| Name of adviser(s) | AUM | Firm leaving | Firm joining | Transition Date |
|---|---|---|---|---|
| Michael Lawrence Siden | $500,000,000 | Morgan Stanley | Rockefeller Financial | 9/4/19 |
| Joshua Glass | $345,000,000 | Wells Fargo Clearing Services | Stifel, Nicolaus & Company | 9/9/19 |
| Harold Uszerowicz | $117,000,000 | Wells Fargo Clearing Services | Stifel, Nicolaus & Company | 9/6/19 |
| Stephen Huggins, Linda Winders, Blair Huggins, JD Huggins | $345,000,000 | Morgan Stanley | Stifel, Nicolaus & Company | 8/23/19 |
| Lawrence Scott Pann and Donnie DeYoung | $325,000,000 | UBS Financial Services Inc. | RBC Wealth Management | 8/22/19 |
| Firm | Total moves |
|---|---|
| 1. LPL Financial LLC | 100 |
| 2. Raymond James Financial Services, Inc. | 35 |
| 3. Edward Jones | 33 |
| 4. Merrill Lynch, Pierce, Fenner & Smith Incorporated | 25 |
| 5. Calton & Associates, Inc. | 25 |
| Firm | Total moves |
|---|---|
| 1. Merrill Lynch, Pierce, Fenner & Smith Incorporated | 69 |
| 2. Wells Fargo Clearing Services, LLC | 53 |
| 3. Morgan Stanley | 51 |
| 4. Ameriprise Financial Services, Inc. | 44 |
| 5. Edward Jones | 40 |
Short sellers previously said the company was under investigation, though Roblox denied allegations.
The Consumer Financial Protection Bureau is in the crosshairs of the Republican group that is widely attempting to dismantle government agencies.
National Securities Corp. sued the advisor in 2020, alleging breach of contract and unjust enrichment.
Recent data support a measured pace by the Federal Reserve for the year ahead.
Financial advisors are still adding alternatives despite the surge in publicly traded stock prices
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