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
Jeffrey Russell SweersMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.$15004-24-2009
Leonard Thomas Galante Jr.Morgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Sean Talmage GallagherMorgan StanleyCitigroup Global Markets Inc.$5006-01-2009
Kenneth Joseph MontoyaMorgan StanleyCitigroup Global Markets Inc.$5006-01-2009
Daniel Bruno MontanoMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Michael Anthony DuboiseMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Timothy John ProutyMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Shannon Donovan WamreMorgan StanleyCitigroup Global Markets Inc.06-01-2009
Tylen Lee Kattenhorn, Philip Michael MayoRBC Capital Markets, LLCCitigroup Global Markets Inc.$20005-04-2009
David Edmond CrosbyRBC Capital Markets, LLCCitigroup Global Markets Inc.$15005-04-2009
William Edwin Cates, Victoria Sue Smitherman, David Bradley Cates, Joseph Anthony Romero, Christopher Nisbet CatesRBC Capital Markets, LLCCitigroup Global Markets Inc.$15005-04-2009

Showing 1 to 11 of 11 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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