| 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 |
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