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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Recruiting Losses

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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Grant Alexander Palmer IVWaypoint Wealth ManagementVanguard Marketing Corporation10-01-2020
John Franklin PylesCapFinancial Securities, LLC.Vanguard Marketing Corporation06-03-2020
Judea Tiffany HossainCharles Schwab & Co., Inc.Vanguard Marketing Corporation04-24-2020
Thomas Garrison BaysingerMerrill Lynch, Pierce, Fenner & Smith IncorporatedVanguard Marketing Corporation04-22-2020
Michael Joseph FrendakPNC InvestmentsVanguard Marketing Corporation04-02-2020
Zachary LewerMerrill Lynch, Pierce, Fenner & Smith IncorporatedVanguard Marketing Corporation02-06-2020
Bradley Samuel SmithUBS Financial Services Inc.Vanguard Marketing Corporation01-14-2020
Joseph Lynch IVTD Ameritrade Investment Management, LLCVanguard Marketing Corporation01-13-2020
Kevin Charles RohnerUBS Financial Services Inc.Vanguard Marketing Corporation01-13-2020
Steven Kirk DentonDempsey Lord Smith, LLCVanguard Marketing Corporation11-14-2019
Candace Dawn Lowerre HallFidelity Brokerage Services LLCVanguard Marketing Corporation11-01-2019
Noah Timothy AllmarasE*TRADE Securities LLCVanguard Marketing Corporation10-31-2019
Michael Joseph Sheaffer JrWells Fargo Clearing Services, LLCVanguard Marketing Corporation06-20-2019
William Banks WallUBS Financial Services Inc.Vanguard Marketing Corporation06-11-2019
Daniel Stephen WimerUBS Financial Services Inc.Vanguard Marketing Corporation06-11-2019
Paxton Elizabeth WoodAlly Invest Securities LLCVanguard Marketing Corporation04-08-2019
Justine Renee KalafatisUBS Financial Services Inc.Vanguard Marketing Corporation02-12-2019
Andrew James OrtizUBS Financial Services Inc.Vanguard Marketing Corporation01-03-2019
Taylor Patrick LocklearWells Fargo Clearing Services, LLCVanguard Marketing Corporation12-10-2018
Cameron Marsten VoegeleUBS Financial Services Inc.Vanguard Marketing Corporation11-20-2018
Alejandro LunaUBS Financial Services Inc.Vanguard Marketing Corporation09-26-2018
Daniel HerreraUBS Financial Services Inc.Vanguard Marketing Corporation09-19-2018
Sean Wilburn PowleyUBS Financial Services Inc.Vanguard Marketing Corporation08-20-2018
John Macphail WaggettWells Fargo Clearing Services, LLCVanguard Marketing Corporation08-03-2018
Matthew Alan BatsonUBS Financial Services Inc.Vanguard Marketing Corporation05-08-2018
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Showing 1 to 25 of 65 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.