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

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Albert T. NgHSBC Securities (USA) Inc.Wells Fargo Clearing Services, LLC07-15-2019
Di WuHSBC Securities (USA) Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-15-2019
Syed RizviHSBC Securities (USA) Inc.UnionBanc Investment Services, LLC06-21-2019
Eric LiHSBC Securities (USA) Inc.J.P. Morgan Securities LLC06-12-2019
Xianglin ShiHSBC Securities (USA) Inc.J.P. Morgan Securities LLC05-30-2019
Chen LingHSBC Securities (USA) Inc.Cetera Investment Services LLC05-30-2019
Frankie Y. TamHSBC Securities (USA) Inc.Citigroup Global Markets Inc.$2505-28-2019
Lin LinHSBC Securities (USA) Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-26-2019
Elynne Yilin WangHSBC Securities (USA) Inc.Wells Fargo Clearing Services, LLC04-01-2019
Peter L. HoangHSBC Securities (USA) Inc.UnionBanc Investment Services, LLC03-20-2019
Shanshan WuHSBC Securities (USA) Inc.J.P. Morgan Securities LLC03-04-2019
Juliet Unyu HuangHSBC Securities (USA) Inc.Cetera Investment Services LLC02-27-2019
Joseph John PaikHSBC Securities (USA) Inc.Wells Fargo Securities, LLC01-25-2019
Diane Tu Uyen HoHSBC Securities (USA) Inc.UnionBanc Investment Services, LLC01-10-2019
Farris David MandilawiHSBC Securities (USA) Inc.UnionBanc Investment Services, LLC01-03-2019
Douglas Armando Barrera VenturaHSBC Securities (USA) Inc.J.P. Morgan Securities LLC12-24-2018
Po Chieh Chieh ChangHSBC Securities (USA) Inc.Wells Fargo Clearing Services, LLC12-20-2018
Khiet D. VoHSBC Securities (USA) Inc.Wells Fargo Clearing Services, LLC12-13-2018
Zhenxing LaoHSBC Securities (USA) Inc.Wells Fargo Clearing Services, LLC10-11-2018
Xiaodi WangHSBC Securities (USA) Inc.Wells Fargo Clearing Services, LLC09-18-2018

Showing 1 to 20 of 20 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.