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)

Recruiting Gains

Firm Total Moves

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Recruiting Losses

Firm Total Moves

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Net Gains

Firm Total Moves

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Net Losses

Firm Total Moves

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Latest moves

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Patrick Edward NewmanFifth Third Securities, Inc.J.P. Morgan Securities LLC03-27-2019
Warren G Rogers IiFifth Third Securities, Inc.SunTrust Investment Services, Inc.$15003-28-2019
Trista M AllisonFifth Third Securities, Inc.SunTrust Investment Services, Inc.03-29-2019
Charles SmithFifth Third Securities, Inc.SunTrust Investment Services, Inc.04-01-2019
Tawfiq FarrajFifth Third Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-11-2019
Philip Matthew WeberFifth Third Securities, Inc.Fidelity Personal and Workplace Advisors04-22-2019
Joel A Van BelkomFifth Third Securities, Inc.TD Ameritrade, Inc.04-23-2019
Richard A CritelliFifth Third Securities, Inc.Morgan Stanley$1,00004-25-2019
Denis KazalacFifth Third Securities, Inc.Citizens Securities, Inc.04-26-2019
Paul Michael NewellFifth Third Securities, Inc.SunTrust Advisory Services, Inc.04-26-2019
Karen L HeddleFifth Third Securities, Inc.LPL Financial LLC$2505-13-2019
Hope LandgraffFifth Third Securities, Inc.Wells Fargo Clearing Services, LLC05-15-2019
Joshua Patrick MarvinFifth Third Securities, Inc.Citizens Securities, Inc.05-22-2019
Lori Jane GalbraithFifth Third Securities, Inc.LPL Financial LLC05-29-2019
Kelly S CavanaughFifth Third Securities, Inc.LPL Financial LLC05-30-2019
Kevin R JohnsFifth Third Securities, Inc.M&T Securities, Inc.05-30-2019
Matthew C MoceriFifth Third Securities, Inc.Wells Fargo Clearing Services, LLC05-31-2019
Adam Blake BanksFifth Third Securities, Inc.Wells Fargo Clearing Services, LLC05-31-2019
Jonathan Eugene PattersonFifth Third Securities, Inc.Cetera Investment Services LLC06-03-2019
Paul William MozisFifth Third Securities, Inc.Cetera Investment Advisers LLC06-03-2019
Marion John CharickiFifth Third Securities, Inc.Cetera Investment Advisers LLC06-03-2019
Shahzad ShamsuddinFifth Third Securities, Inc.Cetera Investment Advisers LLC06-03-2019
Lucyna K GavrylyukFifth Third Securities, Inc.Cetera Investment Services LLC06-03-2019
Kevin Robert OsbornFifth Third Securities, Inc.Cetera Investment Advisers LLC06-04-2019
William B FinocchioFifth Third Securities, Inc.J.P. Morgan Securities LLC06-05-2019
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Showing 1 to 25 of 27 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.