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
Hugo NavarroHSBC Securities (USA) Inc.Wells Fargo Clearing Services, LLC08-15-2019
Xiaodong MiaoHSBC Securities (USA) Inc.Citigroup Global Markets Inc.08-15-2019
Herbert Daniel PeaseHSBC Securities (USA) Inc.Charles Schwab & Co., Inc.08-09-2019
Hrag KortoshianHSBC Securities (USA) Inc.Wells Fargo Clearing Services, LLC08-09-2019
Alice Wen Chi LiangHSBC Securities (USA) Inc.UnionBanc Investment Services, LLC08-07-2019
Ping XuHSBC Securities (USA) Inc.J.P. Morgan Securities LLC08-07-2019
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

Showing 1 to 13 of 13 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.