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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Garry BaleA.G.P / Alliance Global PartnersChase Investment Services Corp.03-23-2010
Rocco J. LafaroAegis Capital Corp.Chase Investment Services Corp.10-03-2011
Henry J LiuAegis Capital Corp.Chase Investment Services Corp.$15003-09-2011
Jose Francisco RosaAlexander Capital, L.P.Chase Investment Services Corp.03-30-2012
Robert Zeil RosenbergAllstate Financial Services, LLCChase Investment Services Corp.12-16-2010
Victor Louis LoperfidoAllstate Financial Services, LLCChase Investment Services Corp.03-16-2010
Jonathan James GoromAmeriprise Financial Services, LLCChase Investment Services Corp.04-09-2012
Michael James VegaAmeriprise Financial Services, LLCChase Investment Services Corp.$1001-13-2012
James Harold VenezianoAmeriprise Financial Services, LLCChase Investment Services Corp.06-08-2011
Barbara Ann Paliseno LewisAmeriprise Financial Services, LLCChase Investment Services Corp.04-05-2011
Shamir Dov HirschAmeriprise Financial Services, LLCChase Investment Services Corp.02-16-2011
Mark Anthony Caleb WellsAmeriprise Financial Services, LLCChase Investment Services Corp.10-06-2010
Carmine Joseph PassanteAsset & Financial Planning, LtdChase Investment Services Corp.10-18-2010
Robert Silvio TuddaAXA Advisors, LLCChase Investment Services Corp.$1008-31-2011
Tracy Michele TitusAXA Advisors, LLCChase Investment Services Corp.05-18-2010
Michael J BorskaCabot Lodge Securities LLCChase Investment Services Corp.08-29-2012
Kenneth Ray BaileyCape Securities Inc.Chase Investment Services Corp.03-17-2011
Keith Miki ZuckerbergCapital One Investment Services LLCChase Investment Services Corp.09-10-2012
Sung ShinCapital One Investment Services LLCChase Investment Services Corp.09-04-2012
Alex Hwan KimCapital One Investment Services LLCChase Investment Services Corp.06-04-2012
Scott Girard StandelCapital One Investment Services LLCChase Investment Services Corp.09-01-2010
James Christopher ThorneCapital One Investment Services LLCChase Investment Services Corp.07-28-2010
Jose Manuel Colon Jr.Capital One Investment Services LLCChase Investment Services Corp.09-25-2009
Raphy De JesusCetera Advisors LLCChase Investment Services Corp.06-25-2012
Thomas Keith MigdaleCetera Advisors LLCChase Investment Services Corp.05-24-2012
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Showing 1 to 25 of 251 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.