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 2020)

Recruiting Gains

Firm Total Moves

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Recruiting Losses

Firm Total Moves

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Net Gains

Firm Total Moves

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Net Losses

Firm Total Moves

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Latest moves

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Seymour SlatkinRaymond JamesWells Fargo Clearing Services, LLC$14003-15-2018
Miguel LopezRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$10001-11-2018
Andrew Egber Miguel LopezRaymond JamesWells Fargo Clearing Services, LLC$7001-11-2018
Andrew Joseph EgberRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$5001-12-2018
Robert Paul Niklaus KellerEdward JonesWells Fargo Clearing Services, LLC01-07-2019
Victor F ConchaTIAA-CREF Individual & Institutional Services, LLCWells Fargo Clearing Services, LLC10-22-2018
Samuel Ferguson Beach JrSargent Investment Group, LLCWells Fargo Clearing Services, LLC08-14-2018
Christopher Smith SargentSargent Investment Group, LLCWells Fargo Clearing Services, LLC08-03-2018
Ricardo Martin RosenbergSargent Investment Group, LLCWells Fargo Clearing Services, LLC08-03-2018
Tae Hong HarteSargent Investment Group, LLCWells Fargo Clearing Services, LLC08-03-2018
Brian Douglas McgregorSargent Investment Group, LLCWells Fargo Clearing Services, LLC08-03-2018
Nicholas CamelTIAA-CREF Individual & Institutional Services, LLCWells Fargo Clearing Services, LLC06-21-2018
Elizabeth A GunterRBC Capital Markets, LLCWells Fargo Clearing Services, LLC04-27-2018
DAVID WAYNE HAWKINS JrHSBC Securities (USA) Inc.Wells Fargo Clearing Services, LLC04-18-2018
Robert Lee SmithMorgan StanleyWells Fargo Clearing Services, LLC04-13-2018

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.