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
Darren Randall SetAllstate Financial Services, LLCCitigroup Global Markets Inc.11-15-2010
Thomas Cullen JudgeAmerican Capital Partners, LLCCitigroup Global Markets Inc.01-10-2011
Daniel Lewis HohenbergAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.03-06-2014
Vincent A MennitiAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.10-01-2010
Terence Joseph BarnettAmeriprise Financial Services, Inc.Citigroup Global Markets Inc.06-18-2010
Robert A KravetzBrighton Securities Corp.Citigroup Global Markets Inc.01-02-2009
Peter James GallagherCommonwealth Financial NetworkCitigroup Global Markets Inc.$10009-09-2016
Charles Emanuel CarnesCommonwealth Financial NetworkCitigroup Global Markets Inc.05-15-2009
Jacqueline Ellen DufresneCommonwealth Financial NetworkCitigroup Global Markets Inc.05-15-2009
James Russell StoutCommonwealth Financial NetworkCitigroup Global Markets Inc.05-15-2009
Frank Robert PecorellaCUNA Brokerage Services, Inc.Citigroup Global Markets Inc.05-03-2013
Charles Spencer WalkerDeutsche Bank Securities Inc.Citigroup Global Markets Inc.09-19-2014
Paul N. BartilucciDeutsche Bank Securities Inc.Citigroup Global Markets Inc.10-04-2010
William John Hammond IIIEdward JonesCitigroup Global Markets Inc.02-13-2009
Wayne W.A. YoungFirst Republic Securities Company, LLCCitigroup Global Markets Inc.06-19-2015
Brian Joseph SchermanFirst Republic Securities Company, LLCCitigroup Global Markets Inc.11-20-2013
Chad M. SchwartzGoldman Sachs & Co.Citigroup Global Markets Inc.07-21-2015
John Martin Gotsch IVHSBC Securities (USA) Inc.Citigroup Global Markets Inc.05-13-2019
Jason Louis SmithHSBC Securities (USA) Inc.Citigroup Global Markets Inc.12-11-2017
Pavitra MaharajHSBC Securities (USA) Inc.Citigroup Global Markets Inc.$15205-22-2017
Stewart Shuh-Hwa YuanHSBC Securities (USA) Inc.Citigroup Global Markets Inc.10-14-2016
Marwan ShakerHSBC Securities (USA) Inc.Citigroup Global Markets Inc.08-04-2016
Melvin TomHSBC Securities (USA) Inc.Citigroup Global Markets Inc.$25008-03-2016
Christopher SchwartzHSBC Securities (USA) Inc.Citigroup Global Markets Inc.11-18-2015
Thomas Marco AvitabileHSBC Securities (USA) Inc.Citigroup Global Markets Inc.$2503-19-2015
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Showing 1 to 25 of 784 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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