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
Daniel S. KertzNYLIFE Securities LLCVerity Investments, Inc.03-30-2020
Daniel Antony St HubertNYLIFE Securities LLCJ.P. Morgan Securities LLC03-25-2020
Jeffrey Patrick WolfeNYLIFE Securities LLCWestern International Securities, Inc.$1003-03-2020
Michael E. WeinrebNYLIFE Securities LLCJ.P. Morgan Securities LLC02-26-2020
Frank Alexander AvilaNYLIFE Securities LLCEdward Jones02-11-2020
Patrick Joseph HaggertyNYLIFE Securities LLCFranklin/Templeton Distributors, Inc.12-23-2019
Narith LongNYLIFE Securities LLCNorthwestern Mutual Investment Services, LLC12-13-2019
Eric T RunyonNYLIFE Securities LLCNorthwestern Mutual Investment Services, LLC09-24-2019
Sinhy LimNYLIFE Securities LLCFarmers Financial Solutions, LLC08-06-2019
Dion DehbanianNYLIFE Securities LLCWells Fargo Clearing Services, LLC07-30-2019
Rigoberto Antonio RuizNYLIFE Securities LLCEdward Jones07-09-2019
Sun L. LiuNYLIFE Securities LLCMWA Financial Services Inc.07-08-2019
Pablo R. King OrtizNYLIFE Securities LLCU.S. Bancorp Investments, Inc.06-13-2019
Tony C LanNYLIFE Securities LLCT3 Trading Group, LLC02-25-2019
Taleen AkopyanNYLIFE Securities LLCJohn Hancock Distributors LLC01-10-2019
Cindy VerduzcoNYLIFE Securities LLCForesters Financial Services, Inc.10-24-2018
Steven Josh UyNYLIFE Securities LLCForesters Financial Services, Inc.10-12-2018
Steve ShimNYLIFE Securities LLCAXA Advisors, LLC08-24-2018
Jonathan A. Fisher Jr.NYLIFE Securities LLCWells Fargo Clearing Services, LLC08-10-2018
Chloe C. ChanNYLIFE Securities LLCJ.P. Morgan Securities LLC06-25-2018
Klaris ArzoomanianNYLIFE Securities LLCTransamerica Financial Advisors, Inc05-23-2018
Giovahn Octavian Delano BarbozaNYLIFE Securities LLCJ.P. Morgan Securities LLC04-17-2018
Michael PoseyNYLIFE Securities LLCWaddell & Reed03-08-2018
Timothy Bumyul ChoiNYLIFE Securities LLCMML Investors Services, LLC03-07-2018
Neelie JaggiNYLIFE Securities LLCForesters Financial Services, Inc.03-06-2018
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Showing 1 to 25 of 93 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.