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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Ryan Douglas EckertWaddell & ReedCharles Schwab & Co., Inc.02-03-2009
Susan Leslie StephensOppenheimer & Co. Inc.Charles Schwab & Co., Inc.10-28-2010
Kenneth Steven YermakKovack Securities Inc.Charles Schwab & Co., Inc.$15001-11-2011
Bruce Eliot Legates Jr., Nicholas Allen CarrMerrill Lynch, Pierce, Fenner & Smith IncorporatedCharles Schwab & Co., Inc.$5002-18-2011
David Earl JohnsonNorthern Trust Securities, Inc.Charles Schwab & Co., Inc.06-30-2011
Sean Patrick HoolihanRaymond James Financial Services, Inc.Charles Schwab & Co., Inc.$15010-11-2011
Kristen Schultz DivicoWells Fargo Clearing Services, LLCCharles Schwab & Co., Inc.05-07-2013
Sean Thomas LambCreative Planning, Inc.Charles Schwab & Co., Inc.03-26-2014
James William GarrityLPL Financial LLCCharles Schwab & Co., Inc.12-04-2014
Brian Ellis BrownSchwab Private Client Investment Advisory, Inc.Charles Schwab & Co., Inc.07-21-2016
Cailey DunnebeilMerrill Lynch, Pierce, Fenner & Smith IncorporatedCharles Schwab & Co., Inc.11-22-2016
Rodney Jason ScottDushane Management, Inc.Charles Schwab & Co., Inc.06-19-2017
Angela Mahagoni MooreModern Money AdvisorCharles Schwab & Co., Inc.03-29-2018
Sophia L. GoodeRaymond James Financial Services, Inc.Charles Schwab & Co., Inc.08-13-2018
Rachel Elizabeth RathRaymond James Financial Services, Inc.Charles Schwab & Co., Inc.10-28-2019

Showing 1 to 15 of 15 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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