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

Firm Total Moves

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Net Losses

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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Sandra WheelerStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$14009-20-2019
John Joseph LallyFirst Republic Securities Company, LLCUBS Financial Services Inc.$19209-20-2019
Gehret DAVIS ShemeldRockefeller Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated09-20-2019
Fred Charles RobertshawRaymond James Financial Services, Inc.Wells Fargo Advisors Financial Network, LLC$15009-20-2019
Monica Ann MalhoitMorgan StanleyUBS Financial Services Inc.09-20-2019
Francis Cooper Lawrance JrSeaCrest Wealth Management, LLCRaymond James Financial Services, Inc.$5009-20-2019
William Lawrence OckerlundRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC09-20-2019
Michael James HebnerMcNally Financial Services CorporationIfs Securities$2509-20-2019
Craig Anthony RosenbergJ.W. Cole Financial, Inc.Ifs Securities$2509-20-2019
Marc Robert EngelmanWells Fargo Clearing Services, LLCMorgan Stanley09-20-2019
Anthony Louis DelucaCabot Lodge Securities LLCIfs Securities$2509-20-2019
Joseph Charles KleinMML Investors Services, LLCComerica Securities$1,00009-20-2019
Sanah ChungFirst Republic Securities Company, LLCUBS Financial Services Inc.$10009-20-2019
Alan Floyd WillenbrockAmeriprise Financial Services, LLCMorgan Stanley$10009-20-2019
Sandra Hedstrom WheelerStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$1,00009-20-2019
Diana Colman DuysMorgan StanleyXP Investments US, LLC09-20-2019
Kevin H GayAllstate Financial Services, LLCPNC Investments09-20-2019
Joseph Patrick LallyFirst Republic Securities Company, LLCUBS Financial Services Inc.09-20-2019
Kelly Susann WillmerMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated09-20-2019
Max GreenRockefeller Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated09-20-2019
John Breckenridge BarnesFirst Republic Securities Company, LLCUBS Financial Services Inc.$14909-20-2019
David Jerome JacksonLPL Financial LLCWaddell & Reed$2509-20-2019
Michael James GapinskiRaymond James & Associates, Inc.Morgan Stanley$1,00009-20-2019
James Patrick CurtinWells Fargo Clearing Services, LLCHSBC Securities (USA) Inc.$5009-20-2019
Stanford Hastings RobertsSA Stone Wealth Management Inc.Ameriprise Financial Services, LLC09-20-2019
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Showing 1 to 25 of 1,558 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.