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 |
---|---|---|---|---|
Billy Edward Foster | United Planners' Financial Services of America A Limited Partner | LPL Financial LLC | — | 06-03-2009 |
Douglas Lou Dombey | Kestra Investment Services, LLC | LPL Financial LLC | — | 03-08-2010 |
John David Dodd | United Planners' Financial Services of America A Limited Partner | LPL Financial LLC | — | 10-12-2010 |
Hugh Palmer Duke | Brokers International Financial Services, LLC. | LPL Financial LLC | $10 | 09-09-2011 |
Jason Rocco Nazzaro | SagePoint Financial, Inc. | LPL Financial LLC | — | 10-17-2011 |
Ted Hideaki Inagaki | SagePoint Financial, Inc. | LPL Financial LLC | — | 07-03-2012 |
Laura Mae Chang | United Planners' Financial Services of America A Limited Partner | LPL Financial LLC | — | 03-28-2013 |
John Anthony Miller | USAA Financial Advisors, Inc. | LPL Financial LLC | $10 | 06-14-2013 |
Steven Donald Gingery | SagePoint Financial, Inc. | LPL Financial LLC | $100 | 06-25-2013 |
Steven Mark Binder | Ameriprise Financial Services, Inc. | LPL Financial LLC | — | 06-27-2013 |
Joseph Gustav Yurgec | NPB Financial Group, LLC | LPL Financial LLC | $25 | 09-05-2013 |
Lisa Marie Zak | Principal Securities, Inc. | LPL Financial LLC | — | 06-17-2014 |
Jason Chunyue Wong | Merrill Lynch, Pierce, Fenner & Smith Incorporated | LPL Financial LLC | — | 06-17-2014 |
Kenneth S Hamada | Independent Financial Group, LLC | LPL Financial LLC | $25 | 07-11-2014 |
Jeanne Lynn Wolf | SagePoint Financial, Inc. | LPL Financial LLC | $25 | 08-29-2014 |
Steven Schulte | Ameriprise Financial Services, Inc. | LPL Financial LLC | $50 | 10-17-2014 |
Daniel Page Misenhimer Jr. | Ameriprise Financial Services, Inc. | LPL Financial LLC | — | 10-17-2014 |
Lawrence Lynwood Deason | Ameriprise Financial Services, Inc. | LPL Financial LLC | — | 10-17-2014 |
Dwight Emil Vilhauer | Securities America, Inc. | LPL Financial LLC | — | 10-27-2014 |
Karen E.B. Eldredge | United Planners' Financial Services of America A Limited Partner | LPL Financial LLC | — | 07-30-2015 |
Jeremy Edward Sharp | Stewardship Financial | LPL Financial LLC | — | 09-10-2015 |
Hector Luis Morales | Bedrock Investment Advisors | LPL Financial LLC | — | 10-05-2015 |
Jamie Nichole Gerald | Wells Fargo Clearing Services, LLC | LPL Financial LLC | — | 11-16-2015 |
Ryan David West | CUSO Financial Services, L.P. | LPL Financial LLC | — | 03-14-2016 |
Howard R. Dal Monte | Clarity Wealth Management, L.L.C. | LPL Financial LLC | — | 11-08-2016 |
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.