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)

Recruiting Gains

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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
Mario FrattoMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$15312-04-2014
Jose Fernandez Juan AlemanMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$26003-14-2012
Gary Wardein Erin BethgeMerrill Lynch, Pierce, Fenner & Smith IncorporatedRaymond James & Associates, Inc.$20609-23-2019
Nicole Primack AndresMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC$60011-02-2015
Christopher Baldwin Thomas Tyndorf Andrew SkoglundMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC$3,50010-08-2015
David SterlingMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC09-17-2015
Jim Ertmann Ben FosterMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.$80007-28-2015
Jason Hutton Steven GottliebMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.$52007-23-2015
Peter Kong John ShawMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-10-2015
Barry Schneider Cris Bera Chris DewhurstMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.$75006-19-2015
Jeffrey J TompkinsMerrill Lynch, Pierce, Fenner & Smith IncorporatedDeutsche Bank Securities Inc.$16003-20-2015
Jon StevensMerrill Lynch, Pierce, Fenner & Smith IncorporatedJanney Montgomery Scott LLC$10003-13-2015
Ronald Slevin George Gladman Jared Stone Jeffrey TuckerMerrill Lynch, Pierce, Fenner & Smith IncorporatedRBC Capital Markets, LLC$30003-06-2015
Margaret M TowleMerrill Lynch, Pierce, Fenner & Smith IncorporatedHighTower Advisors, LLC11-13-2014
James Clarke Philip WeyheMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.$28505-22-2014
Jeffrey KlingerMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC11-15-2013
Kendall CottenMerrill Lynch, Pierce, Fenner & Smith IncorporatedGoldman Sachs & Co.$32510-29-2013
Diane PadalinoMerrill Lynch, Pierce, Fenner & Smith IncorporatedGoldman Sachs & Co.$32508-30-2013
Vishal Bakshi Jayne Finst David A GreeneMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC$1,00005-24-2013
Edward Glenn Pamela StaplesMerrill Lynch, Pierce, Fenner & Smith IncorporatedRBC Capital Markets, LLC$30002-15-2013
Craig WeinsteinMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC$17412-06-2012
Emory Ragsdale Wade Myatt Lynde JacksonMerrill Lynch, Pierce, Fenner & Smith IncorporatedRBC Capital Markets, LLC$15211-16-2012
Matt Celenza Larry DiGioiaMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.$79007-06-2012
Bruce Lee Jim HoesleyMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC$1,20010-31-2011
Nicholas Anthony Robert GottdenerMerrill Lynch, Pierce, Fenner & Smith IncorporatedDeutsche Bank Securities Inc.$10904-29-2011
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Showing 1 to 25 of 5,284 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.