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.

Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Moises Humberto Ospina1st Global Capital Corp.Chase Investment Services Corp.$20002-28-2012
Garry BaleA.G.P. / Alliance Global PartnersChase Investment Services Corp.03-23-2010
Thomas Howard ArthurA.G.P. / Alliance Global PartnersChase Investment Services Corp.03-19-2010
Michael GoldsteinAddison Clark Wealth Management, LLCChase Investment Services Corp.04-05-2011
Rocco J. LafaroAegis Capital Corp.Chase Investment Services Corp.10-03-2011
Henry J LiuAegis Capital Corp.Chase Investment Services Corp.$15003-09-2011
Dat C TrinhAllstate Financial Services, LLCChase Investment Services Corp.12-01-2010
Anthony Edward RobinetteAllstate Financial Services, LLCChase Investment Services Corp.$5006-07-2010
William Cain StrangesAmeriprise Financial Services, Inc.Chase Investment Services Corp.11-28-2012
Jon Carter SaboAmeriprise Financial Services, Inc.Chase Investment Services Corp.$20007-24-2012
Cathleen Sue WhiteAmeriprise Financial Services, Inc.Chase Investment Services Corp.04-13-2012
Jonathan James GoromAmeriprise Financial Services, Inc.Chase Investment Services Corp.04-09-2012
Lauren Carly BattistaAmeriprise Financial Services, Inc.Chase Investment Services Corp.$2501-27-2012
Michael James VegaAmeriprise Financial Services, Inc.Chase Investment Services Corp.$1001-13-2012
William James FussellAmeriprise Financial Services, Inc.Chase Investment Services Corp.$10001-09-2012
Mucio Dumit CarlonAmeriprise Financial Services, Inc.Chase Investment Services Corp.01-04-2012
Christine FroleAmeriprise Financial Services, Inc.Chase Investment Services Corp.12-07-2011
James Harold VenezianoAmeriprise Financial Services, Inc.Chase Investment Services Corp.06-08-2011
Chad Michael DurfeyAmeriprise Financial Services, Inc.Chase Investment Services Corp.06-02-2011
Richard Stanislaus RoutieAmeriprise Financial Services, Inc.Chase Investment Services Corp.05-20-2011
Belinda Lewis BatisteAmeriprise Financial Services, Inc.Chase Investment Services Corp.$5004-29-2011
Joshua Alan PavonAmeriprise Financial Services, Inc.Chase Investment Services Corp.04-11-2011
Shamir Dov HirschAmeriprise Financial Services, Inc.Chase Investment Services Corp.02-16-2011
David Michael BettsAmeriprise Financial Services, Inc.Chase Investment Services Corp.02-04-2011
Santi Nalluri NallapaneniAmeriprise Financial Services, Inc.Chase Investment Services Corp.01-11-2011
Next Page »

Showing 1 to 25 of 2,622 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.

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