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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Jose Fernandez Juan AlemanMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$26003-14-2012
Peter Kong John ShawMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.07-10-2015
Jeffrey KlingerMerrill Lynch, Pierce, Fenner & Smith IncorporatedCredit Suisse Securities (USA) LLC11-15-2013
Matt Celenza Larry DiGioiaMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.$79007-06-2012
Nicholas Anthony Robert GottdenerMerrill Lynch, Pierce, Fenner & Smith IncorporatedDeutsche Bank Securities Inc.$10904-29-2011
Scott UffelmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$18504-18-2016
Mark French Kevin ParrillMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$23904-18-2016
Matt Yonally Chris CompogiannisMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$30005-21-2015
Bruce C MunsterMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$1,20002-06-2015
Richard ZinmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10411-14-2014
Howard Rowen Halsey SmithMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$3,00004-09-2014
Charles A PhelpsMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$20208-07-2013
Conrad K BransonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$9805-10-2013
Quoc Jon PhamMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$8201-18-2013
William TerrellMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$13701-11-2013
Jason LloydMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$12511-30-2012
Rebecca Rothstein TeamMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2,50010-19-2012
Douglas McPherson Dean RidgwayMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$14806-29-2012
James WattsMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$21609-27-2011
David MasseyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$1,00007-05-2011
Tony Murphy Lewis MatthewsMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$34207-01-2011
Christopher BollenbachMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$11706-13-2011
Glenn Samson Michael KhawMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$14604-29-2011
Darrick Walker David Liebowitz Michael MunizMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$35011-19-2010
Juan CabanasMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$19211-19-2010
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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.