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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Thomas DattiloAmeriprise Financial Services, LLCUBS Financial Services Inc.$14702-03-2017
Steven LeClair Lauren MatthiessenRaymond James & Associates, Inc.UBS Financial Services Inc.$22810-29-2019
Tom Lieser Leigh Anne Gage Tom AwadallaStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$73002-14-2019
Ryan Bibler Vince Finney Myron Shaffer and Joe PanfilWells Fargo Clearing Services, LLCUBS Financial Services Inc.11-02-2018
James MedskerWells Fargo Clearing Services, LLCUBS Financial Services Inc.10-26-2018
Laith KhalafWells Fargo Clearing Services, LLCUBS Financial Services Inc.10-26-2018
Scott Mercalde Tricia MercaldeMorgan StanleyUBS Financial Services Inc.10-05-2018
Ian N Wilt Michael Jude ScovicMorgan StanleyUBS Financial Services Inc.$46303-23-2018
Dennis P BarbaWells Fargo Clearing Services, LLCUBS Financial Services Inc.$17505-01-2015
Christopher Zich Kenneth Fruehauf Thomas Buhl Keeland HoweWells Fargo Clearing Services, LLCUBS Financial Services Inc.$42401-24-2012
T Gregory Naples Chris NapleMorgan StanleyUBS Financial Services Inc.$10011-15-2011
Shawn Liebel Kevin ForneyMorgan StanleyUBS Financial Services Inc.$21105-17-2011
The Legacy Wealth Management GroupMorgan StanleyUBS Financial Services Inc.$35007-02-2010
Christopher ConleyHilliard LyonsUBS Financial Services Inc.$7011-13-2018
Dan Strebler Walt Sokira Toni FrancisHilliard LyonsUBS Financial Services Inc.$23005-11-2018
Henry HauserRaymond JamesUBS Financial Services Inc.$60005-02-2014
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 Edwin LeclairRaymond James & Associates, Inc.UBS Financial Services Inc.10-29-2019
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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 “ — “ 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.