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 |
|---|---|---|---|---|
| Andrew Lucas Finnigan | Commonwealth Financial Network | LPL Financial LLC | $25 | 09-24-2018 |
| Christopher George Bafus | Commonwealth Financial Network | MetLife Securities Inc. | — | 02-06-2015 |
| Eric Allen Jacobsen | Commonwealth Financial Network | Signator Investors, Inc. | $100 | 05-17-2017 |
| Eric Jacobsen, Lanny Nebeker | Commonwealth Financial Network | Signator Investors | $150 | 05-17-2017 |
| Graham Scott Miller | Commonwealth Financial Network | Waddell & Reed | — | 09-06-2013 |
| Joleen Lorrain Yelton | Commonwealth Financial Network | Waddell & Reed | — | 03-28-2013 |
| Joshua James Hummel | Commonwealth Financial Network | Wamu Investments, Inc. | — | 04-09-2009 |
| Kathleen Marie OConnor | Commonwealth Financial Network | MetLife Securities Inc. | — | 04-02-2015 |
| Kathy Miller Parrish, Connie Arlene Falon | Commonwealth Financial Network | Wells Fargo Advisors Financial Network, LLC | $50 | 09-16-2015 |
| Kevin Jean Pentz | Commonwealth Financial Network | Thrivent Investment Management Inc. | — | 10-23-2017 |
| Meena Siulai Cheng | Commonwealth Financial Network | D.A. Davidson & Co. | $25 | 09-26-2014 |
| Nancy Jane Boggs Lapointe | Commonwealth Financial Network | MetLife Securities Inc. | — | 08-09-2013 |
| Perry Alan McClain | Commonwealth Financial Network | Wells Fargo Advisors Financial Network, LLC | $60 | 04-17-2019 |
| Teresa Kaye Mansell | Commonwealth Financial Network | LPL Financial LLC | $20 | 09-24-2018 |
| Todd James Lindley | Commonwealth Financial Network | Lincoln Financial Advisors Corporation | $50 | 05-31-2016 |
Showing 1 to 15 of 15 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.
