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Who's News

By Editorial Staff
October 1, 2008
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Wirehouses

Paul Matlock and Mary Linley Sweat have left UBS to join Smith Barney in Jackson, Miss. They previously generated $1.4 million on assets of $151 million.

Ajay Gupta has jumped from Merrill Lynch to UBS in La Jolla, Calif. He previously generated $2.8 million and oversaw client assets of $308 million.

Morgan Stanley has recruited Michael Siden and his team to join its Times Square, N.Y. office. They come from UBS where they grossed $4.2 million.

Frank Mezzanotte has jumped from CFS Investments to Smith Barney's office in Massapequa Park, N.Y. He previously administered $150 million in client assets and grossed $1.1 million.

UBS has recruited Wesley Wong to join its Woodland Hills, Calif. office. He comes from Smith Barney where he generated $1.6 million on assets of $190 million.

In Westlake, Ohio, Smith Barney has poached Harold Sheehan and Jeffrey Kitzberger from UBS. The pair oversaw $120 million in client assets and generated over $1.25 million in fees and commissions.

Walter Stevenson has join Smith Barney's office in Berkeley, Calif. He joins from Stevenson Capital management where he generated $1.8 million on assets of $159 million.

John Vita, Christopher Vining and Jared Hermann have joined Morgan Stanley's office in Bradenton, Fla. They come from Merrill Lynch, where they generated a combined $2 million on assets of $240 million.

Sam Pearson and Tom Gibbons havejumped from UBS to Smith Barney's office in Macon, Ga. The team previously managed over $300 million in client assets.

Sheila Cromwell, Lisa Mallia and Rich Filippelli, have left UBS to join Morgan Stanley's Purchase, N.Y. office. The team generated $1.5 million on $250 million of client assets.

In Pittsburgh, Smith Barney has recruited veteran financial advisor Gary Otto from UBS. Otto spent 32 years at UBS/PaineWebber where he generated $1.3 million on assets of almost $200 million.

UBS has recruited Michael Thompson and Patrick Henderson to join its Lone Tree, Colo., office. The pair comes from Smith Barney where they generated $1.7 million on $211 million of client assets.

Smith Barney has recruited Barbara Clarke to join its Lawrenceville, Pa., office. She comes from Merrill Lynch where she spent 19 years and generated $1.2 million on assets of $122 million.

In Sarasota, Fla. Robert Lyons has left Smith Barney to join UBS. He previously generated $2.1 million and oversaw $223 million in client assets.

Michele Sims, Alan Guerry and Trey Kinney have jumped from Merrill Lynch to Smith Barney in Atlanta. The team generated $1.2 million on assets of $143 million.

Melinda Carmichael has joined UBS in Pasadena, Calif. She comes from Morgan Stanley where she oversaw client assets of $246 million and grossed $1.2 million.

Smith Barney on Park Avenue, New York City has landed a $4.2 million team from UBS. Arthur Caruso and Scott Blair spent 19 and 15 years at UBS, respectively.

Private Banks

JPMorgan Private Wealth Management has hired Adam Green as Northeast regional director managing more than 200 advisors. Green comes from Lehman Brothers, where he was head of structured products marketing.

Michael Campbell has jumped to JPMorgan's office in St. Louis. He comes from Moloney Securities Asset Management, which he co-founded 11 years ago.

Regionals

Buddy Enoch has jumped from Wachovia to Raymond James & Associates in Nashville, Tenn. He previously oversaw $167 million in client assets and generated $1.15 million in production.

Karl Riner has joined RBC Wealth Management as senior managing director of the firm's Syracuse, N.Y. complex. Riner comes from the former AG Edwards, where he was branch manager in Buffalo, N.Y. He will manage 50 advisors over 10 branches.