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
Rigoberto Antonio RuizNYLIFE Securities LLCEdward Jones07-09-2019
Pablo R. King OrtizNYLIFE Securities LLCU.S. Bancorp Investments, Inc.$2506-13-2019
Neelie JaggiNYLIFE Securities LLCForesters Financial Services, Inc.03-06-2018
Arielle N. DanielsNYLIFE Securities LLCFidelity Brokerage Services LLC02-06-2018
Athena Choi Dip WebsterNYLIFE Securities LLCBankers Life Securities, Inc.12-11-2017
Masashi YamamotoNYLIFE Securities LLCPruco Securities, LLC.08-28-2017
Chad Michael WorozakenNYLIFE Securities LLCWells Fargo Clearing Services, LLC02-15-2017
Shengmei ZhangNYLIFE Securities LLCJ.P. Morgan Securities LLC12-27-2016
Cameron Davidlouis LagalaNYLIFE Securities LLCBancWest Investment Services, Inc.12-08-2016
Stephen T. CarrilloNYLIFE Securities LLCMetLife Securities Inc.11-21-2016
John Patrick BorderNYLIFE Securities LLCLPL Financial LLC09-23-2016
Suren AyrapetyanNYLIFE Securities LLCWells Fargo Clearing Services, LLC06-27-2016
Yanmin XiaoNYLIFE Securities LLCTransamerica Financial Advisors, Inc03-23-2016
Cristina U. ArutaNYLIFE Securities LLCNomura Securities International, Inc.02-23-2016
Terrence A. McLaneyNYLIFE Securities LLCNorthwestern Mutual Investment Services, LLC01-29-2016
Ge ShenNYLIFE Securities LLCMML Investors Services, LLC12-24-2015
Norman DotchNYLIFE Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-02-2013
Hsiu WangNYLIFE Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated04-01-2013
Sean Aaron AndersenNYLIFE Securities LLCCountry Capital Management Company12-10-2012
David Paul Rudi LenserNYLIFE Securities LLCEdward Jones$1009-11-2012
Chien Kain YehNYLIFE Securities LLCWells Fargo Clearing Services, LLC06-24-2011
Jenny Po Wah YuNYLIFE Securities LLCAmeriprise Financial Services, Inc.04-09-2010
Megan Marie WardNYLIFE Securities LLCForesters Financial Services, Inc.10-22-2009
Frederick Allen Rich Jr.NYLIFE Securities LLCCitigroup Global Markets Inc.10-01-2009
Kyung Koo ChunNYLIFE Securities LLCAXA Advisors, LLC08-24-2009
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Showing 1 to 25 of 30 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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