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
Latest moves
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| Ryan Douglas Eckert | Waddell & Reed | Charles Schwab & Co., Inc. | — | 02-03-2009 |
| Susan Leslie Stephens | Oppenheimer & Co. Inc. | Charles Schwab & Co., Inc. | — | 10-28-2010 |
| Kenneth Steven Yermak | Kovack Securities Inc. | Charles Schwab & Co., Inc. | $150 | 01-11-2011 |
| Bruce Eliot Legates Jr., Nicholas Allen Carr | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charles Schwab & Co., Inc. | $50 | 02-18-2011 |
| David Earl Johnson | Northern Trust Securities, Inc. | Charles Schwab & Co., Inc. | — | 06-30-2011 |
| Sean Patrick Hoolihan | Raymond James Financial Services, Inc. | Charles Schwab & Co., Inc. | $150 | 10-11-2011 |
| Kristen Schultz Divico | Wells Fargo Clearing Services, LLC | Charles Schwab & Co., Inc. | — | 05-07-2013 |
| Sean Thomas Lamb | Creative Planning, Inc. | Charles Schwab & Co., Inc. | — | 03-26-2014 |
| James William Garrity | LPL Financial LLC | Charles Schwab & Co., Inc. | — | 12-04-2014 |
| Brian Ellis Brown | Schwab Private Client Investment Advisory, Inc. | Charles Schwab & Co., Inc. | — | 07-21-2016 |
| Cailey Dunnebeil | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charles Schwab & Co., Inc. | — | 11-22-2016 |
| Rodney Jason Scott | Dushane Management, Inc. | Charles Schwab & Co., Inc. | — | 06-19-2017 |
| Angela Mahagoni Moore | Modern Money Advisor | Charles Schwab & Co., Inc. | — | 03-29-2018 |
| Sophia L. Goode | Raymond James Financial Services, Inc. | Charles Schwab & Co., Inc. | — | 08-13-2018 |
| Rachel Elizabeth Rath | Raymond 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.
