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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Melvin FinkelsteinJanney Montgomery Scott LLCCitigroup Global Markets Inc.$10001-07-2009
Kevin William KellyJanney Montgomery Scott LLCCitigroup Global Markets Inc.01-13-2009
Michael Herbert StrochlicJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC01-23-2009
Arthur Richard FalkowitzJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC01-23-2009
Lawrence Peter GiordanoJanney Montgomery Scott LLCCitigroup Global Markets Inc.$15002-02-2009
Donald Louis DeagazioJanney Montgomery Scott LLCCitigroup Global Markets Inc.$15004-08-2009
John Vincent RuggieroJanney Montgomery Scott LLCCitigroup Global Markets Inc.04-08-2009
John Francis SchaferJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$15004-23-2009
Lisa Ann BruleJanney Montgomery Scott LLCWells Fargo Clearing Services, LLC$15004-23-2009
David Angel SilvaJanney Montgomery Scott LLCBNY Mellon Securities Corporation06-22-2012
Steven Guggenheimer George ZakiJanney Montgomery Scott LLCBarclays Capital Inc.$21403-07-2014
Steven Charles GuggenheimerJanney Montgomery Scott LLCBarclays Capital Inc.$5003-07-2014
George Mina ZakiJanney Montgomery Scott LLCBarclays Capital Inc.$10003-07-2014
Michael Andrew CoraggioJanney Montgomery Scott LLCBB&T Securities, LLC08-28-2014
Michael A CoraggioJanney Montgomery Scott LLCBB&T Securities, LLC$11509-03-2014
Anthony Steven DiDonatoJanney Montgomery Scott LLCMorgan Stanley$10010-10-2014
Alice Leopold-BenintendiJanney Montgomery Scott LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15003-11-2015
Thomas GisbertJanney Montgomery Scott LLCMorgan Stanley03-20-2015
James Dennis TonerJanney Montgomery Scott LLCMorgan Stanley$5903-20-2015
Courtney Paige CarnevaleJanney Montgomery Scott LLCOppenheimer & Co. Inc.$15004-08-2015
Laurence M Braunstein Jordan BraunsteinJanney Montgomery Scott LLCMorgan Stanley05-13-2015
Margarita McCraeJanney Montgomery Scott LLCMorgan Stanley05-13-2015
Jeffrey Scott KempJanney Montgomery Scott LLCMorgan Stanley07-09-2015
Thomas Francis NilesJanney Montgomery Scott LLCMorgan Stanley$10009-03-2015
John Edward CarlJanney Montgomery Scott LLCMorgan Stanley$15009-03-2015
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Showing 1 to 25 of 78 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.