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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Kenneth Jude CloughChase Investment Services Corp.Signature Securities$50002-01-2009
Vincent SapienzaChase Investment Services Corp.Citigroup Global Markets Inc.02-01-2009
Bruce Edward ForrestChase Investment Services Corp.Citigroup Global Markets Inc.02-05-2009
David Brian SpeiserChase Investment Services Corp.Citigroup Global Markets Inc.$50003-01-2009
Samuel Kaifung YamChase Investment Services Corp.Citigroup Global Markets Inc.03-01-2009
Eileen C TrentacosteChase Investment Services Corp.MetLife Securities Inc.03-01-2009
Usha DyalChase Investment Services Corp.Fred Alger & Company, LLC03-01-2009
Anthony Carmelo SpinelliChase Investment Services Corp.LPL Financial LLC03-01-2009
Anthony Arthur GazzilloChase Investment Services Corp.J.D. Nicholas & Associates, Inc.03-01-2009
Christopher Raphael VasquezChase Investment Services Corp.John Thomas Financial03-01-2009
Raymond KrumdieckChase Investment Services Corp.J.D. Nicholas & Associates, Inc.$50003-23-2009
Raphy De JesusChase Investment Services Corp.Joseph Gunnar & Co. LLC03-30-2009
Steve GerminoChase Investment Services Corp.Citigroup Global Markets Inc.$10003-31-2009
Thomas Keith MigdaleChase Investment Services Corp.McGinn, Smith, & Co., Inc.03-31-2009
George P FilipovChase Investment Services Corp.Talley & Company03-31-2009
Christopher Richard ScibiliaChase Investment Services Corp.Citigroup Global Markets Inc.$10004-01-2009
Eric W RosenerChase Investment Services Corp.Citigroup Global Markets Inc.04-01-2009
Christopher P FiguccioChase Investment Services Corp.Citigroup Global Markets Inc.04-01-2009
Morris MurcianoChase Investment Services Corp.Edward Jones04-01-2009
Rodrigo Dutra CarvalhoChase Investment Services Corp.Citigroup Global Markets Inc.04-09-2009
Lucien Emanuel PhilippeChase Investment Services Corp.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10004-13-2009
Dominique CallanChase Investment Services Corp.Banc of America Investment Services, Inc.04-16-2009
John Craig Mahoney IIChase Investment Services Corp.Capital Brokerage Corporation04-20-2009
Wesley Samy AlimChase Investment Services Corp.Solaris Securities, Inc.04-20-2009
Jeremy Michael RayburnChase Investment Services Corp.Ameriprise Financial Services, Inc.04-20-2009
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Showing 1 to 25 of 238 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.

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