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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Geoffrey ZieglerRaymond James & Associates, Inc.Edward Jones$15001-09-2020
Karen Elizabeth FallertRaymond James & Associates, Inc.Morgan Stanley$5012-03-2019
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
Laurel Ann MarkleyRaymond James & Associates, Inc.Ameriprise Financial Services, LLC07-17-2019
Max Zachary PeretzkyRaymond James & Associates, Inc.Ameriprise Financial Services, LLC07-17-2019
Paul Charles MahlerRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$1,00005-31-2019
Maura HolowchakRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$1,00005-31-2019
Leif Eric MahlerRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC05-31-2019
Richard Leon PecceRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$1,00004-29-2019
Beverly Kay SchmittRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC04-29-2019
Michael Lewis DruffnerRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$15004-29-2019
Kevin Michael SnellRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$10004-29-2019
Dustin Joseph MartinRaymond James & Associates, Inc.Fidelity Personal and Workplace Advisors03-20-2019
William Ray HornungRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$1,00010-19-2018
Lindsey Anne CrockerRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC10-18-2018
Matthew Joseph OharaRaymond James & Associates, Inc.Waddell & Reed07-17-2018
Frank DilallaRaymond James & Associates, Inc.Morgan Stanley08-25-2017
Amanda Louise PenitzRaymond James & Associates, Inc.Morgan Stanley$10008-25-2017
John Frederick JohnsonRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$5006-02-2017
Susan Jane OrangeRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC05-11-2017
George Preston ElliottRaymond James & Associates, Inc.UBS Financial Services Inc.$5009-15-2016
Mitchell E Eric LothesRaymond James & Associates, Inc.UBS Financial Services Inc.09-15-2016
Patrick John RobersonRaymond James & Associates, Inc.UBS Financial Services Inc.$5004-29-2016
Nora G GrablovicRaymond James & Associates, Inc.UBS Financial Services Inc.04-29-2016
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Showing 1 to 25 of 62 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.