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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Recruiting Scoreboard (Q4 2020)

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Daniel F ThompsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.$5005-02-2016
Ginny Rae NealMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.10-26-2015
Robert Justin FrankMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.09-15-2015
Elizabeth A SullivanMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.09-11-2015
Max Tobin MyersMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.09-04-2015
Mark Stephen SorrellMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.09-03-2015
Sean Keene JamisonMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.09-03-2015
Steven Herbert TeublMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.09-03-2015
Tamara Ann DupontMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.08-19-2015
Philip Edward JohnsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.08-13-2015
Jonathan L MannMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.08-06-2015
Jim Ertmann Ben FosterMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.$80007-28-2015
John THOMAS BatesMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-24-2015
Scott Pieter CaputoMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-24-2015
Aaron J BlumenthalMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-24-2015
Jason Hutton Steven GottliebMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.$52007-23-2015
Richard Jason HuttonMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-23-2015
Steven Lloyd GottliebMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-23-2015
James Joseph ErtmannMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-21-2015
Benjamin Stephen FosterMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.$5007-21-2015
Robert David BestwickMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-15-2015
Andrew Vincent CardoneMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-15-2015
John Albert MannixMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-13-2015
Mark F LagrattaMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-13-2015
Peter Kong John ShawMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-10-2015
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Showing 1 to 25 of 52 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.