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)

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Beth Ann SweeneyRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$10004-27-2017
Betty Jo RennerMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC09-12-2011
Christina Doris ParraUBS Financial Services Inc.Wells Fargo Clearing Services, LLC08-04-2010
Craig Roger MccuneMorgan StanleyWells Fargo Clearing Services, LLC03-31-2016
David Bryan Schmidt IiUBS Financial Services Inc.Wells Fargo Clearing Services, LLC12-15-2016
Derek Majkowski George ShirleyRaymond JamesWells Fargo Clearing Services, LLC$21003-16-2016
Frank Scicchitano Mark FultonUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10010-14-2010
Gary A Andrew Edmonds JrUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$10004-21-2011
George Bragaw William Weldon Tara OrendorffRaymond JamesWells Fargo Clearing Services, LLC$20506-20-2016
George Driver Bragaw IiiRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$705-20-2016
James Edward FarrellJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$6410-15-2018
James Fowkes Ben PlataRaymond JamesWells Fargo Clearing Services, LLC$20010-17-2014
James Jacob Fowkes IIRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC10-17-2014
James L RiuttaCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC03-03-2017
Larry Alan SchwartzmanOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC$5009-28-2018
Lee Garner SpringerJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC10-15-2018
Matthew Hyun KroehlerJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$15010-15-2018
Matthew Kroehler Lee Springer James Farrell Veronica JoynerJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$23910-16-2018
Michael Ryan TeagueMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$2306-04-2013
Michel Ross GirardiOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC$5001-03-2020
Mitchell LernerJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$15001-07-2016
Neal Thomas BaronMorgan StanleyWells Fargo Clearing Services, LLC10-29-2015
Nicholas B FriedmannCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC07-09-2014
Pamela S WiseMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$10006-24-2011
Patricia Ann StefanouRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC04-27-2017
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Showing 1 to 25 of 39 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.