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
Le-Thuy Cao NguyenUBS Financial Services Inc.Charles Schwab & Co., Inc.03-31-2011
Robert Winthrop Mercer IiiUBS Financial Services Inc.Charles Schwab & Co., Inc.03-31-2011
Rodney Lee McLeodMorgan StanleyCharles Schwab & Co., Inc.$5006-13-2011
Fred GartrellRobert W. Baird & Co. IncorporatedCharles Schwab & Co., Inc.$42510-08-2012
Owen Fred GartrellRobert W. Baird & Co. IncorporatedCharles Schwab & Co., Inc.10-08-2012
Dawn Marie BuscherFidelity Brokerage Services LLCCharles Schwab & Co., Inc.11-19-2012
Cory Dale SummersVoya Financial Advisors, Inc.Charles Schwab & Co., Inc.04-01-2013
Gianni Salvatore SalamoneFidelity Brokerage Services LLCCharles Schwab & Co., Inc.11-19-2013
Juan Huang SundbergMerrill Lynch, Pierce, Fenner & Smith IncorporatedCharles Schwab & Co., Inc.08-13-2014
Kay Lee RussellTD Ameritrade Investment Management, LLCCharles Schwab & Co., Inc.$2512-03-2014
Dan Joseph SklarUBS Financial Services Inc.Charles Schwab & Co., Inc.02-10-2015
William Robert ParrottParrott Wealth Management, LLCCharles Schwab & Co., Inc.$5009-28-2015
Alex Lee WestFidelity Brokerage Services LLCCharles Schwab & Co., Inc.11-23-2015
Sushil Omprakash BirlaJ.P. Morgan Securities LLCCharles Schwab & Co., Inc.02-22-2016
Andrew SharpLPL Financial LLCCharles Schwab & Co., Inc.$34104-27-2016
Tarah Raeann McKenzieRaymond James & Associates, Inc.Charles Schwab & Co., Inc.10-21-2016
Anita Tierra NiefeldtFidelity Brokerage Services LLCCharles Schwab & Co., Inc.11-17-2016
Richard Alan Megica JrThe Mather Group, LLCCharles Schwab & Co., Inc.03-23-2017
Joseph Paul ZurfleyMerrill Lynch, Pierce, Fenner & Smith IncorporatedCharles Schwab & Co., Inc.06-14-2017
Danial James VerhaalenWells Fargo Clearing Services, LLCCharles Schwab & Co., Inc.11-15-2017
Joseph OliveWells Fargo Clearing Services, LLCCharles Schwab & Co., Inc.03-15-2018
Mark Russell FallingMerrill Lynch, Pierce, Fenner & Smith IncorporatedCharles Schwab & Co., Inc.04-19-2018
Lori Ann SturgisCUSO Financial Services, L.P.Charles Schwab & Co., Inc.05-07-2018
Mina Mclaurin AlbersFidelity Brokerage Services LLCCharles Schwab & Co., Inc.05-23-2018
Brian Andrew FrySafe Landing FinancialCharles Schwab & Co., Inc.08-16-2018
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Showing 1 to 25 of 54 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.