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
Christopher Raphael VasquezCitigroup Global Markets Inc.HSBC Securities (USA) Inc.10-26-2018
Kwan-Rok KongAmeriprise Financial Services, Inc.Morgan Stanley$10010-26-2018
Jim King MuiPurshe Kaplan Sterling InvestmentsRaymond James Financial Services, Inc.$10010-25-2018
Nancy Regan Wilson CFPCabot Lodge Securities LLCSandlapper Securities, LLC$110-25-2018
Olga Cecilia EspirituLPL Financial LLCForesters Financial Services, Inc.$2510-25-2018
Patrick Emmett RossJ.P. Morgan Securities LLCNorthwestern Mutual Investment Services, LLC10-25-2018
Nicholas Thomas GrayCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC10-24-2018
Anthony Joseph CipollaWells Fargo Advisors Financial Network, LLCMorgan Stanley$15010-23-2018
John Patrick BussPruco Securities, LLC.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5010-23-2018
William Michael DobrowSpartan Capital Securities, LLCBuckman, Buckman & Reid, Inc.$110-23-2018
Fred Beltz, David Ianni, Bob Siler, Judd Siler, Mark SilerLPL FinancialCadaret Grant$50010-23-2018
Aldo Antonio JimenezMerrill Lynch, Pierce, Fenner & Smith IncorporatedLPL Financial LLC$110-22-2018
Alex Harris WrenWells Fargo Clearing Services, LLCUBS Financial Services Inc.$110-22-2018
Brett C BaumlinSagePoint Financial, Inc.IBN Financial Services, Inc.10-22-2018
Ryan Gabriel ScheidermanMerrill Lynch, Pierce, Fenner & Smith IncorporatedPruco Securities, LLC.10-22-2018
Elliott J GrodkoBluePrint Wealth Alliance, LLCAmerican Portfolios Financial Services, Inc.10-19-2018
Neil Jeffrey LernerMorgan StanleyUBS Financial Services Inc.$10010-19-2018
Noel KezsbomWellington Shields & Co., LLCJanney Montgomery Scott LLC$5010-19-2018
Patrick James ErricoMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.10-19-2018
Brian Isadore PultmanPurshe Kaplan Sterling InvestmentsWells Fargo Clearing Services, LLC$50010-18-2018
Donald DevittoRBC Capital Markets, LLCUBS Financial Services Inc.$1010-18-2018
Gerard Edward MilesMerrill Lynch, Pierce, Fenner & Smith IncorporatedProEquities, Inc.10-18-2018
Jason William RiteLifeMark Securities Corp.Park Avenue Securities LLC10-17-2018
Alexander James MayerMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated10-16-2018
Kevin C HillLPL Financial LLCCadaret, Grant & Co., Inc.10-16-2018
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Showing 351 to 375 of 12,417 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.

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