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.Recruiting Scoreboard (Q4 2019)
Recruiting Gains
Recruiting Losses
Net Gains
Latest moves
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| Donald Wayne Bailey | Raymond James Financial Services, Inc. | UBS Financial Services Inc. | $100 | 09-13-2019 |
| Sarahbeth S. Pipkin | STA Wealth Management, LLC | UBS Financial Services Inc. | — | 09-10-2019 |
| Daniel John Brauer | J.P. Morgan Securities LLC | UBS Financial Services Inc. | — | 07-12-2019 |
| Roger Ainsworth Graham | Wells Fargo Clearing Services, LLC | UBS Financial Services Inc. | — | 06-14-2019 |
| James Randy Smith | Prospera Financial Services, Inc. | UBS Financial Services Inc. | — | 03-29-2019 |
| Mark D. Magarian | Wells Fargo Clearing Services, LLC | UBS Financial Services Inc. | — | 03-11-2019 |
| Matthew Robert Holmes | Wells Fargo Clearing Services, LLC | UBS Financial Services Inc. | $50 | 02-15-2019 |
| Ricardo Antonio Lima Jr. | Raymond James Financial Services, Inc. | UBS Financial Services Inc. | — | 02-15-2019 |
| John Dwight Saalfield | Raymond James Financial Services, Inc. | UBS Financial Services Inc. | — | 02-15-2019 |
| Lindsay Brooke Heyman | Raymond James Financial Services, Inc. | UBS Financial Services Inc. | — | 02-15-2019 |
| Robert Anthony Russo | Raymond James Financial Services, Inc. | UBS Financial Services Inc. | $50 | 02-12-2019 |
| John Raymond Toungate | Austin Wealth Management, LLC | UBS Financial Services Inc. | — | 02-08-2019 |
| Ramakrishna Gali | RBC Capital Markets, LLC | UBS Financial Services Inc. | $50 | 01-31-2019 |
| Elizabeth Brittingham Turpin | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UBS Financial Services Inc. | — | 12-06-2018 |
| Alex A Vilfordi | Ameriprise Financial Services, Inc. | UBS Financial Services Inc. | — | 11-16-2018 |
| Adam Christopher Vilfordi | Ameriprise Financial Services, Inc. | UBS Financial Services Inc. | — | 11-16-2018 |
| Aaron Joseph Vilfordi | Ameriprise Financial Services, Inc. | UBS Financial Services Inc. | — | 11-16-2018 |
| George Louis Vilfordi III | Ameriprise Financial Services, Inc. | UBS Financial Services Inc. | — | 11-16-2018 |
| Paul Alexandre Biggins | Raymond James Financial Services, Inc. | UBS Financial Services Inc. | $100 | 08-03-2018 |
| Jeffery Alan Moore | LPL Financial LLC | UBS Financial Services Inc. | — | 02-23-2018 |
| William Anthony Kopp | BB&T Securities, LLC | UBS Financial Services Inc. | — | 11-30-2017 |
| Maura Patricia Guthrie | Wells Fargo Clearing Services, LLC | UBS Financial Services Inc. | $27 | 11-29-2017 |
| Gerardo Pena | Morgan Stanley | UBS Financial Services Inc. | — | 09-29-2017 |
| Yuriy Royzman | Wells Fargo Clearing Services, LLC | UBS Financial Services Inc. | $50 | 09-15-2017 |
| Alejandro Ayala | Morgan Stanley | UBS Financial Services Inc. | — | 08-25-2017 |
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.
