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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Nancy ChangMML Investors Services, LLCCitigroup Global Markets Inc.09-10-2020
Diaa AskandafiHSBC Securities (USA) Inc.Citigroup Global Markets Inc.09-04-2020
Larry GaoHSBC Securities (USA) Inc.Citigroup Global Markets Inc.08-06-2020
Christopher M DateFidelity Brokerage Services LLCCitigroup Global Markets Inc.07-20-2020
Corey Xing Kong PangMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.05-13-2020
Anna V CarreraLPL Financial LLCCitigroup Global Markets Inc.04-28-2020
Vega Singlan HuenWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.04-17-2020
Garen GevorgyanMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.03-20-2020
Manija RasouliMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.02-24-2020
Scott Thomas YeeSecurities America, Inc.Citigroup Global Markets Inc.02-21-2020
David A CarboneMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.11-22-2019
sohail najiMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.11-20-2019
Farooq ImamComerica SecuritiesCitigroup Global Markets Inc.10-29-2019
Angel Kam ChenMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.10-18-2019
Kurt Michael BradleyJ.P. Morgan Securities LLCCitigroup Global Markets Inc.10-18-2019
James John SaleguiCUNA Brokerage Services, Inc.Citigroup Global Markets Inc.10-15-2019
Kelly McKenna SofiaMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.10-15-2019
Wenshan HeFidelity Brokerage Services LLCCitigroup Global Markets Inc.08-21-2019
John TijerinoMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.08-19-2019
Xiaodong MiaoHSBC Securities (USA) Inc.Citigroup Global Markets Inc.08-15-2019
Tom Dinh NguyenMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.07-18-2019
Debra Jill Shibou-SlavinU.S. Bancorp Investments, Inc.Citigroup Global Markets Inc.06-17-2019
Steven Mark KrikacCharles Schwab & Co., Inc.Citigroup Global Markets Inc.06-17-2019
Frankie Y TamHSBC Securities (USA) Inc.Citigroup Global Markets Inc.$2505-28-2019
Michael John SchererMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.03-25-2019
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Showing 1 to 25 of 234 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.