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
James Warren Nicolaidis Jr.Citigroup Global Markets Inc.Chase Investment Services Corp.$15003-20-2009
Henry ZabarskyLPL Financial LLCChase Investment Services Corp.$10007-13-2009
William Joseph BlancoEquity Services, Inc.Chase Investment Services Corp.07-31-2009
Jerry Nicholas GiordanoHSBC Securities (USA) Inc.Chase Investment Services Corp.08-31-2009
Debora Jean BucariaTD Ameritrade Investment Management, LLCChase Investment Services Corp.09-16-2009
Robert Louis GaromoHSBC Securities (USA) Inc.Chase Investment Services Corp.10-15-2009
Anthony A GiannopapasCitigroup Global Markets Inc.Chase Investment Services Corp.11-01-2009
Johann Mendoza TampincoMerrill Lynch, Pierce, Fenner & Smith IncorporatedChase Investment Services Corp.12-01-2009
Mathew Todd GoldbergLPL Financial LLCChase Investment Services Corp.03-01-2010
Daniel Chester CapursoNYLIFE Securities LLCChase Investment Services Corp.03-01-2010
Garry BaleA.G.P. / Alliance Global PartnersChase Investment Services Corp.03-23-2010
Jomay S. NgPruco Securities, LLC.Chase Investment Services Corp.05-03-2010
Jennifer Leigh CaggianoCitigroup Global Markets Inc.Chase Investment Services Corp.06-14-2010
Michael Joseph LupiaMorgan StanleyChase Investment Services Corp.$15006-18-2010
Raffaele DeGruttolaMerrill Lynch, Pierce, Fenner & Smith IncorporatedChase Investment Services Corp.$2506-25-2010
Jay Marshall DienesMorgan StanleyChase Investment Services Corp.$15007-02-2010
Thomas Mayas Jr.LPL Financial LLCChase Investment Services Corp.07-21-2010
Jerry CangelosiMorgan StanleyChase Investment Services Corp.$15009-03-2010
Thomas Michael NixonMorgan StanleyChase Investment Services Corp.$10009-03-2010
Craig Thomas KramerCitigroup Global Markets Inc.Chase Investment Services Corp.$5009-10-2010
Michael Scott StolowitzWells Fargo Clearing Services, LLCChase Investment Services Corp.$5009-29-2010
Daniel Stephen GiuntiniTD Ameritrade Investment Management, LLCChase Investment Services Corp.10-08-2010
Timothy Patrick NeilsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedChase Investment Services Corp.10-18-2010
Kathleen Ann VeselyKey Investment Services LLCChase Investment Services Corp.10-18-2010
John Spyro DemertzisLPL Financial LLCChase Investment Services Corp.10-28-2010
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Showing 1 to 25 of 501 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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