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
Matthew Shane LuskLPL Financial LLCUBS Financial Services Inc.$2511-08-2019
Matthew Mackay KelleherWedbush Securities Inc.UBS Financial Services Inc.$15006-21-2019
William Detar ShawNational Securities CorporationUBS Financial Services Inc.11-29-2018
Dustin Bui NguyenRaymond James Financial Services, Inc.UBS Financial Services Inc.10-26-2018
John Michael HeffelFortis Capital Management LLCUBS Financial Services Inc.08-13-2018
William E. LuskCUSO Financial Services, L.P.UBS Financial Services Inc.10-24-2017
Scott Gregory BowmanWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5009-13-2017
Kari RiceWells Fargo Clearing Services, LLCUBS Financial Services Inc.10-13-2016
Dana Marie FerrellAmeriprise Financial Services, Inc.UBS Financial Services Inc.$3509-13-2016
Richard James DevlinAmeriprise Financial Services, Inc.UBS Financial Services Inc.$9701-29-2016
Christopher G. CanlasMorgan StanleyUBS Financial Services Inc.01-15-2016
Andrew Tighe SmithWells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$5007-02-2015
Michael Lowery TracyWells Fargo Clearing Services, LLCUBS Financial Services Inc.01-02-2015
Daniel Ung HalsneWells Fargo Clearing Services, LLCUBS Financial Services Inc.07-08-2014
James Herbert GillinghamMorgan StanleyUBS Financial Services Inc.$15002-14-2014
Christine Noelle CoteMorgan StanleyUBS Financial Services Inc.$10002-14-2014
Andrew W. HergertRaymond James Financial Services, Inc.UBS Financial Services Inc.10-04-2013
Robert Lewis SpencerFisher InvestmentsUBS Financial Services Inc.10-02-2013
Kerry Lynne ZimmMorgan StanleyUBS Financial Services Inc.12-18-2012
Robin LinLin & Company, LLCUBS Financial Services Inc.10-05-2012
Bradley Steven StarkU.S. Bancorp Investments, Inc.UBS Financial Services Inc.$1005-31-2012
Karyn Marie Shirbroun, Robert Dean Lipman, Jack I AlmoMorgan StanleyUBS Financial Services Inc.09-12-2011
Ronald Craig MulbergMorgan StanleyUBS Financial Services Inc.$20006-03-2011
Michael Allan Booth, Rorie E ZajacMorgan StanleyUBS Financial Services Inc.06-03-2011
Kevin TefftWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10005-28-2010
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Showing 1 to 25 of 42 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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