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
Sean Jeffrey BarkerSanford C. Bernstein & Co., LLCVanguard Marketing Corporation11-29-2010
Lisa GulatiWells Fargo Clearing Services, LLCVanguard Marketing Corporation09-16-2011
Jared D MarshallMerrill Lynch, Pierce, Fenner & Smith IncorporatedVanguard Marketing Corporation10-29-2012
Stacy Jean PfizenmayerAmerican Portfolios Financial Services, Inc.Vanguard Marketing Corporation01-03-2013
Patrick Joseph BurkeMill Creek Capital Advisors, LLCVanguard Marketing Corporation11-20-2013
Michael David PronCharles Schwab & Co., Inc.Vanguard Marketing Corporation01-29-2014
Shakiea F NelsonWells Fargo Clearing Services, LLCVanguard Marketing Corporation09-26-2014
Jonathan Francis MastLincoln InvestmentVanguard Marketing Corporation10-21-2014
Francis Joseph CapriottiCUSO Financial Services, L.P.Vanguard Marketing Corporation12-12-2014
Thomas F Smyth IIIGWFS Equities, Inc.Vanguard Marketing Corporation02-23-2015
Ann Catherine KavanaughAmerican Portfolios Financial Services, Inc.Vanguard Marketing Corporation$2503-30-2015
Shawn DottererJanney Montgomery Scott LLCVanguard Marketing Corporation03-31-2015
Patrick CarneyRodgers & AssociatesVanguard Marketing Corporation05-11-2015
Patrick Henry HeffnerGWFS Equities, Inc.Vanguard Marketing Corporation08-25-2015
Bradford Douglas Houchins JrFidelity Brokerage Services LLCVanguard Marketing Corporation09-18-2015
Mark David StaufferCitizens Securities, Inc.Vanguard Marketing Corporation10-05-2015
Janelle N MurphyWells Fargo Clearing Services, LLCVanguard Marketing Corporation11-10-2015
Jenna Marie GardnerFidelity Brokerage Services LLCVanguard Marketing Corporation02-08-2016
William Langston Laury JrNorthwestern Mutual Investment Services, LLCVanguard Marketing Corporation04-19-2016
Barbara J PettitTIAA-CREF Individual & Institutional Services, LLCVanguard Marketing Corporation05-16-2016
Jason Lawrence WeckerlyFidelity Brokerage Services LLCVanguard Marketing Corporation06-27-2016
John Martin KilroyAmerican Portfolios Financial Services, Inc.Vanguard Marketing Corporation08-09-2016
Raymond L BaraldiHighTower Securities, LLCVanguard Marketing Corporation09-06-2016
Jennifer Elizabeth PerryWells Fargo Clearing Services, LLCVanguard Marketing Corporation09-16-2016
Mark Anthony GombitaMerrill Lynch, Pierce, Fenner & Smith IncorporatedVanguard Marketing Corporation10-25-2016
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Showing 1 to 25 of 48 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.