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 2019)

Recruiting Gains

Firm	Total Moves
1. LPL Financial LLC	95
2. Cambridge Investment Research, Inc.	66
3. Raymond James Financial Services, Inc.	41
4. Stifel, Nicolaus & Company, Incorporated	24
5. Purshe Kaplan Sterling Investments	20

See all firms ranked by total gains

Recruiting Losses

Firm	Total Moves
1. FSC Securities Corporation	64
2. Merrill Lynch, Pierce, Fenner & Smith Incorporated	41
3. Wells Fargo Clearing Services, LLC	30
4. Morgan Stanley	29
5. Ameriprise Financial Services, Inc.	26

See all firms ranked by total losses

Net Gains

Firm	Total Moves
1. LPL Financial LLC	85
2. Cambridge Investment Research, Inc.	61
3. Raymond James Financial Services, Inc.	36
4. Purshe Kaplan Sterling Investments	19
5. Stifel, Nicolaus & Company, Incorporated	18

See all firms ranked by total 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. Ameriprise Financial Services, Inc.	15

See all firms ranked by total losses

Latest moves

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Adviser(s)	Firm joining	Firm leaving	AUM ($M)	Date
Howard Hughes Fry Jr.	Stifel, Nicolaus & Company, Incorporated	Wells Fargo Clearing Services, LLC	$50	05-08-2009
Holly Michelle Baroway	Stifel, Nicolaus & Company, Incorporated	Wells Fargo Clearing Services, LLC	$150	05-29-2009
Eric Michael May	Stifel, Nicolaus & Company, Incorporated	Wells Fargo Clearing Services, LLC	$100	05-29-2009
Fred Carter Williams	Raymond James & Associates, Inc.	Wells Fargo Clearing Services, LLC	$100	06-19-2009
Julie Kay Lane-Bockelman, Kenneth Richard Johnson, James Steven Gavegan	Merrill Lynch, Pierce, Fenner & Smith Incorporated	Wells Fargo Clearing Services, LLC	—	07-08-2009
Thomas Edward Mahoney	Raymond James & Associates, Inc.	Wells Fargo Clearing Services, LLC	—	07-27-2009
Karen L Ogard	Robert W. Baird & Co. Incorporated	Wells Fargo Clearing Services, LLC	—	10-02-2009
Thomas Michael Boh	Robert W. Baird & Co. Incorporated	Wells Fargo Clearing Services, LLC	—	11-13-2009
Raymond Alan Iversen	Stifel, Nicolaus & Company, Incorporated	Wells Fargo Clearing Services, LLC	$100	11-18-2009
Doug John Griffith	LPL Financial LLC	Wells Fargo Clearing Services, LLC	—	04-29-2010
James Edwin Peterson	Morgan Stanley	Wells Fargo Clearing Services, LLC	$100	06-11-2010
Kenneth James Payne	LPL Financial LLC	Wells Fargo Clearing Services, LLC	—	09-30-2010
Dennis Michael Dougherty, Bryan Louis White	UBS Financial Services Inc.	Wells Fargo Clearing Services, LLC	$100	08-05-2011
Anthony Raymond Przechera	LPL Financial LLC	Wells Fargo Clearing Services, LLC	—	08-19-2011
Fred Clyde Spoliansky	Morgan Stanley	Wells Fargo Clearing Services, LLC	$150	10-14-2011
Chadwick Royce Keeler	Morgan Stanley	Wells Fargo Clearing Services, LLC	—	10-14-2011
Harry Scott Koplar	Ameriprise Financial Services, Inc.	Wells Fargo Clearing Services, LLC	$25	11-11-2011
Daniel Kit Lassen	Ameriprise Financial Services, Inc.	Wells Fargo Clearing Services, LLC	—	11-11-2011
Andrew Krantz	RBC Capital Markets, LLC	Wells Fargo Clearing Services, LLC	$50	05-15-2012
William Blaine Kurtz	UBS Financial Services Inc.	Wells Fargo Clearing Services, LLC	—	07-18-2012
Debra Rae Schilling	Waddell & Reed	Wells Fargo Clearing Services, LLC	—	08-15-2012
Eric Andrew Kammerer	First Financial Equity Corporation	Wells Fargo Clearing Services, LLC	—	08-30-2012
Patrick Edwin Dowlin	LPL Financial LLC	Wells Fargo Clearing Services, LLC	—	11-23-2012
Joseph Michael Nally	Stifel, Nicolaus & Company, Incorporated	Wells Fargo Clearing Services, LLC	$25	11-30-2012
Kelly Marie Heppe	Robert W. Baird & Co. Incorporated	Wells Fargo Clearing Services, LLC	—	01-17-2013

Showing 1 to 25 of 92 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.