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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Richard David ValenziThe Financial Zen GroupWells Fargo Clearing Services, LLC04-29-2016
Robert Frank Pondt Jr.Citigroup Global Markets Inc.Wells Fargo Clearing Services, LLC04-27-2016
Ibun AndoBancWest Investment Services, Inc.Wells Fargo Clearing Services, LLC04-14-2016
Jasdeep Singh CheemaJ.P. Morgan Securities LLCWells Fargo Clearing Services, LLC04-08-2016
Pamela J. GivensLPL Financial LLCWells Fargo Clearing Services, LLC$5004-01-2016
Steven J. StauffCity National Securities, Inc.Wells Fargo Clearing Services, LLC$10003-31-2016
Fredric Hunter JurmuGolden State Wealth Management, LLCWells Fargo Clearing Services, LLC03-31-2016
Peter Fitch KeatingWestern International Securities, Inc.Wells Fargo Clearing Services, LLC$16703-22-2016
Rudy AnguianoWaddell & ReedWells Fargo Clearing Services, LLC$1002-26-2016
Sylvia Szabo-LarsonWedbush Securities Inc.Wells Fargo Clearing Services, LLC$5002-24-2016
Robert Michael TomlinsonStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$5002-12-2016
Chao Lin WoodCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC$5002-05-2016
Andrew C. LaiCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC02-05-2016
Douglas John GallowayWedbush Securities Inc.Wells Fargo Clearing Services, LLC$2502-02-2016
Chad Michael SalvadorJ.P. Morgan Securities LLCWells Fargo Clearing Services, LLC02-02-2016
Christina Denise ChastineUnionBanc Investment Services, LLCWells Fargo Clearing Services, LLC02-02-2016
Robyn Annette FainLPL Financial LLCWells Fargo Clearing Services, LLC02-01-2016
Kevin James CaputoRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$10001-15-2016
John Christopher VernonStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$5001-15-2016
Sean Travis AnthonyMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC01-15-2016
John M VernonStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC01-15-2016
Siyamak AtaeiCity National Securities, Inc.Wells Fargo Clearing Services, LLC01-14-2016
David Ernest SorensenMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC01-12-2016
Ayse OzkanMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC01-11-2016
Matthew Brooke MullowneyWoodbury Financial Services, Inc.Wells Fargo Clearing Services, LLC01-08-2016
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Showing 276 to 300 of 568 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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