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.

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Recruiting Scoreboard (Q4 2020)

Recruiting Gains

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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Scott L ForguesKMS Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-28-2009
Scott Tracy HarrisPrincipal Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$3602-09-2009
Bradley Raymond LundquistRobert W. Baird & Co. IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$5203-13-2009
Peter Gregory CarbonaroWells Fargo Advisors Financial Network, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5003-20-2009
Charles William Willoughby JrFirst Financial Equity CorporationMerrill Lynch, Pierce, Fenner & Smith Incorporated$1,00007-23-2009
Douglas Steven ManceRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10007-29-2009
Roger Braun AdlerLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$4009-02-2009
Andrew Bart SosnowitzLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2509-02-2009
David A GrayLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-17-2009
Christopher Jon DavisLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5004-12-2010
Tim Patrick HaleyWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated06-04-2010
Gregory Allen HolditchWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-05-2010
Dale Edward LewisStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-10-2011
Norman Robert LemusUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10002-14-2011
Gary Michael SchmertmannWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-18-2011
Michael Paul AbbottWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1,00003-04-2011
Ryan M ZwargWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5003-25-2011
Marc James SalemBMO Harris Financial Advisors, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-13-2011
Lynn Merrill TaylorWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-27-2011
Rene Tapia EspinozaAmeriprise Financial Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2507-21-2011
Jonathon Ray PaulMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5008-26-2011
Paul Thomas RutkowskiEquitable Advisors, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated09-06-2011
Nathan R CallowayFidelity Brokerage Services LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated09-06-2011
Eric Todd NagerWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-30-2011
Mario Leonard GradillasWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10009-30-2011
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Showing 1 to 25 of 211 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.