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
Latest moves
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| Kenneth David Silverman | Cetera Advisor Networks LLC | UBS Financial Services Inc. | — | 11-05-2019 |
| Michael Wayne Schwartz | Cetera Advisor Networks LLC | Royal Alliance Associates, Inc. | $50 | 10-28-2019 |
| Larry Jay Schwartz | Cetera Advisor Networks LLC | Royal Alliance Associates, Inc. | $150 | 10-28-2019 |
| Duncan Fee Brooks | Cetera Advisor Networks LLC | Innovation Partners LLC | — | 09-23-2019 |
| Robert Alan Weinstein | Cetera Advisor Networks LLC | Summit Brokerage Services, Inc. | $10 | 09-20-2019 |
| John Jay Barnes | Cetera Advisor Networks LLC | Summit Brokerage Services, Inc. | — | 09-20-2019 |
| Michael David Mathias | Cetera Advisor Networks LLC | Summit Brokerage Services, Inc. | $100 | 09-20-2019 |
| Robert Edward Mathias | Cetera Advisor Networks LLC | Summit Brokerage Services, Inc. | — | 09-20-2019 |
| Richard Aaron Huppert | Cetera Advisor Networks LLC | Summit Brokerage Services, Inc. | $50 | 09-20-2019 |
| Winston Wook Chung | Cetera Advisor Networks LLC | Summit Brokerage Services, Inc. | $25 | 09-20-2019 |
| Dave B Rao | Cetera Advisor Networks LLC | Summit Brokerage Services, Inc. | $25 | 09-20-2019 |
| Daniel Christian Kelley | Cetera Advisor Networks LLC | Summit Brokerage Services, Inc. | — | 09-20-2019 |
| Jonathan M. Valerie | Cetera Advisor Networks LLC | Summit Brokerage Services, Inc. | — | 09-20-2019 |
| Stefan Kaplan | Cetera Advisor Networks LLC | North Ridge Securities Corp. | $224 | 02-01-2019 |
| Edward Douglas Huttick | Cetera Advisor Networks LLC | North Ridge Securities Corp. | $170 | 02-01-2019 |
| Ivanhoe Vincent Ffriend | Cetera Advisor Networks LLC | North Ridge Securities Corp. | $150 | 02-01-2019 |
| Peter Michael Alcarese Sr. | Cetera Advisor Networks LLC | North Ridge Securities Corp. | $50 | 02-01-2019 |
| Joseph Michael Verdi | Cetera Advisor Networks LLC | North Ridge Securities Corp. | $25 | 02-01-2019 |
| Stephen Jack Birbiglia | Cetera Advisor Networks LLC | North Ridge Securities Corp. | $25 | 02-01-2019 |
| Stephen Durso | Cetera Advisor Networks LLC | North Ridge Securities Corp. | $25 | 02-01-2019 |
| Howard Genden | Cetera Advisor Networks LLC | North Ridge Securities Corp. | $25 | 02-01-2019 |
| Carl Mathew Palatnik | Cetera Advisor Networks LLC | North Ridge Securities Corp. | $10 | 02-01-2019 |
| Boswell Winston Bent | Cetera Advisor Networks LLC | North Ridge Securities Corp. | $10 | 02-01-2019 |
| Edward Joseph Mockler | Cetera Advisor Networks LLC | North Ridge Securities Corp. | — | 02-01-2019 |
| Robert Francis Giacopino | Cetera Advisor Networks LLC | North Ridge Securities Corp. | — | 02-01-2019 |
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.
