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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Jeffrey B. NgoJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-23-2016
Jennifer Y. LeeJ.P. Morgan Securities LLCFidelity Brokerage Services LLC11-15-2016
Richard Escay AscalonJ.P. Morgan Securities LLCNYLIFE Securities LLC$1011-07-2016
Omar D. GomezJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-01-2016
Adelle Ramos TanJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-31-2016
Maziyar Ahmadi-KashaniJ.P. Morgan Securities LLCWells Fargo Clearing Services, LLC10-20-2016
Edgardo Luis Ortiz-FloresJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-20-2016
Dean Stuart LyonsJ.P. Morgan Securities LLCPFS Investments Inc.10-19-2016
Hercules V. RosarioJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-14-2016
Minh Thi PhanJ.P. Morgan Securities LLCTD Ameritrade Investment Management, LLC10-06-2016
Lorne G. HatchardJ.P. Morgan Securities LLCCity National Securities, Inc.10-03-2016
Michael PetriJ.P. Morgan Securities LLCFarmers Financial Solutions, LLC09-21-2016
Jerry KhamnivongJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated09-14-2016
Denise Michele LongJ.P. Morgan Securities LLCCredit Suisse Securities (USA) LLC09-12-2016
Yajing Eva QiuJ.P. Morgan Securities LLCCUSO Financial Services, L.P.09-12-2016
Nadeem AlamJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated09-09-2016
Bruce J. Lutomski IIJ.P. Morgan Securities LLCNorthwestern Mutual Investment Services, LLC09-09-2016
Robert Fernando EscuderoJ.P. Morgan Securities LLCEdward Jones08-31-2016
Sarah Nicole SaitoJ.P. Morgan Securities LLCThrivent Investment Management Inc.08-30-2016
Luan Thieu LamJ.P. Morgan Securities LLCCetera Investment Services LLC08-22-2016
Richard Michael LuthmanJ.P. Morgan Securities LLCLBMZ Securities, Inc.$5008-11-2016
Brian W. ClarkJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-19-2016
Lisa QuachJ.P. Morgan Securities LLCFidelity Brokerage Services LLC07-11-2016
Hyman WongJ.P. Morgan Securities LLCMetLife Securities Inc.$1006-30-2016
Michael Brandon BordersJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1106-24-2016
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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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