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

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Andrew Jason SmithWells Fargo Clearing Services, LLCUBS Financial Services Inc.02-26-2016
Annette Cecile ProulxMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.08-21-2009
Bertin Marc Stuckart Jr., David George RucknoMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.04-22-2009
Carolyn Nicholson HashRaymond James & Associates, Inc.UBS Financial Services Inc.$10001-25-2011
Chalmers Lanier Glenn IVStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Curt O. HallWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.03-07-2018
Dabney Lee SharpStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
David Francis MarionWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5012-03-2010
David T. Spell Jr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.$5003-27-2014
Deirdre MarionMorgan StanleyUBS Financial Services Inc.09-12-2012
George Cook Howell IVWells Fargo Clearing Services, LLCUBS Financial Services Inc.03-15-2019
James Dennis YarbroughWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10003-15-2019
James Patrick StagerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10005-12-2017
Jeffrey Lamar BurtonWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$5003-24-2016
Jessica R. HarperWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$10003-24-2016
John Frank Dirks IIIWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$1004-04-2016
John Patrick CullenWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10003-29-2019
John Wayne JohnsonStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Jonathan Eugene HungerfordMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$20008-21-2009
Kiefer Welch OgburnWells Fargo Clearing Services, LLCUBS Financial Services Inc.03-15-2019
Lisa Lynne QuadriniWells Fargo Clearing Services, LLCUBS Financial Services Inc.02-26-2016
Lucinda Emley ShieldsStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$5003-27-2014
Mattison Rhame McCurryRaymond James & Associates, Inc.UBS Financial Services Inc.$5007-28-2011
Ronald Kenneth WilsonMorgan StanleyUBS Financial Services Inc.02-26-2010
Steven Jay MeyerWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$10003-24-2016
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Showing 1 to 25 of 28 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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