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 2020)
|Adviser(s)||Firm joining||Firm leaving||AUM ($M)||Date|
|Mia M Nakagawa||Securities America, Inc.||National Planning Corporation||—||11-16-2017|
|Edward Thomas Coda||SagePoint Financial, Inc.||National Planning Corporation||—||10-25-2017|
|Daniel Damien Coda||SagePoint Financial, Inc.||National Planning Corporation||—||10-24-2017|
|Dan T Shimogawa||SagePoint Financial, Inc.||National Planning Corporation||—||10-24-2017|
|Glenn Takagi Kishida||SagePoint Financial, Inc.||National Planning Corporation||—||10-24-2017|
|Michael Anthony Petrosian||Raymond James Financial Services, Inc.||National Planning Corporation||—||10-14-2016|
|Pamela Krystal Mah||American Independent Securities Group, LLC||National Planning Corporation||—||09-06-2016|
|Scott J Ast||Raymond James Financial Services, Inc.||National Planning Corporation||—||06-22-2016|
|Paul Luis Soriano||SagePoint Financial, Inc.||National Planning Corporation||$50||10-24-2017|
|Joseph Robert Gabriel Stepanic||SagePoint Financial, Inc.||National Planning Corporation||$50||10-24-2017|
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.