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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Susan Ann BowmanRockefeller Financial LLCUBS Financial Services Inc.09-04-2020
Angela Ann BaconRockefeller Financial LLCUBS Financial Services Inc.09-04-2020
Francis Xavier AmslerRockefeller Financial LLCUBS Financial Services Inc.$5009-04-2020
Marc E LabordeRockefeller Financial LLCUBS Financial Services Inc.$40009-04-2020
Christopher Ryan BowmanRockefeller Financial LLCUBS Financial Services Inc.09-04-2020
Mark Eric DahlMorgan StanleyUBS Financial Services Inc.08-28-2020
Timothy Lawrence OConnorMorgan StanleyUBS Financial Services Inc.08-28-2020
Allan John KlenkeMorgan StanleyUBS Financial Services Inc.08-28-2020
Gregory Owen KlenkeMorgan StanleyUBS Financial Services Inc.$15008-28-2020
Mark Allen KayeMorgan StanleyUBS Financial Services Inc.$2508-28-2020
Jordan Thomas WinterfeldMorgan StanleyUBS Financial Services Inc.08-28-2020
Shane T HackneyAmeriprise Financial Services, LLCUBS Financial Services Inc.06-12-2020
Shay W ScruggsRockefeller Financial LLCUBS Financial Services Inc.$506-05-2020
Kevin Robert WrightRockefeller Financial LLCUBS Financial Services Inc.06-05-2020
Trenton Ray HollasRockefeller Financial LLCUBS Financial Services Inc.06-05-2020
Laura C RaabBanorte-IXE Securities International, LTD.UBS Financial Services Inc.05-29-2020
Richard Wayne NelsonMorgan StanleyUBS Financial Services Inc.05-22-2020
Rosario BurnsMorgan StanleyUBS Financial Services Inc.$15005-22-2020
Alexandra Isabella VanmeursMorgan StanleyUBS Financial Services Inc.05-22-2020
Frank Michael DAntuonoRBC Capital Markets, LLCUBS Financial Services Inc.03-26-2020
James Harry LaneMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.03-12-2020
Rochelle Lynn HernandezUSCA Securities LLCUBS Financial Services Inc.02-26-2020
Cynthia Lynn Mosley-GuyMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.02-14-2020
Katherine Ann ShafferMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.02-14-2020
Nita Lyon TuckerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.02-14-2020
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Showing 1 to 25 of 287 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.