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Active Date Adviser(s) Team name Linkedin profile Adviser(s) phone Adviser(s) e-mail AUM ($M) Gross annual production/Trailing-twelve months ($M) Firm leaving Firm joining City State Custodian (if applicable) Company/team website (include http://) Branch Manager Transition date Source name Source URL Summary Contact name Contact phone number Contact e-mail Adviser/team headshot (hi-res .jpg) Submission type GUID
111-30--0001N/AN/AN/AN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A0000-00-00N/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
102-27-2013Frank LevyN/AN/AN/AN/A$170N/A John Hancock Financial ServicesSecurities Service NetworkWilmingtonDEN/AN/AN/A2013-02-15N/AN/AN/AHeather MazzouccoloN/Aheather.mazzouccolo@ssnetwork.comN/AUser-submitted2013-02-26-Frank-LevyN/A
101-08-2010Patrick J. Howley, Betsy DowN/AN/AN/AN/A$300$1A.G. Edwards & SonsMoneta Group Investment AdvisorsN/AN/AN/AN/AN/A2010-01-08INhttp://www.investmentnews.com/article/20100108/FREE/100109882N/AN/AN/AN/AN/AInvestmentNews20100108-Patrick-J-Howley-Betsy-DowN/A
103-30-2011David LucasN/AN/AN/AN/A$100N/AA.G. Edwards & SonsRaymond JamesSan JoseCAN/AN/AN/A2011-03-30N/Ahttp://www.prnewswire.com/news-releases/barclays-hires-investment-representative-team-in-los-angeles-145766915.htmlN/AN/AN/AN/AN/AInvestmentNews20110330-David-LucasN/A
106-10-2010Scott Metzner, Thomas AndisonN/AN/AN/AN/AN/AN/AA.G. Edwards & SonsStifel Nicolaus & Co.Port HuronMIN/AN/AN/A2010-06-10N/Ahttp://online.wsj.com/article/BT-CO-20100609-711972.html?mod=WSJ_latestheadlinesN/AN/AN/AN/AN/AInvestmentNews20100610-Scott-Metzner-Thomas-AndisonN/A
105-14-2013Gary BouchN/AN/AN/AN/A$57N/AAmeriprise FinancialWaddell and ReedLouisvilleKYN/AN/AN/A2013-04-22N/AN/AN/ARoger Hoadley913-236-1993N/AN/AInvestmentNews2013-05-15-Gary-BouchN/A
106-04-2010Middlebrook, Dryden, Carter & AssociatesN/AN/AN/AN/A$150N/AAmeriprise FinancialInsight Wealth PartnersN/AN/AN/AN/AN/A2010-06-04David S. Dryden, CFP, ChFChttp://www.insightwp.com/your-iwp-team.aspxN/ADavid S. Dryden, CFP, ChFCN/Adavid.dryden@insightwp.comN/AUser-submitted20100604-Middlebrook-Dryden-Carter-AssociatesN/A
107-30-2012Anthony ThurlowN/AN/AN/AN/A$55N/AAmeriprise FinancialInvestors CapitalHendersonNVN/AN/AN/A2012-07-11Financial Advisor Anthony Thurlow Joins Investors Capital Corp.http://bit.ly/MPVxfQN/APeter Acciavatti7814774768pacciavatti@investorscapital.comN/AUser-submitted20120730-Anthony-ThurlowN/A
102-02-2010Curtis CongdonN/AN/AN/AN/AN/AN/AAmeriprise FinancialLara Shull & MayN/AN/AN/AN/AN/A2010-02-02INhttp://www.investmentnews.com/article/20100202/FREE/100209923N/AN/AN/AN/AN/AInvestmentNews20100202-Curtis-CongdonN/A
105-16-2011Robert Coloret, Mark DelmarN/AN/AN/AN/A$107N/AAmeriprise FinancialMorgan Stanley Smith BarneyTampaFLN/AN/AN/A2011-05-16N/Ahttp://www.4-traders.com/LPL-INVESTMENT-HOLDINGS-I-6880559/news/LPL-INVESTMENT-HOLDINGS-INC-Adding-to-the-Growing-Theme-of-Elite-Teams-Announcing-Independence-Natio-14210630/N/AN/AN/AN/AN/AInvestmentNews20110516-Robert-Coloret-Mark-DelmarN/A
106-18-2010Matthew AgeeN/AN/AN/AN/A$34N/AAmeriprise FinancialSummit Brokerage ServicesN/AN/AN/AN/AN/A2010-06-18Summit Press Releasehttp://www.24-7pressrelease.com/press-release/summit-brokerage-services-welcomes-new-advisors-156786.phpN/AMindy MarbleN/Ammarble@summitbrokerage.comN/AUser-submitted20100618-Matthew-AgeeN/A
112-30-2011Richard L. LeBaron, Jon P. LeBaronN/AN/AN/AN/A$300N/AAxa AdvisorsHarbour InvestmentsReed CityMIN/AN/AN/A2011-11-01Harbour Investments, Inc.N/AN/ACarinaN/Acsaunders@harbourinv.comN/AUser-submitted20111230-Richard-L-LeBaron-Jon-P-LeBaronN/A
103-01-2011Firstrust Financial Resources LLCN/AN/AN/AN/A$600N/AAxa AdvisorsMetLife SecuritiesConshohockenPAN/AN/AN/A2011-03-01N/Ahttp://online.wsj.com/article/BT-CO-20110301-712589.htmlN/AN/AN/AN/AN/AInvestmentNews20110301-Firstrust-Financial-Resources-LLCN/A
104-08-2010Northeast Investment Advisors LLCN/AN/AN/AN/A$100$1B.B. GrahamInvestors CapitalBoulderCON/AN/AN/A2010-04-08Press Releasehttp://www.rwbaird.comN/AN/AN/AN/AN/AInvestmentNews20100408-Northeast-Investment-Advisors-LLCN/A
108-21-2012John Eric NewellN/AN/AN/AN/A$76N/ABancwest Investment ServicesInvestment Centers of AmericaCasperWYN/AN/AN/A2102-08-20N/AN/AN/AEric Newell(307) 268-7373Eric.Newell@investmentcenters.comN/AUser-submitted20120821-John-NewellN/A
110-11-2010Harry Sherdil, Nestor Belmonte, Kimberly TobiasN/AN/AN/AN/A$150N/ABancwest Investment ServicesWells Fargo AdvisorsUnion CityCAN/AN/AN/A2010-10-11N/Ahttp://online.wsj.com/article/SB10001424052748704654004575517890708830162.html?mod=googlenews_wsjN/AN/AN/AN/AN/AInvestmentNews20101011-Harry-Sherdil-Nestor-Belmonte-Kimberly-TobiasN/A
104-30-2013Jay L. GeaslenN/AN/AN/AN/A$194N/ABank of America Merrill LynchAmeriprise FinancialAlpharettaGAN/AN/AN/A2013-04-08N/AN/AN/AChris L. Reese612-678-5410chris.l.reese@ampf.comN/AUser-submitted2013-04-30-Jay-L-GeaslenN/A
104-25-2013Teresa M. Brokaw, Donald G. O'Neal, Trent J. O'NealO'Neal & Brokaw Private Retirement GroupN/AN/AN/A$193N/ABank of America Merrill LynchWells Fargo AdvisorsLynnwood WAN/AN/AN/A2013-04-12N/AN/AN/AErica Vanross314-875-4044erica.vanross@wellsfargoadvisors.comN/AUser-submitted2013-04-25-ONeal-Brokaw-Private-Retirement-GroupN/A
104-25-2013James P. Butler, James L. Butler, Neil ButlerButler Wealth ManagementN/AN/AN/A$356N/ABank of America Merrill LynchWells Fargo AdvisorsMercer IslandWAN/AN/AN/A2013-03-28N/AN/AN/AErica Vanross314-875-4044erica.vanross@wellsfargoadvisors.comN/AUser-submitted2013-04-25-Butler-Wealth-ManagementN/A
104-25-2013Thomas J. McCann Jr.N/AN/AN/AN/A$200N/ABank of America Merrill LynchMorgan Stanley Smith BarneyLa JollaCAN/AN/AN/A2013-04-19N/AN/AN/AChristine Jockle914 225 6827Christine.Jockle@morganstanley.comN/AUser-submitted2013-04-25-Thomas-J-McCann-JrN/A
104-22-2013Greg BauerN/AN/AN/AN/A$75N/ABank of America Merrill LynchWells Fargo AdvisorsWest NyackNYN/AN/AN/A2013-04-19N/AN/AN/APeter Pappas(516)-308-4817Peter@victoriakris.comN/AUser-submitted2013-04-23-Greg-BauerN/A
104-08-2013Robert Locco, Francis CiocariN/AN/AN/AN/A$200N/ABank of America Merrill LynchMorgan Stanley Smith BarneyBlue BellPAN/AN/AN/A2013-04-05N/AN/AN/AN/AN/AN/AN/AUser-submitted2013-04-16-Robert-Locco-Francis-CiocariN/A
104-08-2013Robert Iocco, Francis CiocariN/AN/AN/AN/A$200N/ABank of America Merrill LynchMorgan Stanley Smith BarneyBlue BellPAN/AN/AN/A2013-04-05N/AN/AN/AN/AN/AN/AN/AInvestmentNews2013-04-08-Robert-Iocco-Francis-CiocariN/A
104-08-2013Gaston Abello, Felix JaimovichN/AN/AN/AN/A$165N/ABank of America Merrill LynchMorgan Stanley Smith BarneyAventuraFLN/AN/AN/A2013-04-05N/AN/AN/AN/AN/AN/AN/AInvestmentNews2013-04-08-Gaston-Abello-Felix-JaimovichN/A
104-02-2013John Russo, Jerry West, Robert Schlueter, James MaherArchford Capital StrategiesN/AN/AN/A$420N/ABank of America Merrill LynchDynasty Financial PartnersSt. LouisMON/AN/AN/A2013-03-28N/AN/AN/AN/AN/AN/AN/AInvestmentNews2013-04-02-Archford-Capital-StrategiesN/A
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