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 2020)

Recruiting Gains

Firm Total Moves

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Recruiting Losses

Firm Total Moves

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Net Gains

Firm Total Moves

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Net Losses

Firm Total Moves

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Latest moves

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Grady Douglas Bishop IiiUBS Financial Services Inc.Wells Fargo Clearing Services, LLC11-26-2018
Justin Michael ReinekeUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$5008-16-2018
Christine Marie HarkendorffUBS Financial Services Inc.Morgan Stanley02-05-2018
Trudy Renee SoperUBS Financial Services Inc.Ameriprise Financial Services, LLC04-12-2016
Christopher Louis TothUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$15001-30-2014
Jennifer P EdwardsUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-21-2014
Dianna Lynn LoptinUBS Financial Services Inc.Smith Hayes Financial Services Corporation12-10-2013
William Gordon Huseth JrUBS Financial Services Inc.Morgan Stanley$10004-17-2012
David E KloecknerUBS Financial Services Inc.Morgan Stanley09-07-2011
Matthew John FrederickUBS Financial Services Inc.Morgan Stanley$5007-14-2011
Dan Robert LindstromUBS Financial Services Inc.Morgan Stanley$10009-30-2010
Brett Robert LindstromUBS Financial Services Inc.Morgan Stanley09-30-2010
Todd Jason StarkUBS Financial Services Inc.Morgan Stanley$5008-06-2010
Christopher Michael ScottUBS Financial Services Inc.Morgan Stanley & Co. LLC$5005-01-2009
William Burton ShreveUBS Financial Services Inc.Smith Hayes Financial Services Corporation02-20-2009
Alexander Walter JrUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-20-2009
Larry Dean SockUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$13702-20-2009
Sean Patrick McgerrUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15002-20-2009
John C GeistUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5002-20-2009
Mark B GeistUBS Financial Services Inc.Morgan Stanley & Co. LLC$2501-08-2009
Rodney R Richard RuhUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-02-2009

Showing 1 to 21 of 21 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.