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 |
|---|---|---|---|---|
| Duc Tien Tran | Ameriprise Financial Services, Inc. | Wells Fargo Advisors Financial Network, LLC | $50 | 06-04-2012 |
| Joseph Lavoyd Pates | Ameriprise Financial Services, Inc. | Wells Fargo Advisors Financial Network, LLC | — | 06-04-2012 |
| John Alfred Lorenz | Arlington Financial Advisors, LLC | Wells Fargo Advisors Financial Network, LLC | — | 05-18-2016 |
| Arthur Gentry Swalley | Arlington Financial Advisors, LLC | Wells Fargo Advisors Financial Network, LLC | — | 05-18-2016 |
| Stephanie Ann Dewitt | Ascend Financial Consultants, Inc. | Wells Fargo Advisors Financial Network, LLC | — | 03-21-2018 |
| Rachael Marie Johnson | Bernard & Johnson, LLC | Wells Fargo Advisors Financial Network, LLC | — | 07-01-2016 |
| Michael Leonard Bernard | Bernard & Johnson, LLC | Wells Fargo Advisors Financial Network, LLC | — | 06-30-2016 |
| Mark Alan Gorge | CUNA Brokerage Services, Inc. | Wells Fargo Advisors Financial Network, LLC | $25 | 01-23-2014 |
| Marco Fragnito | Cutter & Company, Inc. | Wells Fargo Advisors Financial Network, LLC | $50 | 02-02-2018 |
| Scott Edward Bishop | LPL Financial LLC | Wells Fargo Advisors Financial Network, LLC | $100 | 11-19-2018 |
| Thomas Patrick Mountain | LPL Financial LLC | Wells Fargo Advisors Financial Network, LLC | $50 | 11-19-2018 |
| Robert Edward Stanwood | LPL Financial LLC | Wells Fargo Advisors Financial Network, LLC | $25 | 11-19-2018 |
| Kenneth Fred Levy | LPL Financial LLC | Wells Fargo Advisors Financial Network, LLC | $100 | 08-23-2018 |
| Corey N. Daniel | LPL Financial LLC | Wells Fargo Advisors Financial Network, LLC | — | 08-23-2018 |
| Dudley I. McGee | LPL Financial LLC | Wells Fargo Advisors Financial Network, LLC | — | 08-23-2018 |
| Deborah Anne Orlando | LPL Financial LLC | Wells Fargo Advisors Financial Network, LLC | $150 | 01-16-2018 |
| Donald John Chiodo | LPL Financial LLC | Wells Fargo Advisors Financial Network, LLC | $50 | 11-02-2017 |
| Thomas Lyle Bryant | LPL Financial LLC | Wells Fargo Advisors Financial Network, LLC | $50 | 10-14-2016 |
| Matthew Thomas Bryant | LPL Financial LLC | Wells Fargo Advisors Financial Network, LLC | — | 10-14-2016 |
| Andrea Ruth Klipfel | LPL Financial LLC | Wells Fargo Advisors Financial Network, LLC | — | 09-28-2016 |
| Kelsey Christopher Bengoa | LPL Financial LLC | Wells Fargo Advisors Financial Network, LLC | — | 12-02-2014 |
| Sajni Desai Shah | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Wells Fargo Advisors Financial Network, LLC | — | 01-28-2013 |
| Stephen Eugene Hagy | Morgan Stanley | Wells Fargo Advisors Financial Network, LLC | $150 | 06-03-2014 |
| Robert Allen Schultz | Omega Financial Group, LLC | Wells Fargo Advisors Financial Network, LLC | — | 06-01-2012 |
| Richard Tom Barber | Provident Living Financial Services | Wells Fargo Advisors Financial Network, LLC | — | 07-26-2016 |
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.
