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
Alan Yoshio KuroiwaAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-30-2014
Chrissy Yong KimAmeriprise Financial Services, Inc.UBS Financial Services Inc.08-04-2017
David C. LivingstonAmeriprise Financial Services, Inc.Edward Jones$2506-03-2011
David M. MatsushitaAmeriprise Financial Services, Inc.Edward Jones10-18-2011
David Megumi NakamotoAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-05-2018
Dondi Villarico VincaAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$10009-22-2017
Gareth Isao KaneshiroAmeriprise Financial Services, Inc.Bankoh Investment Services, Inc.$2506-02-2017
James Thomas CarterAmeriprise Financial Services, Inc.UBS Financial Services Inc.$10010-25-2013
Joseph Gronwald, Ryan Katahara, David NakamotoAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$18810-05-2018
Joseph Harold GronwaldAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5010-05-2018
Livingston TakaneAmeriprise Financial Services, Inc.Morgan Stanley$1008-05-2011
Michael A. BruggemannAmeriprise Financial Services, Inc.SagePoint Financial, Inc.11-22-2017
Patrick William DailyAmeriprise Financial Services, Inc.Wells Fargo Advisors Financial Network, LLC$2508-17-2018
Rayna T. TanakaAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-04-2015
Rhodora Peralta PagayAmeriprise Financial Services, Inc.Edward Jones01-08-2016
Rie ShojiAmeriprise Financial Services, Inc.Cetera Investment Services LLC11-08-2017
Robin David LiuAmeriprise Financial Services, Inc.Signator Investors, Inc.03-02-2015
Ryan J. KataharaAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-05-2018
Ryan Masayuki UwonoAmeriprise Financial Services, Inc.TD Ameritrade Investment Management, LLC$2510-14-2016
Thomas RisnerAmeriprise Financial Services, Inc.Crown Capital Securities, L.P.06-12-2013

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.


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