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
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| Erwin Joseph Riven | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 02-27-2009 |
| Scott Edward Kelly | Wells Fargo Clearing Services, LLC | Citigroup Global Markets Inc. | $10 | 03-06-2009 |
| Matthew David True | Wells Fargo Clearing Services, LLC | Citigroup Global Markets Inc. | — | 03-06-2009 |
| Michael Sebastian Gorgone | Ameriprise Financial Services, Inc. | Banc of America Investment Services, Inc. | — | 03-09-2009 |
| Rodney Lee Campopiano | Ameriprise Financial Services, Inc. | Banc of America Investment Services, Inc. | — | 03-11-2009 |
| Marianne Ann Goldstein | Oppenheimer & Co. Inc. | Citigroup Global Markets Inc. | $50 | 03-13-2009 |
| William Frank Matzinger | Lincoln Financial Advisors Corporation | Merrill Lynch, Pierce, Fenner & Smith Incorporated | — | 03-13-2009 |
| Christopher William Porter | Madison Avenue Securities, LLC | Madison Avenue Advisors, Inc. | $50 | 03-25-2009 |
| Wayne Edward Card | UBS Financial Services Inc. | Citigroup Global Markets Inc. | $100 | 03-27-2009 |
| Vincent Carl Feijoo Jr. | Wells Fargo Clearing Services, LLC | Banc of America Investment Services, Inc. | $25 | 03-27-2009 |
| Christian Fragoso | Wells Fargo Clearing Services, LLC | Banc of America Investment Services, Inc. | — | 03-27-2009 |
| Robert Lawrence Condon | Edward Jones | VALIC Financial Advisors, Inc. | — | 03-27-2009 |
| Stephen Paul August | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 03-27-2009 |
| James B Dorney | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 03-27-2009 |
| Marc Anthony Ciociola | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 03-27-2009 |
| Fritz Andrew Dahlgren Jr. | LPL Financial LLC | Merrill Lynch, Pierce, Fenner & Smith Incorporated | — | 03-27-2009 |
| Vincent John Fiorentino | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 03-31-2009 |
| Gerald Butler Dubey, Richard Anton Cyphers, Jared B Dubey | UBS Financial Services Inc. | Citigroup Global Markets Inc. | $100 | 04-02-2009 |
| James Francis Comerford | Oppenheimer & Co. Inc. | UBS Financial Services Inc. | $50 | 04-06-2009 |
| David Dudley Osborn | Wells Fargo Clearing Services, LLC | HSBC Securities (USA) Inc. | $10 | 04-06-2009 |
| Michael John Sherman | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 04-09-2009 |
| Stephen Michael Bauer | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 04-09-2009 |
| Steven Anthony Chille | UBS Financial Services Inc. | Citigroup Global Markets Inc. | — | 04-09-2009 |
| Susan K. Barlow | Stifel, Nicolaus & Company, Incorporated | UBS Financial Services Inc. | $150 | 04-20-2009 |
| Brian Michael McDermott | Oppenheimer & Co. Inc. | Citigroup Global Markets Inc. | — | 04-20-2009 |
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.
