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
Net Losses
| Firm | Total Moves |
| 1. FSC Securities Corporation | 64 |
| 2. Merrill Lynch, Pierce, Fenner & Smith Incorporated | 38 |
| 3. Wells Fargo Clearing Services, LLC | 30 |
| 4. Morgan Stanley | 23 |
| 5. AXA Advisors, LLC | 15 |
Latest moves
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| Craig Douglas Findley | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | $1,000 | 05-09-2019 |
| Joshua Jay Jerele | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | — | 04-06-2018 |
| Laurie E. Ingwersen | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | $150 | 09-30-2016 |
| Roger Harold Ingwersen | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | — | 09-30-2016 |
| Gerald Louis Fils | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | — | 05-15-2015 |
| David Michael Goar | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | $10 | 03-30-2015 |
| Andrew William Arnold | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | $100 | 01-23-2015 |
| Jerod Gustafson | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | $100 | 09-03-2014 |
| Joseph Conrad Trucano | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | — | 05-23-2014 |
| Alan Dixon Beugg | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | $150 | 01-22-2014 |
| Brian Patrick Sullivan | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | $50 | 01-22-2014 |
| Robert Alexander Leggett III | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | $100 | 01-06-2014 |
| Ethan Schneid | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | — | 10-09-2009 |
| David Burch Dreher | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | — | 04-30-2009 |
| Steven Charles Erdal | Purshe Kaplan Sterling Investments | UBS Financial Services Inc. | $50 | 04-28-2009 |
Showing 1 to 15 of 15 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.
