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
Kimberly Ann MankinUBS Financial Services Inc.J.J.B. Hilliard, W.L. Lyons, LLC$5001-31-2019
Edward Peterson HostetlerUBS Financial Services Inc.Morgan Stanley$10009-22-2017
James Eustis Corrigan IIIUBS Financial Services Inc.FTB Advisors, Inc.01-04-2017
Michael Benjamin SanfordUBS Financial Services Inc.Morgan Stanley02-26-2016
James Arthur NicholsUBS Financial Services Inc.Morgan Stanley11-17-2015
Jeffery Allen WieseUBS Financial Services Inc.FTB Advisors, Inc.11-17-2015
Lechelle Lee MooreUBS Financial Services Inc.SunTrust Investment Services, Inc.$5010-19-2015
Bridget F. HoranUBS Financial Services Inc.Mercer Allied Company, L.P.02-12-2015
Frank Ferrell Bellar IIIUBS Financial Services Inc.Curian Clearing, LLC03-18-2014
Donald Neal BatemanUBS Financial Services Inc.Morgan Stanley02-07-2014
Daniel Patrick GreenUBS Financial Services Inc.Lord Abbett Distributor LLC$10007-29-2013
Scott Matthew RheaUBS Financial Services Inc.Morgan Stanley03-28-2013
John Raymond MowryUBS Financial Services Inc.Waddell & Reed03-04-2013
Keri Ticer GageUBS Financial Services Inc.SunTrust Investment Services, Inc.12-06-2012
Brandon Scott SullivanUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10011-09-2012
Gerald S. Castle Jr.UBS Financial Services Inc.Wells Fargo Clearing Services, LLC11-09-2012
James Thomas ShareUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5004-30-2012
Peter Stephen Knoop Jr.UBS Financial Services Inc.Morgan Keegan & Company, Inc.$10004-23-2012
Nicklus H. CaplenorUBS Financial Services Inc.Morgan Keegan & Company, Inc.04-23-2012
Michael Dent NunnallyUBS Financial Services Inc.AXA Advisors, LLC04-09-2012
Stefan Daniel GertschUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-18-2012
Shane Ellis UnsworthUBS Financial Services Inc.Wells Fargo Clearing Services, LLC05-27-2011
Mitchell Glenn TuellUBS Financial Services Inc.SunTrust Investment Services, Inc.04-29-2011
Richard Reed RuhUBS Financial Services Inc.Morgan Stanley$5002-15-2011
Meredith C TrautscholdUBS Financial Services Inc.Morgan Stanley04-26-2010
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Showing 1 to 25 of 40 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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