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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Latest moves

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Jason Michael KelleyUBS Financial Services Inc.SunTrust Investment Services, Inc.04-02-2018
Patricia Georgia FrenchUBS Financial Services Inc.BB&T Securities, LLC09-16-2015
Mark Richard R. FrenchUBS Financial Services Inc.BB&T Securities, LLC$10009-16-2015
Ira Karl RinerUBS Financial Services Inc.RBC Capital Markets, LLC$10003-26-2015
Michael John Smalyga Jr.UBS Financial Services Inc.Morgan Stanley08-01-2012
James Dennis YarbroughUBS Financial Services Inc.Scott & Stringfellow, LLC$1002-29-2012
George Cook Howell IVUBS Financial Services Inc.Scott & Stringfellow, LLC02-29-2012
Emily KupplerUBS Financial Services Inc.Lord Abbett Distributor LLC03-31-2011
Kelly Jean GalloUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-12-2010
Ellen Theresa LeboeufUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1006-12-2009
Christopher J. NewtonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-22-2009
Craig Kenneth PickeringUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-22-2009
John Patrick CullenUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-21-2009

Showing 1 to 13 of 13 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.