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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Wing Chung YipHSBC Securities (USA) Inc.Voya Financial Advisors, Inc.01-06-2009
Ronald Joseph KellyHSBC Securities (USA) Inc.Chase Investment Services Corp.01-09-2009
Edward Richard RiepeHSBC Securities (USA) Inc.Mclaughlin, Piven, Vogel Inc.01-13-2009
Suzanne T. GlosmanHSBC Securities (USA) Inc.Foreside Distribution Services, L.P.01-28-2009
Anthony Della VecchiaHSBC Securities (USA) Inc.Chase Investment Services Corp.02-02-2009
Jitash PuriHSBC Securities (USA) Inc.Citigroup Global Markets Inc.02-13-2009
William Chamberlin KirkHSBC Securities (USA) Inc.David Lerner Associates, Inc.03-03-2009
Salvatore Anthony FascianoHSBC Securities (USA) Inc.Citigroup Global Markets Inc.03-06-2009
David ChanHSBC Securities (USA) Inc.LPL Financial LLC03-09-2009
Paul Louis MarreroHSBC Securities (USA) Inc.Allstate Distributors, L.L.C.04-01-2009
Javier Oswald LoraHSBC Securities (USA) Inc.Wells Fargo Clearing Services, LLC04-04-2009
Mark Douglas PollackHSBC Securities (USA) Inc.Foreside Distribution Services, L.P.04-23-2009
Jason J TopiHSBC Securities (USA) Inc.Leigh Baldwin & Co., LLC04-27-2009
Christopher Thomas ConnellHSBC Securities (USA) Inc.LPL Financial LLC05-04-2009
Raffaele ProsperoHSBC Securities (USA) Inc.Citigroup Global Markets Inc.05-04-2009
Delisa A PersaudHSBC Securities (USA) Inc.Chase Investment Services Corp.05-07-2009
Peter John McMahonHSBC Securities (USA) Inc.People's Securities, Inc.06-01-2009
Esperanza Janet StraughterHSBC Securities (USA) Inc.Banc of America Investment Services, Inc.06-01-2009
Goutam GhoshHSBC Securities (USA) Inc.Citigroup Global Markets Inc.$1006-02-2009
Charles Steven KassatlyHSBC Securities (USA) Inc.Chase Investment Services Corp.06-15-2009
Eric S. BirdsallHSBC Securities (USA) Inc.AXA Advisors, LLC06-29-2009
Allison Patricia MahoneyHSBC Securities (USA) Inc.Banc of America Investment Services, Inc.07-20-2009
Robert L RussiniHSBC Securities (USA) Inc.HSBC Securities (USA) Inc.07-23-2009
John Randolph Mackenzie Jr.HSBC Securities (USA) Inc.Chase Investment Services Corp.$10008-10-2009
Haorong HuangHSBC Securities (USA) Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-10-2009
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Showing 1 to 25 of 400 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.