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
Jon Joseph Dawn7B Advisors LLCUBS Financial Services Inc.11-21-2019
Paul Edward JohnsonLPL Financial LLCUBS Financial Services Inc.11-08-2019
Matthew Shane LuskLPL Financial LLCUBS Financial Services Inc.11-08-2019
Terrance Leo CookParcion Private Wealth LLCUBS Financial Services Inc.10-28-2019
Kyle CaouetteParcion Private Wealth LLCUBS Financial Services Inc.10-25-2019
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
Steven Anthony DeluciaCornerstone Advisors IncUBS Financial Services Inc.10-22-2018
John Michael HeffelFortis Capital Management LLCUBS Financial Services Inc.08-13-2018
Sally Virginia DewittFisher InvestmentsUBS Financial Services Inc.06-29-2017
Andrew Charles KnottsFisher InvestmentsUBS Financial Services Inc.06-27-2017
Kari RiceWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)UBS Financial Services Inc.10-13-2016
Chelsea Annette JohnsonAmeriprise Financial Services, Inc.UBS Financial Services Inc.09-13-2016
Christopher G. CanlasMorgan StanleyUBS Financial Services Inc.01-15-2016
Joseph Brennan WinklerBristlecone Advisors LLCUBS Financial Services Inc.10-14-2015
Jenna M BrazileFreestone Capital Management, LLCUBS Financial Services Inc.10-02-2015
Leonard Adriaan Van DorpGarde Capital, Inc.UBS Financial Services Inc.01-23-2015
William Ambrose DugganFisher InvestmentsUBS Financial Services Inc.01-12-2015
Patrick Danniel ChinMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.07-09-2014
Daniel Ung HalsneWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)UBS Financial Services Inc.07-08-2014
Carlos Luis ObandoNorthwest Asset ManagementUBS Financial Services Inc.03-11-2014
Laura Lynne SamuelsonMorgan StanleyUBS Financial Services Inc.03-05-2014
Alexander Oliver SolomonFisher InvestmentsUBS Financial Services Inc.01-08-2014
Robert Lewis SpencerFisher InvestmentsUBS Financial Services Inc.10-02-2013
Theodore Samuel Coleman Jr.Morgan StanleyUBS Financial Services Inc.06-07-2013
Next Page »

Showing 1 to 25 of 94 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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