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

Jim Marx

Now at Prime Capital Financial · White Plains, NY

Registered as JAMES PATRICK MARX

Transactions 1

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

Transaction	From	To	Pattern	Announced	Reported Assets
Jim Marx	Alera Group Wealth Services	Prime Capital Financial	Lateral	January 9, 2026	Undisclosed

Registration history

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

Firm	Channel	From	To
PRIME CAPITAL FINANCIAL	Investment adviser	August 4, 2025	Current
ALERA INVESTMENT ADVISORS, LLC	Investment adviser	October 16, 2024	June 11, 2025
EDELMAN FINANCIAL ENGINES	Investment adviser	October 12, 2018	November 1, 2024
EF LEGACY SECURITIES, LLC	Broker-dealer	April 22, 2016	October 31, 2018
EDELMAN FINANCIAL SERVICES, LLC	Investment adviser	September 13, 2011	November 1, 2018
SANDERS MORRIS HARRIS LLC	Broker-dealer	December 3, 2010	April 22, 2016
PCS DISTRIBUTORS, LLC	Broker-dealer	November 29, 2007	December 7, 2010
TD WATERHOUSE INVESTOR SERVICES, INC.	Broker-dealer	April 22, 2006	April 25, 2006
AMERIVEST INVESTMENT MANAGEMENT, LLC	Investment adviser	November 30, 2004	April 25, 2006
AMERITRADE, INC.	Broker-dealer	May 10, 2004	April 22, 2006

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.