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
Carol DahlCitigroup Global Markets Inc.Morgan Stanley$10006-26-2009
Anthony A GiannopapasCitigroup Global Markets Inc.Chase Investment Services Corp.11-01-2009
Andrew Michael KeaneCitigroup Global Markets Inc.Newedge USA, LLC03-08-2010
Nitika SoniCitigroup Global Markets Inc.HSBC Securities (USA) Inc.05-05-2010
Lisa Danielle Fiorito MackessyCitigroup Global Markets Inc.Morgan Stanley05-17-2010
Jennifer Leigh CaggianoCitigroup Global Markets Inc.Chase Investment Services Corp.06-14-2010
Craig Thomas KramerCitigroup Global Markets Inc.Chase Investment Services Corp.$5009-10-2010
Jahangir Mohammed AlamCitigroup Global Markets Inc.HSBC Securities (USA) Inc.10-01-2010
Peter Elias VelissariosCitigroup Global Markets Inc.HSBC Securities (USA) Inc.03-21-2011
Ajay J DamleCitigroup Global Markets Inc.HSBC Securities (USA) Inc.03-21-2011
Rui SuCitigroup Global Markets Inc.HSBC Securities (USA) Inc.03-21-2011
Gregory John TessarCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC05-02-2011
William Louis HymanCitigroup Global Markets Inc.Burnham Securities Inc.$1005-19-2011
Anthony Michael ApicellaCitigroup Global Markets Inc.HSBC Securities (USA) Inc.08-28-2011
Joshua Michael UnderwoodCitigroup Global Markets Inc.HSBC Securities (USA) Inc.08-29-2011
Adam H GutkinCitigroup Global Markets Inc.HSBC Securities (USA) Inc.09-06-2011
Frank Edward CarpentiereCitigroup Global Markets Inc.HSBC Securities (USA) Inc.09-12-2011
Patrick LaterzaCitigroup Global Markets Inc.HSBC Securities (USA) Inc.09-12-2011
Michael Scott OransCitigroup Global Markets Inc.HSBC Securities (USA) Inc.02-20-2012
Frank Charles Defonte Jr.Citigroup Global Markets Inc.Chase Investment Services Corp.03-02-2012
Demetrios Konstantinos KaragounisCitigroup Global Markets Inc.HSBC Securities (USA) Inc.03-12-2012
Alaina SpilkevitzCitigroup Global Markets Inc.FSC Securities Corporation$5003-13-2012
Adam Ilan GutmanCitigroup Global Markets Inc.Csfbdirect, Inc.03-14-2012
Christine Heather WolfermanCitigroup Global Markets Inc.Morgan Stanley04-09-2012
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Showing 1 to 25 of 188 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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