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)

Recruiting Gains

Firm Total Moves

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Recruiting Losses

Firm Total Moves

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Net Gains

Firm Total Moves

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Net Losses

Firm Total Moves

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Latest moves

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Lawrence Scott SperberWells Fargo Clearing Services, LLCRBC Capital Markets, LLC08-11-2020
Jason Charles SperberWells Fargo Clearing Services, LLCRBC Capital Markets, LLC08-11-2020
John Blaise EbaniettiWells Fargo Clearing Services, LLCRBC Capital Markets, LLC05-12-2020
Patrick Thomas WardStifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC05-07-2020
Christopher Joseph EstevezOppenheimer & Co. Inc.RBC Capital Markets, LLC04-08-2020
George Steven CleffiThe Jeffrey Matthews Financial Group, L.L.C.RBC Capital Markets, LLC09-03-2019
Dawn Inez CastroStifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC07-30-2019
James Todd KahrarAmeriprise Financial Services, LLCRBC Capital Markets, LLC12-04-2017
Daniel Joseph VidovichAmeriprise Financial Services, LLCRBC Capital Markets, LLC11-29-2017
Paul GordonAmeriprise Financial Services, LLCRBC Capital Markets, LLC04-05-2016
Daniel Evan GordonAmeriprise Financial Services, LLCRBC Capital Markets, LLC03-24-2016
Colin Calvin RathAmeriprise Financial Services, LLCRBC Capital Markets, LLC11-27-2015
Robert Daniel ShafferKestra Investment Services, LLCRBC Capital Markets, LLC05-04-2015
Glenn Henry DaltonWells Fargo Clearing Services, LLCRBC Capital Markets, LLC01-30-2015
Harry Scott NeufeldWells Fargo Clearing Services, LLCRBC Capital Markets, LLC03-28-2013
Martin Benno WelzmullerWells Fargo Clearing Services, LLCRBC Capital Markets, LLC09-28-2011
Stephen J CarrioneAmeriprise Financial Services, LLCRBC Capital Markets, LLC07-15-2011
Robert L FinkleWells Fargo Clearing Services, LLCRBC Capital Markets, LLC07-30-2010
Clarence Earl Marshall IiiAmeriprise Financial Services, LLCRBC Capital Markets, LLC$2507-17-2020
Anthony DemaioThe Jeffrey Matthews Financial Group, L.L.C.RBC Capital Markets, LLC$2510-03-2016
Bernard August VenturaLPL Financial LLCRBC Capital Markets, LLC$5003-24-2020
Alan Scott CohenWells Fargo Clearing Services, LLCRBC Capital Markets, LLC$5012-10-2018
Richard Carmine Cioffi JrCapitol Securities Management, Inc.RBC Capital Markets, LLC$5003-09-2017
Lawrence BerlinMorgan StanleyRBC Capital Markets, LLC$5005-10-2013
Christopher James MclaughlinMorgan StanleyRBC Capital Markets, LLC$5009-23-2011
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Showing 1 to 25 of 43 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.