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 (Q2 2019)
Recruiting Gains
Recruiting Losses
Net Gains
Latest moves
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| Taylor Browman, Tyler Weaver | Stifel, Nicolaus & Company, Incorporated | Wells Fargo Clearing Services, LLC | $240 | 06-07-2019 |
| Jason Eric Lefton | Evoke Wealth, LLC | First Republic Securities Company, LLC | — | 06-05-2019 |
| Jeffrey Scott Dore | Evoke Wealth, LLC | First Republic Securities Company, LLC | — | 06-05-2019 |
| Monika Hanssen Mugg | Evoke Wealth, LLC | First Republic Securities Company, LLC | — | 06-05-2019 |
| Peter Cherng Tsu Chang | Evoke Wealth, LLC | First Republic Securities Company, LLC | — | 06-05-2019 |
| Mark Elliott Sear | Evoke Wealth, LLC | First Republic Securities Company, LLC | — | 06-04-2019 |
| Johnson Minh Hoang | LPL Financial LLC | LPL Financial LLC | $50 | 06-03-2019 |
| Mark Middleton O'Brien | Commonwealth Financial Network | Edward Jones | $25 | 06-03-2019 |
| Xavier Horsfall | U.S. Bancorp Investments, Inc. | PFS Investments Inc. | — | 06-03-2019 |
| Eric R Cortez | Securities America, Inc. | Wells Fargo Advisors Financial Network, LLC | $50 | 05-31-2019 |
| James Walter Noack | Commonwealth Financial Network | Madison Avenue Securities, LLC | — | 05-31-2019 |
| Michelle Lapid Marquez | Raymond James & Associates, Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $50 | 05-31-2019 |
| Michael Andrew Bates | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $1,000 | 05-28-2019 |
| David Lung | Raymond James & Associates, Inc. | Wells Fargo Clearing Services, LLC | $10 | 05-28-2019 |
| Yuri Kim | Wells Fargo Clearing Services, LLC | Wells Fargo Advisors, LLC | — | 05-28-2019 |
| Michael Anthony Pepper | Morgan Stanley | Wells Fargo Clearing Services, LLC | — | 05-24-2019 |
| Ronnyjane Goldsmith | Raymond James Financial Services, Inc. | Morgan Stanley | $50 | 05-24-2019 |
| David Lung | Raymond James & Associates, Inc. | Wells Fargo Clearing Services, LLC | $10 | 05-24-2019 |
| Kenesha Marie Banfield | First Republic Securities Company, LLC | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $114 | 05-24-2019 |
| Michael Andrew Bates | UBS Financial Services Inc. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | $1,000 | 05-24-2019 |
| Jodie Marie Kessler | Wells Fargo Advisors Financial Network, LLC | Wells Fargo Clearing Services, LLC | — | 05-23-2019 |
| Austin Norris Heberger Jr. | Raymond James Financial Services, Inc. | Wells Fargo Clearing Services, LLC | $50 | 05-23-2019 |
| William Howard Gomberg | Wells Fargo Advisors Financial Network, LLC | Wells Fargo Clearing Services, LLC | $50 | 05-23-2019 |
| Gavin Andrew Lee | Raymond James Financial Services, Inc. | Wells Fargo Clearing Services, LLC | $1,000 | 05-23-2019 |
| William Barrett Keesling | Securities America, Inc. | Principal Securities Inc. | $100 | 05-20-2019 |
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.
