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 |
|---|---|---|---|---|
| Hongmei Li | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Aegis Capital Corp. | — | 06-14-2019 |
| Mogahed M. Ibrahim | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Allstate Financial Services, LLC | — | 11-01-2016 |
| James Stuart Branscombe | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ameriprise Financial Services, Inc. | $10 | 10-20-2017 |
| Michael John Holden | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ameriprise Financial Services, Inc. | — | 02-26-2010 |
| Scott Cabana | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ameriprise Financial Services, Inc. | $25 | 02-08-2010 |
| Erich P. Fradenburg | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Amundi Pioneer Distributor, Inc. | — | 06-14-2018 |
| James Earl Saturne | Merrill Lynch, Pierce, Fenner & Smith Incorporated | AXA Advisors, LLC | — | 12-06-2018 |
| Wendy Jill Karkoska | Merrill Lynch, Pierce, Fenner & Smith Incorporated | AXA Advisors, LLC | $100 | 11-26-2018 |
| Keith Lamon Gilbreath | Merrill Lynch, Pierce, Fenner & Smith Incorporated | AXA Advisors, LLC | — | 03-28-2017 |
| Brian Kelleher | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ballentine Partners | — | 04-30-2018 |
| Christopher Allen McCauley | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | $25 | 10-23-2009 |
| Daniel Grammel | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| David Gerard O'Brien | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Vincent Thomas Todd Jr. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Robert John Kostigen | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Dyan Mary Goodwin | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Sandra Tischler Saner | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Albert Dobrushkin | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Lorraine Sloper | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Brian Robert Lannigan | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Elaine Wong Uttaro | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Vincent Thomas Freudenberger | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Richard Thomas Higgins Jr. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Frederick Elliott Palmer | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Thomas Carmine Aurigemma | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
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.
