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
Ricardo James ArmijoUBS Financial Services Inc.Citigroup Global Markets Inc.01-16-2009
Timothy Matthew CooperUBS Financial Services Inc.Citigroup Global Markets Inc.01-16-2009
Peter Attila NagyMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$2501-30-2009
Joseph Thomas Molloy, Scot Neal PardoUBS Financial Services Inc.Citigroup Global Markets Inc.$10002-06-2009
Debora Ann CraigRaymond James Financial Services, Inc.Citigroup Global Markets Inc.02-06-2009
Monish VermaUBS Financial Services Inc.Citigroup Global Markets Inc.$2502-12-2009
Gregory Ellis MillerMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$10002-13-2009
Joel Philip LagoreSigma Financial CorporationCitigroup Global Markets Inc.02-13-2009
Thomas Joseph MastersHD Vest Investment ServicesCitigroup Global Markets Inc.02-17-2009
James Michael Belknap, Patricia Belknap WhitneyUBS Financial Services Inc.Citigroup Global Markets Inc.$1002-20-2009
Sherwyn Jimmy Mistry, Yazdi Jamie Mistry, Timothy Jimmy Mistry, Zubin Jimmy MistryUBS Financial Services Inc.Citigroup Global Markets Inc.03-06-2009
Diane KropelnitskiJ.J.B. Hilliard, W.L. Lyons, LLCCitigroup Global Markets Inc.$2503-13-2009
Dana Ray DarnellWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$10003-20-2009
Louis Joseph WojtowiczLPL Financial LLCCitigroup Global Markets Inc.$5003-27-2009
Betty Jane NapierRaymond James & Associates, Inc.Citigroup Global Markets Inc.$5004-09-2009
Thomas George Townsend, Michele Rene MorganUBS Financial Services Inc.Citigroup Global Markets Inc.$15004-17-2009
Marian Evelyn Roth, Wendy L. VighUBS Financial Services Inc.Citigroup Global Markets Inc.04-24-2009
Martha Jean SiefmanUBS Financial Services Inc.Citigroup Global Markets Inc.$10005-08-2009
John Askin FugerStifel, Nicolaus & Company, IncorporatedCitigroup Global Markets Inc.$15005-11-2009
Jerry William RohenMorgan StanleyCitigroup Global Markets Inc.$20006-01-2009
Norman Michael PolderdykMorgan StanleyCitigroup Global Markets Inc.$20006-01-2009
Michael Gregory AboosamraMorgan StanleyCitigroup Global Markets Inc.$20006-01-2009
Karen Crofoot SaundersMorgan StanleyCitigroup Global Markets Inc.$20006-01-2009
Richard Leo NauerMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Pamela Felice OppererMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
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Showing 1 to 25 of 148 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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