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

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Recruiting Losses

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Net Gains

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Net Losses

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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Teresa Lee FlynnAmeriprise Financial Services, LLCVisions Analysis LLC07-19-2019
Daniel Joseph EsfordReagan Companies Asset Management, IncSecurities America, Inc.07-19-2019
Carolina L SilvaMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated07-19-2019
Gail Lucette FlanaganMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC07-18-2019
Josh Alan FrankelTrustmont Financial Group, Inc.Capital Financial Services, Inc.07-18-2019
William McConvilleQuint Capital CorporationWells Fargo Clearing Services, LLC07-18-2019
Eustache ClerveauxJ.P. Morgan Securities LLCMorgan Stanley07-18-2019
Kathleen Ann KeeganLPL Financial LLCCetera Advisor Networks LLC$10007-17-2019
Marc Andrew SteinLPL Financial LLCCetera Advisor Networks LLC$5007-17-2019
Diana CahillMML Investors Services, LLCEquitable Advisors, LLC07-17-2019
Madhu P KothariKey Investment Services LLCAllstate Financial Services, LLC07-17-2019
Andrew M MitchellJ.P. Morgan Securities LLCRoyal Alliance Associates, Inc.07-17-2019
Xiufeng YangAllstate Financial Services, LLCMML Investors Services, LLC07-17-2019
Syra BrelviMorgan StanleyJ.P. Morgan Securities LLC07-17-2019
Jacob James SadwickSecurities America, Inc.Morgan Stanley07-17-2019
Wayne Matthew Raymond SrSpartan Capital Securities, LLCWorden Capital Management LLC07-16-2019
Stacey Hsin-Yun TsaiMorgan StanleyJ.P. Morgan Securities LLC07-16-2019
Jacqueline SchleimerMorgan StanleyJ.P. Morgan Securities LLC07-16-2019
Evan EiningerMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, LLC07-15-2019
Rubiyath DohaHSBC Securities (USA) Inc.J.P. Morgan Securities LLC07-15-2019
Samuel Haggis HodgsonFirst Republic Securities Company, LLCNatixis Distribution, L.P.07-15-2019
Daniel James MonezWells Fargo Clearing Services, LLCOppenheimer & Co. Inc.07-12-2019
Brian David RockowitzMadison Global Partners LLCAegis Capital Corp.07-12-2019
Marlon Anthony BustosMorgan StanleyJ.P. Morgan Securities LLC07-12-2019
Eric A BrittWells Fargo Advisors Financial Network, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-12-2019
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Showing 1 to 25 of 1,148 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.