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
Sarkis LandhorianJ.P. Morgan Securities LLCCitigroup Global Markets Inc.$103-06-2019
James M FoxTD Ameritrade Investment Management, LLCCitigroup Global Markets Inc.02-13-2019
Jesus Vega RojasMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.10-30-2018
Joseph L KaramWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$10008-23-2018
Peter Andrew HorowitzAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.$15005-24-2018
William Ernster EmbreeEmbree Financial GroupCitigroup Global Markets Inc.01-29-2018
James AllenDavid A. Noyes & CompanyCitigroup Global Markets Inc.$10005-26-2017
Patrick Jermaine PhillipsMetLife Securities Inc.Citigroup Global Markets Inc.10-05-2016
Fernando Joseph MunozNorthern Trust Securities, Inc.Citigroup Global Markets Inc.05-20-2016
Dana Lynne RagielFifth Third Securities, Inc.Citigroup Global Markets Inc.11-13-2015
Olga V JohnsonFifth Third Securities, Inc.Citigroup Global Markets Inc.$107-24-2015
Stephanie J O'HaraMetLife Securities Inc.Citigroup Global Markets Inc.07-17-2015
Taskeen Naimat PaganyU.S. Bancorp Investments, Inc.Citigroup Global Markets Inc.$106-17-2015
Kathleen Marie NallonGoldman Sachs & Co.Citigroup Global Markets Inc.06-02-2015
Svetoslava D DimitrovaFifth Third Securities, Inc.Citigroup Global Markets Inc.05-12-2015
Hal Irving MarcusBuss Capital Management, LLCCitigroup Global Markets Inc.04-28-2015
Jose Anthony ValenciaSecurities America, Inc.Citigroup Global Markets Inc.09-01-2014
Malinda Helen DistefanoWilliam BlairCitigroup Global Markets Inc.07-10-2014
Anthony James PappasFifth Third Securities, Inc.Citigroup Global Markets Inc.09-10-2013
Dennis Matthew BreierLPL Financial LLCCitigroup Global Markets Inc.04-12-2013
Erich Stephen GerlachStrategic Advisers LLCCitigroup Global Markets Inc.01-03-2013
Frank Helmut SchulzWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.06-04-2012
Paul Joseph DonatoAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.03-11-2011
Lisa Jan AdelsteinMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.12-17-2010
Louis Donald GilmanThe Investment Center, Inc.Citigroup Global Markets Inc.$15010-15-2010
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Showing 1 to 25 of 88 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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