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

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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Kathryn Elsea HoffmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.09-09-2020
Ricardo J PopovskyWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10007-10-2020
Steven Hayden HafnerKestra Investment Services, LLCUBS Financial Services Inc.$4106-30-2020
Tyler R McKeanKestra Investment Services, LLCUBS Financial Services Inc.06-30-2020
Stephen David PutinskiWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10002-13-2020
Michael W ShamesWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10011-08-2019
George David FlandersWells Fargo Clearing Services, LLCUBS Financial Services Inc.11-01-2019
Shane MoranMorgan StanleyUBS Financial Services Inc.$5010-30-2019
Steven LeClair Lauren MatthiessenRaymond James & Associates, Inc.UBS Financial Services Inc.$22810-29-2019
Steven Edwin LeclairRaymond James & Associates, Inc.UBS Financial Services Inc.10-29-2019
Samuel A McCoyMorgan StanleyUBS Financial Services Inc.10-23-2019
Michael Joseph PlatteMorgan StanleyUBS Financial Services Inc.10-07-2019
Matthew David PenrodMorgan StanleyUBS Financial Services Inc.10-07-2019
Monica Ann MalhoitMorgan StanleyUBS Financial Services Inc.09-20-2019
Allan Michael RetaMorgan StanleyUBS Financial Services Inc.$5009-06-2019
Jeffrey Robert SimpsonMorgan StanleyUBS Financial Services Inc.$10009-06-2019
Allan P CovertMorgan StanleyUBS Financial Services Inc.09-06-2019
Clayton J CallahanWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5008-30-2019
Jamie Lynn KaczmarskiPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.07-09-2019
John T OBrienPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.06-25-2019
Robert William RetzloffVenture Visionary Partners LLCUBS Financial Services Inc.$15006-24-2019
Brian J FunkhouserVenture Visionary Partners LLCUBS Financial Services Inc.$10006-24-2019
Craig Douglas FindleyPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$1,00005-09-2019
Geoffrey A Andrew MerlWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10004-26-2019
Travis Wayne KingRobert W. Baird & Co. IncorporatedUBS Financial Services Inc.03-29-2019
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Showing 1 to 25 of 153 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 ā€œ ā€” ā€œ is listed in the recordā€™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.