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

Richard Romano Jr.

Now at Raymond James Financial Services · ARC Wealth Management · Salt Lake City, UT

Registered as RICHARD CHARLES ROMANO

Transactions 1

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

Transaction	From	To	Pattern	Announced	Reported Assets
ARC Wealth Management	Stifel	Raymond James Financial Services	Breakaway	June 11, 2026	$620M

Registration history

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

Firm	Channel	From	To
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Investment adviser	April 23, 2026	Current
RAYMOND JAMES FINANCIAL SERVICES, INC.	Broker-dealer	April 23, 2026	Current
STIFEL INDEPENDENT ADVISORS, LLC	Investment adviser	June 20, 2023	April 24, 2026
STIFEL INDEPENDENT ADVISORS, LLC	Broker-dealer	June 20, 2023	April 24, 2026
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	Investment adviser	August 23, 2012	July 5, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	Broker-dealer	August 23, 2012	July 5, 2023
MORGAN STANLEY SMITH BARNEY LLC	Investment adviser	June 1, 2009	September 5, 2012
MORGAN STANLEY SMITH BARNEY	Broker-dealer	June 1, 2009	September 5, 2012
MORGAN STANLEY & CO. INCORPORATED	Investment adviser	April 2, 2007	June 1, 2009
MORGAN STANLEY & CO. INCORPORATED	Broker-dealer	April 2, 2007	June 1, 2009
MORGAN STANLEY	Investment adviser	August 20, 1999	April 2, 2007
MORGAN STANLEY DW INC.	Broker-dealer	July 23, 1999	April 2, 2007
PAINEWEBBER INCORPORATED	Broker-dealer	October 13, 1995	August 19, 1999

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.