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 |
|---|---|---|---|---|
| John Milton Haas Jr. | RBC Capital Markets, LLC | Citigroup Global Markets Inc. | $25 | 02-06-2009 |
| Michael Bernard Nadeau, Gordon Iver Erikson Jr. | RBC Capital Markets, LLC | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $150 | 02-13-2009 |
| Frederick Caswell Dey | RBC Capital Markets, LLC | Morgan Stanley & Co. LLC | $100 | 04-17-2009 |
| James Bryan Harvey | RBC Capital Markets, LLC | Morgan Stanley & Co. LLC | — | 04-17-2009 |
| Amy Barnes Chipman | RBC Capital Markets, LLC | Citigroup Global Markets Inc. | $100 | 05-01-2009 |
| Anne Hallett Sarazin | RBC Capital Markets, LLC | Morgan Stanley | — | 10-02-2009 |
| Ian William McArthur | RBC Capital Markets, LLC | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $50 | 10-23-2009 |
| Alphonso Jacob Ripa | RBC Capital Markets, LLC | Merrill Lynch, Pierce, Fenner & Smith Incorporated | — | 10-23-2009 |
| Donald Roy Mitchell | RBC Capital Markets, LLC | Means Investment Co., Inc. | $50 | 04-20-2012 |
| Mark Alan Erhardt | RBC Capital Markets, LLC | Morgan Stanley | $100 | 04-22-2013 |
| Lisa Ann Cherry | RBC Capital Markets, LLC | Wells Fargo Clearing Services, LLC | — | 09-29-2015 |
| Jevon H. Owens | RBC Capital Markets, LLC | Wells Fargo Clearing Services, LLC | $53 | 02-05-2016 |
| Peter Tryon Hart | RBC Capital Markets, LLC | Wells Fargo Clearing Services, LLC | — | 10-21-2016 |
Showing 1 to 13 of 13 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.
