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
Ryan K Van WagenenUBS Financial Services Inc.Citigroup Global Markets Inc.09-08-2015
Jose Luis Rincon-Gallardo RomoUBS Financial Services Inc.Citigroup Global Markets Inc.06-28-2013
Carol Melinn SmithUBS Financial Services Inc.Citigroup Global Markets Inc.06-11-2009
Jensen Baker MoockUBS Financial Services Inc.Citigroup Global Markets Inc.05-08-2009
Patrick Steven CarriganUBS Financial Services Inc.Citigroup Global Markets Inc.05-05-2009
Bernard Mark PaulUBS Financial Services Inc.Citigroup Global Markets Inc.05-05-2009
Brant Christopher FergusonUBS Financial Services Inc.Citigroup Global Markets Inc.05-05-2009
Justin T EastburnUBS Financial Services Inc.Citigroup Global Markets Inc.05-05-2009
Ozzie Robert BauerUBS Financial Services Inc.Citigroup Global Markets Inc.$10004-09-2009
Deborah Lynn BauerUBS Financial Services Inc.Citigroup Global Markets Inc.$15004-09-2009
Jimmy Bob McNeilUBS Financial Services Inc.Citigroup Global Markets Inc.04-09-2009
William Edward HrynyshynUBS Financial Services Inc.Citigroup Global Markets Inc.$2503-18-2009
Weldon Hugh HawkinsUBS Financial Services Inc.Citigroup Global Markets Inc.$5003-13-2009
Gary Wayne CarbyUBS Financial Services Inc.Citigroup Global Markets Inc.$10003-12-2009
Paul Joseph BretUBS Financial Services Inc.Citigroup Global Markets Inc.$10003-11-2009
Paul Alexandre BigginsUBS Financial Services Inc.Citigroup Global Markets Inc.$2503-06-2009
Patrick Joseph BigginsUBS Financial Services Inc.Citigroup Global Markets Inc.$2503-06-2009
Craig Allen HottellUBS Financial Services Inc.Citigroup Global Markets Inc.$1003-06-2009
Lori Lynne SiegelUBS Financial Services Inc.Citigroup Global Markets Inc.$10002-11-2009
Robert Anthony RussoUBS Financial Services Inc.Citigroup Global Markets Inc.$10002-11-2009
James Randy SmithUBS Financial Services Inc.Citigroup Global Markets Inc.02-06-2009
Bobby Joe FogleUBS Financial Services Inc.Citigroup Global Markets Inc.$10002-06-2009
William Anthony KoppUBS Financial Services Inc.Citigroup Global Markets Inc.02-06-2009
Monica Terese WhiteUBS Financial Services Inc.Citigroup Global Markets Inc.$5001-27-2009
Patrick Roland GraysonUBS Financial Services Inc.Citigroup Global Markets Inc.$20001-22-2009
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Showing 1 to 25 of 29 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.