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

Results filtered by


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Gregg Andrew SatoWells Fargo Clearing Services, LLCMorgan Stanley & Co. LLC$5001-05-2009
George Satoshi HiraiWells Fargo Clearing Services, LLCMorgan Stanley & Co. LLC01-12-2009
Eugene Ronald PriceLPL Financial LLCUBS Financial Services Inc.$2501-14-2009
Kirk Yiu Choi TangSecurities America, Inc.Brecek & Young Advisors, Inc.01-23-2009
Michael Edward StaggsPark Avenue Securities LLCFinancial Leadership Advisors, Inc.01-30-2009
Arthur Masatoshi SaikiWells Fargo Clearing Services, LLCMorgan Stanley & Co. LLC$5002-02-2009
Mark Masayoshi YoshidaEdward JonesMerrill Lynch, Pierce, Fenner & Smith Incorporated$2502-20-2009
Travis Iwao NakamuraThe Strategic Financial Alliance, Inc.MetLife Securities Inc.02-20-2009
Aleksandar S JakovljevicPark Avenue Securities LLCMorgan Stanley & Co. Incorporated02-23-2009
Matthew Lowell MegordenUBS Financial Services Inc.Citigroup Global Markets Inc.02-27-2009
Ramona K Y ChingWells Fargo Clearing Services, LLCMorgan Stanley & Co. LLC$2503-04-2009
Clayton Kityin WongWells Fargo Clearing Services, LLCMorgan Stanley & Co. LLC$10003-09-2009
Sarah-Jane Lopez-Dee VelasquezWells Fargo Clearing Services, LLCMorgan Stanley & Co. LLC$2503-09-2009
Gary Franklin KomotoMorgan StanleyMorgan Stanley & Co. LLC$15006-01-2009
Rodney Alan ChangMorgan StanleyMorgan Stanley & Co. LLC$15006-01-2009
Catherine Lefferts CookeMorgan StanleyMorgan Stanley & Co. LLC$15006-01-2009
Gwen Gronau PacarroMorgan StanleyMorgan Stanley & Co. LLC$10006-01-2009
Douglas Quan Lun YeeMorgan StanleyMorgan Stanley & Co. LLC$10006-01-2009
Daniel H OshitaMorgan StanleyMorgan Stanley & Co. LLC$10006-01-2009
Wane M KunihisaMorgan StanleyMorgan Stanley & Co. LLC$10006-01-2009
Ronald Hisashi IkedaMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
Darryl James JungMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
Wendell Tsugio HisakaMorgan StanleyMorgan Stanley & Co. LLC$10006-01-2009
Alan David TomMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
Dean Angelo SpagnoliMorgan StanleyMorgan Stanley & Co. LLC$10006-01-2009
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Showing 1 to 25 of 356 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.


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