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
Net Losses
| Firm | Total Moves |
| 1. FSC Securities Corporation | 64 |
| 2. Merrill Lynch, Pierce, Fenner & Smith Incorporated | 38 |
| 3. Wells Fargo Clearing Services, LLC | 30 |
| 4. Morgan Stanley | 23 |
| 5. AXA Advisors, LLC | 15 |
Latest moves
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| Bradford Joseph Rindler | Ameriprise Financial Services, Inc. | AXA Advisors, LLC | $100 | 04-10-2015 |
| William Matthew Cratty | Ameriprise Financial Services, Inc. | AXA Advisors, LLC | $25 | 06-17-2014 |
| Michael Robert Kalas, Steven Richardson, Timothy Peter Shean | Commonwealth Financial Network | AXA Advisors, LLC | $50 | 04-29-2011 |
| Christopher C Giambrone | Commonwealth Financial Network | AXA Advisors, LLC | — | 05-19-2009 |
| Aimee Christine Marden | CUSO Financial Services, L.P. | AXA Advisors, LLC | — | 01-04-2016 |
| Luis Henrique Pires | GWN Securities Inc. | AXA Advisors, LLC | — | 03-24-2016 |
| Michael Galvin Merrick | GWN Securities Inc. | AXA Advisors, LLC | — | 08-21-2015 |
| Joseph B. Ferrara | GWN Securities Inc. | AXA Advisors, LLC | $25 | 04-28-2015 |
| Aarikka Jean Burgess | Kestra Investment Services, LLC | AXA Advisors, LLC | — | 10-18-2017 |
| Wesley H. Rickard | LPL Financial LLC | AXA Advisors, LLC | — | 02-19-2013 |
| George Edward Diamantis | LPL Financial LLC | AXA Advisors, LLC | — | 08-26-2011 |
| James Earl Saturne | Merrill Lynch, Pierce, Fenner & Smith Incorporated | AXA Advisors, LLC | — | 12-06-2018 |
| Wendy Jill Karkoska | Merrill Lynch, Pierce, Fenner & Smith Incorporated | AXA Advisors, LLC | $100 | 11-26-2018 |
| Keith Lamon Gilbreath | Merrill Lynch, Pierce, Fenner & Smith Incorporated | AXA Advisors, LLC | — | 03-28-2017 |
| Terrell Joyner | MML Investors Services, LLC | AXA Advisors, LLC | — | 04-25-2014 |
| Sydney Katherine Smith | Mutual of Omaha Investor Services, Inc. | AXA Advisors, LLC | — | 02-27-2019 |
| Justin Pittman Holley | Park Avenue Securities LLC | AXA Advisors, LLC | — | 01-18-2013 |
| Christopher Louis Dedea | UStockTrade Securities, Inc. | AXA Advisors, LLC | — | 04-04-2018 |
Showing 1 to 18 of 18 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.
