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
Aaron H. FiskeB. Riley Wealth ManagementUBS Financial Services Inc.08-30-2017
Andrew Stuart MumpowerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$25001-07-2011
Angela Lynn TostensonWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)UBS Financial Services Inc.08-18-2011
Barbara E DeitelWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)UBS Financial Services Inc.$50002-01-2010
Benjamin Alvis Gentry IINext Financial Group, Inc.UBS Financial Services Inc.$10005-04-2009
Benjamin Taylor HaneyHarvest Investment Management LLCUBS Financial Services Inc.06-12-2014
Bruce MartinLPL Financial LLCUBS Financial Services Inc.04-22-2015
Carolyn C ConoverTBH Advisors, LLCUBS Financial Services Inc.10-14-2016
Christian Patrick DepriestFifth Third Securities, Inc.UBS Financial Services Inc.$10012-02-2009
Christopher S. LoganWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)UBS Financial Services Inc.08-13-2014
Craig Elliott LodgeB. Riley Wealth ManagementUBS Financial Services Inc.$50007-03-2014
David K TomitaFirst Horizon Advisors, Inc.UBS Financial Services Inc.$10007-06-2010
Donald Rex WelchRaymond James & Associates, Inc.UBS Financial Services Inc.$25004-09-2009
Garry Scott HenryLPL Financial LLCUBS Financial Services Inc.$25001-22-2014
Gary Sidney JamesonWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)UBS Financial Services Inc.$10009-09-2016
Gary Stephen ShortridgeSecurities America, Inc.UBS Financial Services Inc.$10005-20-2009
Grady Colin TaborProcessus Wealth & Capital Management, LLCUBS Financial Services Inc.11-19-2010
Gregory Allen TaylorWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$50007-02-2014
Gregory Scott SextonMorgan StanleyUBS Financial Services Inc.$10003-01-2013
Gust Edwin Johnson Jr.B. Riley Wealth ManagementUBS Financial Services Inc.$10006-30-2016
Hugh Mack SloanMorgan StanleyUBS Financial Services Inc.$50008-15-2014
James Alan CooperMorgan Stanley & Co. LLCUBS Financial Services Inc.$10004-01-2009
James Malone Thompson Jr.TrustFirstUBS Financial Services Inc.05-13-2013
James Montgomery DulaCommonwealth Financial NetworkUBS Financial Services Inc.$10005-27-2011
Jason Daniel PatrickMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$10007-07-2009
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Showing 1 to 25 of 84 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.


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