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Advisers on the Move - InvestmentNews

Advisers on the Move TEST

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.

Recruiting Scoreboard (Q2 2020)

Recruiting Gains

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Recruiting Losses

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Net Gains

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Net Losses

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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Josin LinCitigroup Global Markets Inc.HSBC Securities (USA) Inc.03-30-2020
Luis CabralKey Investment Services LLCHSBC Securities (USA) Inc.03-26-2020
Robert Joseph SforzaM&T Securities, Inc.HSBC Securities (USA) Inc.02-19-2020
Stewart Shuh-Hwa YuanMML Investors Services, LLCHSBC Securities (USA) Inc.02-10-2020
Vanessa NgaiJ.P. Morgan Securities LLCHSBC Securities (USA) Inc.02-05-2020
Ray Jose GonzalezNYLIFE Securities LLCHSBC Securities (USA) Inc.01-31-2020
Peter A. LevineJ.P. Morgan Securities LLCHSBC Securities (USA) Inc.01-23-2020
Mario A JimenezKey Investment Services LLCHSBC Securities (USA) Inc.01-16-2020
Benvenuto Anthony De RosaJ.P. Morgan Securities LLCHSBC Securities (USA) Inc.01-14-2020
Michael Joseph AlbaTD Ameritrade Investment Management, LLCHSBC Securities (USA) Inc.01-13-2020
Stephen John Lyons Jr.Cetera Investment Services LLCHSBC Securities (USA) Inc.$5001-06-2020
Philip DamJ.P. Morgan Securities LLCHSBC Securities (USA) Inc.12-20-2019
Dawei LinJ.P. Morgan Securities LLCHSBC Securities (USA) Inc.12-18-2019
Kin Pan TungMorgan StanleyHSBC Securities (USA) Inc.11-08-2019
Daniela Carolina Bravo FloresUBS Financial Services Inc.HSBC Securities (USA) Inc.10-11-2019
James Patrick CurtinWells Fargo Clearing Services, LLCHSBC Securities (USA) Inc.09-20-2019
Luis Manuel JimenezJ.P. Morgan Securities LLCHSBC Securities (USA) Inc.09-17-2019
Brian J. BayerLPL Financial LLCHSBC Securities (USA) Inc.09-03-2019
Antonio C. BarbosaDeutsche Bank Securities Inc.HSBC Securities (USA) Inc.07-29-2019
Kevin Thomas RothUBS Financial Services Inc.HSBC Securities (USA) Inc.07-10-2019
Azaad Armaan MohamedMerrill Lynch, Pierce, Fenner & Smith IncorporatedHSBC Securities (USA) Inc.$5006-27-2019
Shameeza AllyMML Investors Services, LLCHSBC Securities (USA) Inc.06-11-2019
Nathan William IbarraWells Fargo Clearing Services, LLCHSBC Securities (USA) Inc.05-03-2019
Vladimir JusteCitigroup Global Markets Inc.HSBC Securities (USA) Inc.04-08-2019
Andre ManganoAegis Capital Corp.HSBC Securities (USA) Inc.03-19-2019
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Showing 1 to 25 of 413 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.