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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Sandra Benain McKoyKovack Securities Inc.Citigroup Global Markets Inc.09-20-2019
Derek Louis SausaM Holdings Securities, Inc.Citigroup Global Markets Inc.09-03-2019
Steven Marc HeinowitzWellington Shields & Co., LLCCitigroup Global Markets Inc.$1708-29-2019
Rodrigo Rabello MottaBAC Florida InvestmentsCitigroup Global Markets Inc.08-13-2019
Li HuangState Farm VP Management Corp.Citigroup Global Markets Inc.07-24-2019
John C ScalaFTB Advisors, Inc.Citigroup Global Markets Inc.07-23-2019
Rubia Neves DouradoWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$5006-20-2019
Olga RyzowyWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$5006-20-2019
Javier Enrique MondragonHSBC Securities (USA) Inc.Citigroup Global Markets Inc.06-17-2019
Frankie Y. TamHSBC Securities (USA) Inc.Citigroup Global Markets Inc.$2505-28-2019
John Martin Gotsch IVHSBC Securities (USA) Inc.Citigroup Global Markets Inc.05-13-2019
Dylan Lee HernandezVALIC Financial Advisors, Inc.Citigroup Global Markets Inc.$15005-06-2019
Eric John AckermanInfinex Investments, Inc.Citigroup Global Markets Inc.05-01-2019
Sofia E. KostopoulosWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$5004-24-2019
Sean Lee CableH. Beck, Inc.Citigroup Global Markets Inc.$5004-24-2019
Christopher Richard DayJ.P. Morgan Securities LLCCitigroup Global Markets Inc.04-17-2019
Jakob Daniel FriesLPL Financial LLCCitigroup Global Markets Inc.03-15-2019
Kamal Asad MalhisAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.$15003-14-2019
Sarkis LandhorianJ.P. Morgan Securities LLCCitigroup Global Markets Inc.03-06-2019
Jaime Luis DiazCetera Investment Services LLCCitigroup Global Markets Inc.02-26-2019
Jerell Antwuan WilliamsAttlee Capital LLCCitigroup Global Markets Inc.02-25-2019
James M. FoxTD Ameritrade Investment Management, LLCCitigroup Global Markets Inc.02-13-2019
Brett M. GrahamLPL Financial LLCCitigroup Global Markets Inc.02-08-2019
William Scott FreedmanUnionBanc Investment Services, LLCCitigroup Global Markets Inc.02-07-2019
Jonathan Barnette LeisKestra Investment Services, LLCCitigroup Global Markets Inc.01-18-2019
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Showing 1 to 25 of 5,507 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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