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
Yanique Keisha Paula AndersonHSBC Securities (USA) Inc.Allstate Financial Services, LLC01-22-2013
Andrew PerroneHSBC Securities (USA) Inc.Arive Capital Markets06-28-2018
Luis Manuel JimenezHSBC Securities (USA) Inc.AXA Advisors, LLC12-08-2015
Susan S BisharaHSBC Securities (USA) Inc.AXA Advisors, LLC01-14-2013
Shaun David BensolHSBC Securities (USA) Inc.B. Riley Wealth Management02-19-2014
Allison Patricia MahoneyHSBC Securities (USA) Inc.Banc of America Investment Services, Inc.07-20-2009
Esperanza Janet StraughterHSBC Securities (USA) Inc.Banc of America Investment Services, Inc.06-01-2009
Joseph Paul BennettHSBC Securities (USA) Inc.BNY Mellon Securities Corporation02-01-2017
James Steven SeifertHSBC Securities (USA) Inc.Cabot Lodge Securities LLC09-10-2013
Kevin Walter DiamondHSBC Securities (USA) Inc.Cambridge Investment Research, Inc.05-01-2017
Anthony GhiglieriHSBC Securities (USA) Inc.Cape Securities Inc.02-11-2013
Joseph Frank PersichettiHSBC Securities (USA) Inc.Capital One Investment Services LLC01-28-2013
Christopher Harriman DannHSBC Securities (USA) Inc.Charles Schwab & Co., Inc.$10004-20-2016
Yevgeniy GryazevHSBC Securities (USA) Inc.Chase Investment Services Corp.07-09-2012
Rafael Torres Jr.HSBC Securities (USA) Inc.Chase Investment Services Corp.03-12-2012
Robert Louis GaromoHSBC Securities (USA) Inc.Chase Investment Services Corp.10-15-2009
Jerry Nicholas GiordanoHSBC Securities (USA) Inc.Chase Investment Services Corp.08-31-2009
John Martin Gotsch IVHSBC Securities (USA) Inc.Citigroup Global Markets Inc.05-13-2019
Jason Louis SmithHSBC Securities (USA) Inc.Citigroup Global Markets Inc.12-11-2017
Pavitra MaharajHSBC Securities (USA) Inc.Citigroup Global Markets Inc.$15205-22-2017
Stewart Shuh-Hwa YuanHSBC Securities (USA) Inc.Citigroup Global Markets Inc.10-14-2016
Marwan ShakerHSBC Securities (USA) Inc.Citigroup Global Markets Inc.08-04-2016
Melvin TomHSBC Securities (USA) Inc.Citigroup Global Markets Inc.$25008-03-2016
Christopher SchwartzHSBC Securities (USA) Inc.Citigroup Global Markets Inc.11-18-2015
Thomas Marco AvitabileHSBC Securities (USA) Inc.Citigroup Global Markets Inc.$2503-19-2015
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Showing 1 to 25 of 97 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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