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
Richard Duffy, Russell KwokMorgan StanleyJPMorgan Chase & Co.06-24-2014
Joseph AzzopardiLPL Financial LLCJPMorgan Chase & Co.$5007-29-2016
James GoetzGolden State Wealth ManagementJPMorgan Chase & Co.$5003-01-2015
Steven KouryWaddell & ReedJPMorgan Chase & Co.$6003-27-2015
Robert BaileyLPL Financial LLCJPMorgan Chase & Co.$6109-25-2017
Susanne ZitoLPL Financial LLCJPMorgan Chase & Co.$7010-01-2015
Mario VasquezLPL Financial LLCJPMorgan Chase & Co.$7411-08-2016
K.C. MartelGolden State Wealth ManagementJPMorgan Chase & Co.$8011-02-2015
Keith MartelLPL Financial LLCJPMorgan Chase & Co.$9411-02-2015
Christopher BatesLPL Financial LLCJPMorgan Chase & Co.$13503-02-2017
Jeffrey Roodman, Christopher SmallLPL Financial LLCJPMorgan Chase & Co.$15508-05-2016
Sandra Y. ChoGolden State Wealth ManagementJPMorgan Chase & Co.$18006-26-2015
Sandra ChoLPL Financial LLCJPMorgan Chase & Co.$18406-27-2015
David Steele, Jonathan Steele, Alexander J. Schmitz, Kevin M. Cohen, Samuel A. StephensDynasty Financial PartnersJPMorgan Chase & Co.$27509-10-2015
John Uriostegui, Rod NakamotoMerrill Lynch, Pierce, Fenner & Smith IncorporatedJPMorgan Chase & Co.$35011-28-2016
Donald Fung, Matt Palleschi, John Campbell, Brian BechelliMorgan StanleyJPMorgan Chase & Co.$82903-24-2017
Dale E. ReedMerrill Lynch, Pierce, Fenner & Smith IncorporatedJPMorgan Chase & Co.$9,00002-26-2018

Showing 1 to 17 of 17 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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