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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Christopher Walter EblePruco Securities, LLC.Citigroup Global Markets Inc.12-16-2019
Travere D ParsonsWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.10-01-2019
Derek Louis SausaM Holdings Securities, Inc.Citigroup Global Markets Inc.09-03-2019
Miguel GonzalezdecastillaUBS Financial Services Inc.Citigroup Global Markets Inc.$2505-23-2019
Jaime Luis DiazCetera Investment Services LLCCitigroup Global Markets Inc.02-26-2019
Reed William LipseyWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.11-01-2018
Samuel Joseph GallucciUBS Financial Services Inc.Citigroup Global Markets Inc.$1,00003-08-2017
Christopher Anthony JonesNational Securities CorporationCitigroup Global Markets Inc.04-13-2016
Deborah Zulma MenjivarJ.P. Morgan Securities LLCCitigroup Global Markets Inc.07-23-2015
Gary Scott SchwarzmanJ.P. Morgan Securities LLCCitigroup Global Markets Inc.08-13-2014
Robert William TothVALIC Financial Advisors, Inc.Citigroup Global Markets Inc.09-08-2010
Kevin Dean MorrisonJ.P. Morgan Securities LLCCitigroup Global Markets Inc.$15009-07-2010
Michael Alan ShermanMutual of Omaha Investor Services, Inc.Citigroup Global Markets Inc.$5001-20-2010
Lesley Anne DraperRegentAtlanticCitigroup Global Markets Inc.09-16-2009
Jeremy R GussickLPL Financial LLCCitigroup Global Markets Inc.$2506-24-2009
Timothy Edward DalyJanney Montgomery Scott LLCCitigroup Global Markets Inc.06-15-2009
Anne Marie StotkaLincoln Financial Securities CorporationCitigroup Global Markets Inc.05-29-2009
Lawrence A WeissMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$10005-27-2009
Robert Andrew GudeAmeriprise Financial Services, LLCCitigroup Global Markets Inc.$2505-22-2009
Charles William DudleyWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$1,00005-15-2009
Mitchell Steven WorkWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$1,00005-15-2009
Edwin Everts AndrewsWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.05-15-2009
Sean Gerard DavisWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$5005-15-2009
Solomon ChemoWells Fargo Advisors Financial Network, LLCCitigroup Global Markets Inc.$1,00005-15-2009
Joseph Louis KopecLPL Financial LLCCitigroup Global Markets Inc.$4605-15-2009
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Showing 1 to 25 of 81 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.