017
Janet Katherine SaboVoya Financial Advisors, Inc.UBS Financial Services Inc.10-05-2016
James Brad MarcusWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$10008-12-2016
Sanjit Singh KharaWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.08-12-2016
William Francis QuinnLPL Financial LLCUBS Financial Services Inc.06-30-2016
Jesse LevyLPL Financial LLCUBS Financial Services Inc.12-18-2015
Kurt James SkvarlaWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.12-02-2015
William Robert BeckerWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.12-02-2015
John Leo WilliamsWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5009-25-2015
Joel Phillip FeldmanRaymond James & Associates, Inc.UBS Financial Services Inc.01-08-2015
Elan SankerEdward JonesUBS Financial Services Inc.12-05-2014
Lindsay Denardo HansMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.09-12-2014
Wendy Hawley FosterMorgan StanleyUBS Financial Services Inc.09-10-2014
Thomas Richard ByrnesRBC Capital Markets, LLCUBS Financial Services Inc.$15004-24-2014
Roger Bruce SyracuseDeutsche Bank Securities Inc.UBS Financial Services Inc.04-16-2014
Alice Kennedy WilsonMorgan StanleyUBS Financial Services Inc.01-09-2014
William Richard Winkeler Jr.RBC Capital Markets, LLCUBS Financial Services Inc.11-08-2013
Jeanine Marie GuzzardiPNC InvestmentsUBS Financial Services Inc.$15010-04-2013
Steven Randall ShefflerMorgan StanleyUBS Financial Services Inc.$2512-07-2012
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Showing 1 to 25 of 71 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.

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