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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Daniel Ronald AndreuzziChase Investment Services Corp.Citigroup Global Markets Inc.$10005-26-2009
Joseph Gilbert BuddWells Fargo Advisors Financial Network, LLCCitigroup Global Markets Inc.$10005-22-2009
John Askin FugerStifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.$15005-11-2009
Genevieve Elva ShepherdRaymond James Financial Services, Inc.Citigroup Global Markets Inc.$10005-08-2009
Martha Jean SiefmanUBS Financial Services Inc.Citigroup Global Markets Inc.$10005-08-2009
Johnny Martinez Jr.Commonwealth Financial NetworkCitigroup Global Markets Inc.05-01-2009
James Kevin SmildeOppenheimer & Co. Inc.Citigroup Global Markets Inc.04-27-2009
Marian Evelyn RothUBS Financial Services Inc.Citigroup Global Markets Inc.$10004-24-2009
James Glen VanderwallH&R Block Financial Advisors, Inc.Citigroup Global Markets Inc.$25004-24-2009
Wendy L. VighUBS Financial Services Inc.Citigroup Global Markets Inc.$50004-24-2009
Thomas George TownsendUBS Financial Services Inc.Citigroup Global Markets Inc.$15004-17-2009
Charles Lee SmithUBS Financial Services Inc.Citigroup Global Markets Inc.$50004-17-2009
Michele Rene MorganUBS Financial Services Inc.Citigroup Global Markets Inc.$50004-17-2009
Timothy Allen KnapperFifth Third Securities, Inc.Citigroup Global Markets Inc.04-16-2009
Betty Jane NapierRaymond James & Associates, Inc.Citigroup Global Markets Inc.$50004-09-2009
Louis Joseph WojtowiczLPL Financial LLCCitigroup Global Markets Inc.$50003-27-2009
Dana Ray DarnellWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Citigroup Global Markets Inc.$10003-20-2009
John George GellaschB. Riley Wealth ManagementCitigroup Global Markets Inc.$20003-20-2009
Anthony Michael CaruanaB. Riley Wealth ManagementCitigroup Global Markets Inc.$50003-20-2009
Catherine Adrienne CasteelH&R Block Financial Advisors, Inc.Citigroup Global Markets Inc.$50003-20-2009
Diane KropelnitskiJ.J.B. Hilliard, W.L. Lyons, LLCCitigroup Global Markets Inc.$25003-13-2009
Yazdi Jamie MistryUBS Financial Services Inc.Citigroup Global Markets Inc.$25003-06-2009
Timothy Jimmy MistryUBS Financial Services Inc.Citigroup Global Markets Inc.$50003-06-2009
Sherwyn Jimmy MistryUBS Financial Services Inc.Citigroup Global Markets Inc.03-06-2009
Zubin Jimmy MistryUBS Financial Services Inc.Citigroup Global Markets Inc.03-06-2009
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Showing 1 to 25 of 41 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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