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
Net Losses
| Firm | Total Moves |
| 1. FSC Securities Corporation | 64 |
| 2. Merrill Lynch, Pierce, Fenner & Smith Incorporated | 38 |
| 3. Wells Fargo Clearing Services, LLC | 30 |
| 4. Morgan Stanley | 23 |
| 5. AXA Advisors, LLC | 15 |
Latest moves
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| Francisco Javier Torres | Ameriprise Financial Services, Inc. | Morgan Stanley & Co. LLC | — | 02-27-2009 |
| Robert Lawrence Waxman | Ameriprise Financial Services, Inc. | UBS Financial Services Inc. | — | 04-29-2009 |
| Christopher John Jacobi | Ameriprise Financial Services, Inc. | Wells Fargo Clearing Services, LLC | $200 | 05-28-2009 |
| Keith Michael Kunzig | Ameriprise Financial Services, Inc. | UBS Financial Services Inc. | — | 06-03-2009 |
| Steven Lawrence Levinson | Ameriprise Financial Services, Inc. | Wells Fargo Clearing Services, LLC | $150 | 06-12-2009 |
| Karen Megale Harvey | Ameriprise Financial Services, Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $50 | 07-17-2009 |
| Geoffrey Allen Jones | Ameriprise Financial Services, Inc. | Wells Fargo Clearing Services, LLC | $50 | 10-02-2009 |
| Raymond Fredrick Bourque | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $150 | 10-05-2009 |
| Anne Joyce Schleier | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $100 | 10-05-2009 |
| Ronald Thomas Ochal Jr. | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $100 | 10-05-2009 |
| Drew Peter Granauro | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $100 | 10-05-2009 |
| George Michael Sadowski | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $100 | 10-05-2009 |
| Stephen Fulton Bouton | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $50 | 10-05-2009 |
| Richard William Stoner | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $50 | 10-05-2009 |
| Andrew Scott Whitmore | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $50 | 10-05-2009 |
| Stephen Joel Gross | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $50 | 10-05-2009 |
| Susan Way Bentkowski | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $50 | 10-05-2009 |
| Gregory G Linkner | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $50 | 10-05-2009 |
| Jeffrey Neil Hess | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $25 | 10-05-2009 |
| Sandra Mae Cutcliffe | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $25 | 10-05-2009 |
| Jeremy Thomas St Croix | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $25 | 10-05-2009 |
| Damian Paul Chung | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | $10 | 10-05-2009 |
| Joseph William Pickrell Jr. | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | — | 10-05-2009 |
| James Thomas Falardeau | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | — | 10-05-2009 |
| Mitchell Geoffrey Goldman | Ameriprise Financial Services, Inc. | H&R Block Financial Advisors, Inc. | — | 10-05-2009 |
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.
