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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Dana Ward LambChase Investment Services Corp.A.G.P. / Alliance Global Partners09-19-2011
Alexander Roger NyeChase Investment Services Corp.ADP Broker-Dealer, Inc.06-28-2010
Thomas Doyle ThigpenChase Investment Services Corp.AIG Capital Services, Inc.06-24-2009
Ninos EliaChase Investment Services Corp.Allstate Financial Services, LLC10-26-2009
David Kwang Yup LeeChase Investment Services Corp.Ameriprise Financial Services, Inc.11-30-2010
Qing Song HuangChase Investment Services Corp.Ameriprise Financial Services, Inc.11-15-2010
Michael Thomas GardiaChase Investment Services Corp.Ameriprise Financial Services, Inc.06-28-2010
Kathleen Marie KnightChase Investment Services Corp.Ameriprise Financial Services, Inc.06-01-2010
Steven David ShieldsChase Investment Services Corp.Ameriprise Financial Services, Inc.06-01-2010
Orzalla SulaimankhilChase Investment Services Corp.Ameriprise Financial Services, Inc.03-31-2010
Geoffrey Alan MolinskiChase Investment Services Corp.Ameriprise Financial Services, Inc.03-01-2010
Ron M. AmirChase Investment Services Corp.Ameriprise Financial Services, Inc.02-23-2010
Quyen Phuong ThaiChase Investment Services Corp.Ameriprise Financial Services, Inc.12-31-2009
Lauren Patricia CavanaghChase Investment Services Corp.Ameriprise Financial Services, Inc.12-30-2009
Robert Hugh Mauldin IIChase Investment Services Corp.Ameriprise Financial Services, Inc.12-28-2009
Nicholas H. GrantChase Investment Services Corp.Ameriprise Financial Services, Inc.05-27-2009
William John PetroChase Investment Services Corp.Arrowhead Investment Center04-01-2009
David H NguyenChase Investment Services Corp.AXA Advisors, LLC03-14-2011
Elena Kaye KlistoffChase Investment Services Corp.AXA Advisors, LLC08-01-2010
Melissa Leeann GinderChase Investment Services Corp.AXA Advisors, LLC05-01-2010
Erik N BrickelChase Investment Services Corp.AXA Advisors, LLC04-19-2010
William Charles VourlasChase Investment Services Corp.AXA Advisors, LLC11-23-2009
Edwin Shanil KumarChase Investment Services Corp.AXA Advisors, LLC10-26-2009
Adrian F. SchulzChase Investment Services Corp.AXA Advisors, LLC09-01-2009
Yvonne Margaret GreerChase Investment Services Corp.Banc of America Investment Services, Inc.11-01-2009
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Showing 1 to 25 of 396 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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