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
Jaime Luis DiazCetera Investment Services LLCCitigroup Global Markets Inc.02-26-2019
Lionel Jesus MorataSantander Securities LLCCitigroup Global Markets Inc.06-08-2018
Vanessa Sandra MahoneyMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.06-07-2018
Jason Jae YooCetera Investment Services LLCCitigroup Global Markets Inc.01-02-2018
Gregg Michael HernandezUBS Financial Services Inc.Citigroup Global Markets Inc.01-08-2016
Brett M GoldsteinLPL Financial LLCCitigroup Global Markets Inc.$10009-08-2015
Jackie Cheng Min ChiangJ.P. Morgan Securities LLCCitigroup Global Markets Inc.03-02-2015
Dorota Bernadetta PietrykaJ.P. Morgan Securities LLCCitigroup Global Markets Inc.01-29-2015
Louis Joseph CuomoMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.08-01-2014
Wei Winnie PengPNC InvestmentsCitigroup Global Markets Inc.07-08-2014
David Lee ShafranekProspera Financial Services, Inc.Citigroup Global Markets Inc.$5004-15-2014
Suzette A Labonne-LiddyMBSC Securities CorporationCitigroup Global Markets Inc.03-06-2014
Vladislav GurevichWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.01-25-2013
Mark David HasenauerPNC InvestmentsCitigroup Global Markets Inc.02-13-2012
Christian A PinaChase Investment Services Corp.Citigroup Global Markets Inc.10-10-2011
Enrique J MaganaPNC InvestmentsCitigroup Global Markets Inc.$2503-14-2011
Robert William TothVALIC Financial Advisors, Inc.Citigroup Global Markets Inc.09-08-2010
Michael Alan ShermanMutual of Omaha Investor Services, Inc.Citigroup Global Markets Inc.$5001-20-2010
Lesley Anne DraperRegentAtlanticCitigroup Global Markets Inc.09-16-2009
Adam ZielinskiAXA Advisors, LLCCitigroup Global Markets Inc.07-21-2009
Jeremy R GussickLPL Financial LLCCitigroup Global Markets Inc.$2506-24-2009
Timothy James RalphFSC Securities CorporationCitigroup Global Markets Inc.06-19-2009
Ricky David ChernokUBS Financial Services Inc.Citigroup Global Markets Inc.$10006-15-2009
Timothy Edward DalyJanney Montgomery Scott LLCCitigroup Global Markets Inc.$10006-15-2009
Anne Marie StotkaLincoln Financial Securities CorporationCitigroup Global Markets Inc.05-29-2009
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Showing 1 to 25 of 126 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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