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)

Recruiting Gains

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Recruiting Losses

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Net Gains

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Carla Faye DoninaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$19201-02-2009
Lee William MontgomeryUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-02-2009
Rosemary Reichmann GilliamUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-02-2009
Robert Lawrence Donina JrUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$601-02-2009
Parker James SmithWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1,00001-05-2009
Robert Charlton LentzOne Trusted Advisor InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated02-12-2009
Brian Barron WilliamsRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15002-27-2009
Douglas Jay HarmonLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-17-2009
Charles Gardner GrummonWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1,00003-23-2009
Lorri J Gillock-CordelliRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-27-2009
Franklin Ludlow Ballard JrEdward JonesMerrill Lynch, Pierce, Fenner & Smith Incorporated03-30-2009
Shawn Yukio ValukasUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-17-2009
Susan Stieg FullerEdward JonesMerrill Lynch, Pierce, Fenner & Smith Incorporated$5004-28-2009
Carolyn Ann RamboRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-11-2009
Samuel Steed CarsonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5006-19-2009
Richard Marc ScharffUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10006-19-2009
Kevin Wade BryantUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15006-19-2009
David Allen KautzLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5007-01-2009
Julius Reynard Moody IiWaddell & ReedMerrill Lynch, Pierce, Fenner & Smith Incorporated$10807-27-2009
George Henry Andrews JrWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2511-30-2010
Stefan D GertschUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-18-2012
Evans PeayRaymond JamesMerrill Lynch, Pierce, Fenner & Smith Incorporated$9202-24-2012
John Felts Connelly JrRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2502-24-2012
Ross Evans PeayRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10002-24-2012
Leonidas Clyde Vaughan IVRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5002-24-2012
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Showing 1 to 25 of 95 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.