| 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 |
Concerns about outliving savings and healthcare costs are reshaping how "Peak 65" Americans and advisors approach income planning.
Some investors recently have seen million dollar plus decisions by FINRA arbitration panels involving complex products decisions go their way.
Former advisor Isaiah Williams allegedly used the stolen funds from ex-Dolphins defensive safety Reshad Jones for numerous personal expenses, according to police and court records.
Modern Wealth's latest deal for a California-based fee-only RIA marks its fourth acquisition of 2025.
Sen. Warren has warned of private market investment risks due to opacity, illiquidity, and past regulatory issues.
Orion's Tom Wilson on delivering coordinated, high-touch service in a world where returns alone no longer set you apart.
Barely a decade old, registered index-linked annuities have quickly surged in popularity, thanks to their unique blend of protection and growth potential—an appealing option for investors looking to chart a steadier course through today's choppy market waters, says Myles Lambert, Brighthouse Financial.
