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
Aaron Paul KingstonRBC Capital Markets, LLCUBS Financial Services Inc.$2509-13-2019
Ahmiel Eliezer BaumPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$1,00006-12-2020
Ann Marie BenderRaymond James & Associates, Inc.UBS Financial Services Inc.01-08-2015
Aurelio Roy Decaro JrMorgan StanleyUBS Financial Services Inc.01-09-2014
Benjamin Grant MinorWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-15-2020
Bernard Levi HirshMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$5009-21-2010
Brett Daniel CaffreyMorgan StanleyUBS Financial Services Inc.09-04-2012
Brett Jordan RhodeMorgan StanleyUBS Financial Services Inc.09-04-2020
Brian David BaumInterchange Capital PartnersUBS Financial Services Inc.06-12-2020
Brian Joseph TarquinioMorgan StanleyUBS Financial Services Inc.$10506-09-2020
Charles Patrick RobinsonMorgan StanleyUBS Financial Services Inc.$5003-04-2011
Chris Ellis McCoyFidelity Brokerage Services LLCUBS Financial Services Inc.05-01-2020
Connor P GallagherWells Fargo Clearing Services, LLCUBS Financial Services Inc.02-14-2020
Curt L CoulterWells Fargo Clearing Services, LLCUBS Financial Services Inc.$1,00008-31-2012
David Loran CostaLPL Financial LLCUBS Financial Services Inc.$5004-30-2009
David W RodgersWells Fargo Clearing Services, LLCUBS Financial Services Inc.12-13-2010
Debra Lynn HawkinsWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-15-2020
Douglass Ralph TietbohlMorgan StanleyUBS Financial Services Inc.$5004-07-2011
Edmund David FosterRBC Capital Markets, LLCUBS Financial Services Inc.$15011-30-2017
Ellen M MarcusOppenheimer & Co. Inc.UBS Financial Services Inc.$15006-08-2009
Eric J WernerMorgan StanleyUBS Financial Services Inc.06-25-2019
Francis Grant MinorWells Fargo Clearing Services, LLCUBS Financial Services Inc.05-15-2020
Frank Anthony Abruzzese SrBoenning & Scattergood, Inc.UBS Financial Services Inc.10-05-2009
Frank B EmmerlingRBC Capital Markets, LLCUBS Financial Services Inc.11-08-2013
Frank Bryan Emmerling JrRBC Capital Markets, LLCUBS Financial Services Inc.11-08-2013
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Showing 1 to 25 of 97 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.