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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Recruiting Losses

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Net Gains

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Net Losses

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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Ken Seiryu SakamotoFinancial Engines Advisors L.L.C.New England Securities$2504-04-2013
Jeffrey Alan GoldbergFinancial Engines Advisors L.L.C.Charles Schwab & Co., Inc.08-13-2013
Khashayar AhouraeiFinancial Engines Advisors L.L.C.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-16-2013
Joseph Burnett Bass IiiFinancial Engines Advisors L.L.C.J.P. Morgan Securities LLC03-14-2014
David John KetterFinancial Engines Advisors L.L.C.Equitable Advisors, LLC04-30-2014
Robert Nooch FitzpatrickFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation04-30-2014
Michael Brennan FelixFinancial Engines Advisors L.L.C.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-05-2014
Jacob Peter Vander SlikFinancial Engines Advisors L.L.C.J.P. Morgan Securities LLC11-23-2015
Oscar Hernandez JrFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation12-04-2015
David Michael EldridgeFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation01-09-2016
James Michael GolichowskiFinancial Engines Advisors L.L.C.PFS Investments Inc.02-12-2016
William Grady McelroyFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation05-13-2016
Luigi DeroseFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation05-16-2016
Nathan Paul BardinFinancial Engines Advisors L.L.C.BIC Distributors, LLC08-09-2016
Christopher Carl CaposeyFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation04-19-2017
Seth Lewis ZudellFinancial Engines Advisors L.L.C.Longboard Asset Management04-27-2017
Heath A HancheyFinancial Engines Advisors L.L.C.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-28-2017
Andrew Scott KovalcikFinancial Engines Advisors L.L.C.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-07-2017
Ken David ObrayFinancial Engines Advisors L.L.C.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-07-2017
Trent Lowell DavidsonFinancial Engines Advisors L.L.C.Strategic Advisers LLC08-18-2017
Matthew James DunphyFinancial Engines Advisors L.L.C.Ameriprise Financial Services, LLC09-20-2017
Eric Jeffrey TanitaFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation11-02-2017
Nathan Thayne DriggsFinancial Engines Advisors L.L.C.Dentist Advisors06-08-2018
Ronald Marcell Adamoli IiiFinancial Engines Advisors L.L.C.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-11-2018
Rosh K MangalatFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation$708-21-2018
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Showing 1 to 25 of 30 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.