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

HOA THI LE

At Arax Investment Partners · Madison, NJ

Transactions 1

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

Transaction	From	To	Pattern	Announced	Reported Assets
Transcend Capital Advisors	Transcend Capital Advisors	Arax Investment Partners	Acquisition	July 23, 2026	$3.0B

Registration history

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

Firm	Channel	From	To
ARAX ADVISORY PARTNERS	Investment adviser	August 3, 2026	Current
TRANSCEND CAPITAL ADVISORS, LLC	Investment adviser	March 22, 2021	October 2, 2026
PURSHE KAPLAN STERLING INVESTMENTS	Broker-dealer	March 19, 2021	Current
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Investment adviser	August 23, 2013	March 22, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Broker-dealer	August 23, 2013	March 22, 2021
WELLS FARGO ADVISORS, LLC	Investment adviser	February 29, 2012	August 30, 2013
WELLS FARGO ADVISORS, LLC	Broker-dealer	February 29, 2012	August 30, 2013
UBS FINANCIAL SERVICES INC.	Investment adviser	April 19, 2011	February 27, 2012
UBS FINANCIAL SERVICES INC.	Broker-dealer	September 28, 2010	February 27, 2012
CITIGROUP GLOBAL MARKETS INC.	Broker-dealer	July 26, 1999	August 18, 2008
E*TRADE SECURITIES, INC.	Broker-dealer	August 5, 1998	October 23, 1998

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.