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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Mary Anne SerbonichExcel Securities & Associates, Inc.Cheevers, Hand & Angeline, Inc.01-01-2009
Dominick Phillip BonannoWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$10001-02-2009
William Brian LeonardVanderbilt Securities, LLCPrime Capital Services, Inc.01-02-2009
Scott John HellandStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.01-02-2009
Richard S NalbandianLantern Investments, Inc.Mclaughlin, Piven, Vogel Inc.01-02-2009
Luis Antonio EhlersMerrill Lynch, Pierce, Fenner & Smith IncorporatedUbs International Inc.01-02-2009
Tracy A Dellomo, Kevin G MahonyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2009
John Justin PiroJoseph Gunnar & Co. LLCAmerican Capital Partners, LLC01-02-2009
Robert A KravetzBrighton Securities Corp.Citigroup Global Markets Inc.01-02-2009
Kirre Ann CaiazzaKey Investment Services LLCHSBC Securities (USA) Inc.01-05-2009
Wing Chung YipHSBC Securities (USA) Inc.Voya Financial Advisors, Inc.01-06-2009
Ajay B MasandUBS Financial Services Inc.Morgan Stanley & Co. LLC$2501-07-2009
Melvin FinkelsteinJanney Montgomery Scott LLCCitigroup Global Markets Inc.01-07-2009
Barry GiskeFairport Advisors, Inc.World Group Securities, Inc.01-07-2009
Michael Christopher NapolitanoAmerican Capital Partners, LLCOppenheimer & Co. Inc.01-08-2009
Nathanael KelleyAXA Advisors, LLCMetLife Securities Inc.01-08-2009
Todd David EllisUBS Financial Services Inc.Citigroup Global Markets Inc.$15001-09-2009
Robert GeislerUBS Financial Services Inc.Citigroup Global Markets Inc.$15001-09-2009
Anthony DepalmaUBS Financial Services Inc.Morgan Stanley & Co. LLC$15001-09-2009
Robert Phillip SnyderUBS Financial Services Inc.Citigroup Global Markets Inc.$5001-09-2009
Jose Miguel RiveraUBS Financial Services Inc.Morgan Stanley & Co. LLC01-09-2009
Michael Anthony Giacone, Thomas Ashby Badger II, Joseph WhitneyUBS Financial Services Inc.Morgan Stanley & Co. LLC01-09-2009
Armand James Del MedicoUBS Financial Services Inc.Morgan Stanley & Co. LLC01-09-2009
Kevin William KellyJanney Montgomery Scott LLCCitigroup Global Markets Inc.01-13-2009
Edward Richard RiepeHSBC Securities (USA) Inc.Mclaughlin, Piven, Vogel Inc.01-13-2009
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Showing 1 to 25 of 8,925 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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