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

Adviser(s) Firm joining Firm leaving AUM ($M) Date
John Craig WillsonAmeriprise Financial Services, LLCUBS Financial Services Inc.03-06-2020
Chad J. WillsonAmeriprise Financial Services, LLCUBS Financial Services Inc.03-06-2020
Nicole J OpieAmeriprise Financial Services, LLCUBS Financial Services Inc.03-06-2020
Michael James BlaszakMorgan StanleyUBS Financial Services Inc.01-10-2020
Don M. BunnellWells Fargo Clearing Services, LLCUBS Financial Services Inc.10-30-2017
Victor Scott RickmanWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1004-18-2016
Christopher R. SoutasWells Fargo Clearing Services, LLCUBS Financial Services Inc.04-18-2016
Mathew Jay HuffordWells Fargo Clearing Services, LLCUBS Financial Services Inc.$2504-18-2016
Katherine Heather HornerWells Fargo Clearing Services, LLCUBS Financial Services Inc.04-18-2016
Chad Arlen CaywoodRaymond James & Associates, Inc.UBS Financial Services Inc.$2502-03-2016
William Trent RiddRaymond James & Associates, Inc.UBS Financial Services Inc.02-03-2016
David Thomas MorrisonMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.09-08-2015
Benjamin West DriggsWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$2505-15-2015
David Michael GoarPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$1003-30-2015
Darrell Thorsted JonesWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10009-16-2013
John Charles PhillipsWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10009-16-2013
Lawrence Scott DickersonWells Fargo Clearing Services, LLCUBS Financial Services Inc.09-16-2013
Tracy Holmes DuckworthMorgan StanleyUBS Financial Services Inc.$5009-13-2012
Mary Amy LeonardMorgan StanleyUBS Financial Services Inc.$1009-20-2010
Sandra Ovens BerglundMorgan StanleyUBS Financial Services Inc.09-16-2010
Sam Basil VetasRBC Capital Markets, LLCUBS Financial Services Inc.06-04-2009
Brianne Mae AuneRBC Capital Markets, LLCUBS Financial Services Inc.06-04-2009
Alan Richard BattlesPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$5005-01-2009
Jason Ryan AndersenMorgan Stanley & Co. IncorporatedUBS Financial Services Inc.05-01-2009
Scott R. ChappellRBC Capital Markets, LLCUBS Financial Services Inc.$5003-03-2009
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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.