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.
Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.Recruiting Scoreboard (Q4 2019)
Recruiting Gains
Recruiting Losses
Net Gains
Net Losses
| Firm | Total Moves |
| 1. FSC Securities Corporation | 64 |
| 2. Merrill Lynch, Pierce, Fenner & Smith Incorporated | 38 |
| 3. Wells Fargo Clearing Services, LLC | 30 |
| 4. Morgan Stanley | 23 |
| 5. AXA Advisors, LLC | 15 |
Latest moves
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| Catherine Sharp Smith | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ameriprise Financial Services, Inc. | — | 05-29-2009 |
| John Hall Haselton, Jason Daniel Patrick | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UBS Financial Services Inc. | $150 | 07-07-2009 |
| Michael Wayne Thomas | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | $100 | 10-23-2009 |
| Mark Leslie Mintz | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Karen Louise Graves | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| James Timothy Gattis | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| William Howard Wade | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Zachary Hoyt Richards | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Chris Christopher Mitchell | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Raj Kumar Patnaik | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Maria Leda Goebel | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Lisa Webb | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Banc of America Investment Services, Inc. | — | 10-23-2009 |
| Rebecca Loyd Frazier | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Edward Jones | $25 | 04-30-2010 |
| Steven Riley Coffman | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UBS Financial Services Inc. | $150 | 07-28-2010 |
| Andrew Stuart Mumpower | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UBS Financial Services Inc. | — | 01-07-2011 |
| Eric Brett Harding | Merrill Lynch, Pierce, Fenner & Smith Incorporated | SunTrust Investment Services, Inc. | — | 06-20-2011 |
| John Hugh Wheeler | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morgan Stanley | $25 | 06-30-2011 |
| Roger Alton Rhodes Jr. | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fifth Third Securities, Inc. | — | 03-19-2012 |
| William Gregory Sullivan, Christopher William Gardner | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Credit Suisse Securities (USA) LLC | — | 12-07-2012 |
| Melinda Gail Rogers | Merrill Lynch, Pierce, Fenner & Smith Incorporated | FTB Advisors, Inc. | — | 12-31-2012 |
| Meggan E Glass | Merrill Lynch, Pierce, Fenner & Smith Incorporated | UBS Financial Services Inc. | — | 08-15-2013 |
| Denise Kennedy Depriest | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Gaam Wealth Advisors, Inc. | $150 | 09-06-2013 |
| Tyler Gene Samuels | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Waddell & Reed | — | 09-16-2013 |
| William Lynn Porter | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Raymond James & Associates, Inc. | — | 11-11-2013 |
| Kari R. Johnson | Merrill Lynch, Pierce, Fenner & Smith Incorporated | Raymond James & Associates, Inc. | — | 11-11-2013 |
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.
