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

Thad Ortez

Now at Ascentis Independent Advisors · Rooted Wealth Management · Modesto, CA

Registered as THAD ANTHONY ORTEZ

Transactions 1

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

Transaction	From	To	Pattern	Announced	Reported Assets
Rooted Wealth Management	Raymond James Financial Services	Ascentis Independent Advisors	Lateral	October 8, 2026	$275M

Registration history

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

Firm	Channel	From	To
ASCENTIS INDEPENDENT ADVISORS, LLC	Investment adviser	October 2, 2026	Current
PEAK BROKERAGE SERVICES, LLC	Broker-dealer	October 2, 2026	Current
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Investment adviser	November 2, 2018	October 6, 2026
RAYMOND JAMES FINANCIAL SERVICES, INC.	Broker-dealer	November 2, 2018	October 6, 2026
WELLS FARGO CLEARING SERVICES, LLC	Investment adviser	February 1, 2007	November 6, 2018
WELLS FARGO CLEARING SERVICES, LLC	Broker-dealer	February 1, 2007	November 6, 2018
ATLAS SECURITIES, LLC	Broker-dealer	January 8, 2003	February 1, 2007
MERRILL LYNCH PIERCE FENNER & SMITH INC.	Investment adviser	April 19, 2001	December 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Broker-dealer	March 7, 2001	December 5, 2002

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.