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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Recruiting Scoreboard (Q4 2020)

Recruiting Gains

Firm Total Moves

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Recruiting Losses

Firm Total Moves

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Net Gains

Firm Total Moves

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Net Losses

Firm Total Moves

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Latest moves

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Tan DoanCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC08-13-2019
Jiawei BaiCitigroup Global Markets Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-01-2019
Ehssan Shahi Shahi SavandiCitigroup Global Markets Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-09-2019
Kevin Hien TranCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC07-05-2019
Aaron D KirkCitigroup Global Markets Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-19-2019
Samuel Robert MoralesCitigroup Global Markets Inc.J.P. Morgan Securities LLC$15005-16-2019
William A BlaseCitigroup Global Markets Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-15-2019
Neil M FaulminoCitigroup Global Markets Inc.J.P. Morgan Securities LLC05-13-2019
Colin SheddCitigroup Global Markets Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-30-2019
Yaopa ChengCitigroup Global Markets Inc.Transamerica Financial Advisors, Inc04-29-2019
Paul OhCitigroup Global Markets Inc.BancWest Investment Services, Inc.04-25-2019
Haocheng CaiCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC04-24-2019
Albert YousoufianCitigroup Global Markets Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-17-2019
Farbod FarmanCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC04-15-2019
Chi LuCitigroup Global Markets Inc.HSBC Securities (USA) Inc.03-19-2019
Michelle MingCitigroup Global Markets Inc.J.P. Morgan Securities LLC03-13-2019
Oren M YaccobeCitigroup Global Markets Inc.IDB Capital Corp.01-10-2019
Lilly Pornnalin Chaitakob ZoltakCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC12-13-2018
Annie HaCitigroup Global Markets Inc.J.P. Morgan Securities LLC12-04-2018
Angeline Marie TurcanCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC$2511-27-2018
Sumit SharmaCitigroup Global Markets Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-26-2018
Xiuling ZhangCitigroup Global Markets Inc.TD Ameritrade, Inc.11-07-2018
Rachelle M Flood KupelianCitigroup Global Markets Inc.J.P. Morgan Securities LLC11-05-2018
Ellison DuranaCitigroup Global Markets Inc.BancWest Investment Services, Inc.10-08-2018
Diego T GonzalezCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC09-17-2018

Showing 1 to 25 of 25 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.