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
Jose Luis Rincon-Gallardo RomoUBS Financial Services Inc.Citigroup Global Markets Inc.06-28-2013
Leticia Claudia GoenagaUBS Financial Services Inc.Citigroup Global Markets Inc.12-07-2012
Benjamin Elie AslanUBS Financial Services Inc.Citigroup Global Markets Inc.02-02-2012
Zoraida Caridad DiazUBS Financial Services Inc.Citigroup Global Markets Inc.09-16-2011
Cristina Beatrice MendezUBS Financial Services Inc.Citigroup Global Markets Inc.09-16-2011
Angel ValleUBS Financial Services Inc.Citigroup Global Markets Inc.05-02-2011
Paul John OlivoUBS Financial Services Inc.Citigroup Global Markets Inc.$5009-09-2010
Daniel John McLoughlinUBS Financial Services Inc.Citigroup Global Markets Inc.05-12-2010
Kristen SignorileUBS Financial Services Inc.Citigroup Global Markets Inc.01-15-2010
Ricky David ChernokUBS Financial Services Inc.Citigroup Global Markets Inc.06-15-2009
Christopher M. Palmieri, Jennifer Lynn Kraus, Lauren JohnsonUBS Financial Services Inc.Citigroup Global Markets Inc.06-05-2009
Paul Steven WishingradUBS Financial Services Inc.Citigroup Global Markets Inc.$15005-29-2009
Charles Edward Crystal, Christine Muneyyirci FinocchUBS Financial Services Inc.Citigroup Global Markets Inc.$1005-15-2009
James Warren GreenUBS Financial Services Inc.Citigroup Global Markets Inc.$5005-12-2009
Martha Jean SiefmanUBS Financial Services Inc.Citigroup Global Markets Inc.$10005-08-2009
Steven Philip WirthUBS Financial Services Inc.Citigroup Global Markets Inc.$10005-08-2009
David Alan BoudreauUBS Financial Services Inc.Citigroup Global Markets Inc.$10005-08-2009
Gregory Buell CamdenUBS Financial Services Inc.Citigroup Global Markets Inc.$10005-08-2009
Shane R. R. LunsfordUBS Financial Services Inc.Citigroup Global Markets Inc.$5005-08-2009
Jensen Baker MoockUBS Financial Services Inc.Citigroup Global Markets Inc.05-08-2009
James Patrick O'ConnellUBS Financial Services Inc.Citigroup Global Markets Inc.05-08-2009
Russell Louis RothUBS Financial Services Inc.Citigroup Global Markets Inc.05-08-2009
James Anthony Small Jr.UBS Financial Services Inc.Citigroup Global Markets Inc.$10005-06-2009
John Thomas Diblasi, Sari Lyn WarsawUBS Financial Services Inc.Citigroup Global Markets Inc.$20005-05-2009
Patrick Steven CarriganUBS Financial Services Inc.Citigroup Global Markets Inc.05-05-2009
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Showing 1 to 25 of 209 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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