Latest transactions

10/30 Christopher Manimbo Edward Jones → Janney Montgomery Scott $250M 10/30 Jose Ascencio Raymond James Financial Services → TSG Wealth Management 10/30 Riseling Wealth Management Edward Jones → &Partners $357M 10/30 Sullivan Private Wealth Edward Jones → Shore to Summit Wealth Management 10/29 Anchor Financial Partners Northwestern Mutual → LPL Financial $525M 10/29 Koetter Financial Services LPL Financial → Cetera 10/29 Longwater Haffey Group Truist Wealth → Raymond James & Associates $700M 10/29 Pacific Sage Partners Pacific Sage Partners → CAPTRUST $1.1B 10/28 Eastover Capital Management Eastover Capital → South Atlantic Bank $430M 10/28 Kilner Capital Advisors Kilner Capital Advisors → Apella Wealth $332M

10/30 Christopher Manimbo Edward Jones → Janney Montgomery Scott $250M 10/30 Jose Ascencio Raymond James Financial Services → TSG Wealth Management 10/30 Riseling Wealth Management Edward Jones → &Partners $357M 10/30 Sullivan Private Wealth Edward Jones → Shore to Summit Wealth Management 10/29 Anchor Financial Partners Northwestern Mutual → LPL Financial $525M 10/29 Koetter Financial Services LPL Financial → Cetera 10/29 Longwater Haffey Group Truist Wealth → Raymond James & Associates $700M 10/29 Pacific Sage Partners Pacific Sage Partners → CAPTRUST $1.1B 10/28 Eastover Capital Management Eastover Capital → South Atlantic Bank $430M 10/28 Kilner Capital Advisors Kilner Capital Advisors → Apella Wealth $332M

Latest transactions

10/30 Christopher Manimbo Edward Jones → Janney Montgomery Scott $250M 10/30 Jose Ascencio Raymond James Financial Services → TSG Wealth Management 10/30 Riseling Wealth Management Edward Jones → &Partners $357M 10/30 Sullivan Private Wealth Edward Jones → Shore to Summit Wealth Management 10/29 Anchor Financial Partners Northwestern Mutual → LPL Financial $525M 10/29 Koetter Financial Services LPL Financial → Cetera 10/29 Longwater Haffey Group Truist Wealth → Raymond James & Associates $700M 10/29 Pacific Sage Partners Pacific Sage Partners → CAPTRUST $1.1B 10/28 Eastover Capital Management Eastover Capital → South Atlantic Bank $430M 10/28 Kilner Capital Advisors Kilner Capital Advisors → Apella Wealth $332M

10/30 Christopher Manimbo Edward Jones → Janney Montgomery Scott $250M 10/30 Jose Ascencio Raymond James Financial Services → TSG Wealth Management 10/30 Riseling Wealth Management Edward Jones → &Partners $357M 10/30 Sullivan Private Wealth Edward Jones → Shore to Summit Wealth Management 10/29 Anchor Financial Partners Northwestern Mutual → LPL Financial $525M 10/29 Koetter Financial Services LPL Financial → Cetera 10/29 Longwater Haffey Group Truist Wealth → Raymond James & Associates $700M 10/29 Pacific Sage Partners Pacific Sage Partners → CAPTRUST $1.1B 10/28 Eastover Capital Management Eastover Capital → South Atlantic Bank $430M 10/28 Kilner Capital Advisors Kilner Capital Advisors → Apella Wealth $332M

Financial advisor

ARTHUR STEIN

At Allworth Financial · Bethesda, MD

Transactions 1

Every recorded transaction this advisor took part in, newest first.

Transaction	From	To	Pattern	Announced	Reported Assets
Arthur Stein Financial	Arthur Stein Financial	Allworth Financial	Acquisition	August 4, 2026	$141.2M

Registration history

Firm registrations on FINRA BrokerCheck and SEC IAPD, newest first.

Firm	Channel	From	To
ALLWORTH FINANCIAL, L.P.	Investment adviser	June 1, 2026	Current
ARTHUR STEIN FINANCIAL, LLC	Investment adviser	February 28, 2012	June 25, 2026
SPC FINANCIAL INC	Investment adviser	December 23, 2009	March 1, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.	Broker-dealer	December 9, 2009	January 30, 2012
MML INVESTORS SERVICES, INC.	Investment adviser	January 2, 2008	December 15, 2009
MML INVESTORS SERVICES, INC.	Broker-dealer	December 14, 2007	December 15, 2009
PARK AVENUE SECURITIES LLC	Investment adviser	May 3, 2004	December 3, 2007
PARK AVENUE SECURITIES LLC	Broker-dealer	April 23, 2004	December 3, 2007
CASSADAY & CO INC	Investment adviser	April 18, 2000	April 12, 2004
ROYAL ALLIANCE ASSOCIATES, INC.	Broker-dealer	March 22, 2000	April 5, 2004
CAPITOL SECURITIES MANAGEMENT, INC.	Broker-dealer	September 16, 1993	March 23, 2000
MONEY CONCEPTS CAPITAL CORP	Broker-dealer	November 7, 1990	September 13, 1993

Published record as of October 31, 2026. Registration dates are FINRA BrokerCheck and SEC IAPD registrations at the destination, not proof that client assets transferred. See the methodology.