| 1 | 09-16-2010 | Frank Hogan, David Andrew, David Searls | N/A | N/A | N/A | N/A | $300 | $3 | Goldman Sachs | Credit Suisse Wealth Services | Houston | TX | N/A | N/A | N/A | 2010-09-16 | N/A | http://www.fundfire.com/c/117480/11271/credit_suisse_snares_goldman_advisor_team | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100916-Frank-Hogan-David-Andrew-David-Searls | N/A |
| 1 | 05-20-2010 | Richard Ziegelasch, Wendy Holmes | N/A | N/A | N/A | N/A | $258 | N/A | UBS Financial Services | Credit Suisse Wealth Services | New York | NY | N/A | N/A | N/A | 2010-05-20 | N/A | http://www.fundfire.com/c/113875/4627/credit_suisse_snags_advisor | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100520-Richard-Ziegelasch-Wendy-Holmes | N/A |
| 1 | 08-20-2010 | Jeffrey Grange | N/A | N/A | N/A | N/A | $50 | N/A | Morgan Stanley Smith Barney | Crowell Weedon & Co. | West Lake Village | CA | N/A | N/A | N/A | 2010-08-20 | Crowell, Weedon & Co. | http://www.review.net/section/detail/5-3-2011-raymond-james-hires-away-three/ | N/A | Alan Griffin | N/A | agriffin@crowellweedon.com | N/A | User-submitted | 20100820-Jeffrey-Grange | N/A |
| 1 | 08-20-2010 | Mark Delgadillo | N/A | N/A | N/A | N/A | $35 | N/A | Morgan Stanley Smith Barney | Crowell Weedon & Co. | N/A | N/A | N/A | N/A | N/A | 2010-08-20 | Crowell, Weedon & Co. | http://www.investacorp.com | N/A | alan griffin | N/A | agriffin@croiwellweeedon.com | N/A | User-submitted | 20100820-Mark-Delgadillo | N/A |
| 1 | 07-28-2010 | Ross Adams | N/A | N/A | N/A | N/A | $120 | N/A | Morgan Stanley Smith Barney | Crowell Weedon & Co. | N/A | N/A | N/A | N/A | N/A | 2010-07-28 | Alan Griffin | http://www.investacorp.com | N/A | Alan Griffin | N/A | agriffin@crowellweedon.com | N/A | User-submitted | 20100728-Ross-Adams | N/A |
| 1 | 05-03-2010 | Ted Kenney | N/A | N/A | N/A | N/A | $50 | N/A | Morgan Stanley Smith Barney | Crowell Weedon & Co. | N/A | N/A | N/A | N/A | N/A | 2010-05-03 | Alan Griffin | http://www.noozhawk.com/news_releases/article/050310_ted_kenney_joins_santa_barbaras_crowell_weedon_co/ | N/A | Alan Griffin | N/A | agriffin@crowellweedon.com | N/A | User-submitted | 20100503-Ted-Kenney | N/A |
| 1 | 06-16-2010 | Marc Channick, Keith McKenzie, Darren Reinig | N/A | N/A | N/A | N/A | $100 | N/A | Bernstein Global Wealth Management | Delphi Private Advisors | San Diego | CA | N/A | N/A | N/A | 2010-06-16 | N/A | http://www.benzinga.com/press-releases/10/06/b311543/delphi-private-advisors-marks-six-months-since-launch | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100616-Marc-Channick-Keith-McKenzie-Darren-Reinig | N/A |
| 1 | 05-21-2010 | Thomas Karsten | N/A | N/A | N/A | N/A | $180 | $2 | H.D. Vest Investment Services | DeWaay Financial Network | Clive | IA | N/A | N/A | N/A | 2010-05-21 | N/A | http://www.investmentnews.com/article/20100521/FREE/100529975 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100521-Thomas-Karsten | N/A |
| 1 | 05-11-2010 | Erin Botsford | N/A | N/A | N/A | N/A | $750 | $3 | FSC Securities | DeWaay Financial Network | Frisco | TX | N/A | N/A | N/A | 2010-05-11 | N/A | http://www.investmentnews.com/article/20100511/FREE/100519970 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100511-Erin-Botsford | N/A |
| 1 | 07-09-2012 | Michael Hull, Patrick Hull | N/A | N/A | N/A | N/A | $3,831 | N/A | Morgan Stanley Smith Barney | Dynasty Financial Partners | Madison | WI | N/A | N/A | N/A | 2012-07-09 | N/A | N/A | N/A | Sally Cates | N/A | sallycates@dynastyfinancialpartners.com | N/A | User-submitted | 20120709-Michael-Hull-Patrick-Hull | N/A |
| 1 | 02-06-2012 | Larry King | N/A | N/A | N/A | N/A | $1,200 | N/A | Morgan Stanley Smith Barney | Dynasty Financial Partners | Saratoga Springs | NY | N/A | N/A | N/A | 2012-02-06 | N/A | http://www.marketwatch.com/story/dynasty-financial-partners-welcomes-king-wealth-management-group-to-its-network-of-independent-advisors-2012-02-06 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120206-Larry-King | N/A |
| 1 | 12-05-2010 | Michael C. Brown | N/A | N/A | N/A | N/A | $5,900 | N/A | U.S. Trust Bank of America Private Wealth Management | Dynasty Financial Partners | New York | NY | N/A | N/A | N/A | 2010-12-06 | N/A | http://www.investmentnews.com/article/20101206/FREE/101209959/0/REG | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101205-Michael-C-Brown | N/A |
| 1 | 05-12-2010 | Morse Williams | N/A | N/A | N/A | N/A | $190 | N/A | Morse Williams and Co. | Evercore Wealth Management | New York | NY | N/A | N/A | N/A | 2010-05-12 | N/A | http://www.investmentnews.com/article/20100125/FREE/100129936 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100512-Morse-Williams | N/A |
| 1 | 08-10-2012 | Mark Logan, Bill Unrein | N/A | N/A | N/A | N/A | $100 | N/A | Morgan Stanley Smith Barney | Fairhaven Financial Advisors Inc | Bellingham | WA | N/A | N/A | N/A | 2012-08-10 | N/A | N/A | N/A | Mark Logan | 360-306-3977 | Mark@fairfinad.com | N/A | User-submitted | 2013-02-12-Mark-Logan-Bill-Unrein | N/A |
| 1 | 11-07-2012 | Waldron Group | N/A | N/A | N/A | N/A | $1,200 | N/A | LPL Financial | Fidelity | Bridgeville | PA | N/A | N/A | N/A | 2012-11-06 | N/A | N/A | N/A | RIAbiz dotcom | 858-450-9606 | info@www.riabiz.com | N/A | User-submitted | 20121107-Waldron-Group | N/A |
| 1 | 09-17-2010 | Allan Boomer | N/A | N/A | N/A | N/A | $250 | $2 | Goldman Sachs | Fiduciary Management Group | New York | NY | N/A | N/A | N/A | 2010-09-01 | Allan Boomer (Self) | http://www.fmgwealth.com | N/A | Allan Boomer | N/A | ab@fmgwealth.com | N/A | User-submitted | 20100917-Allan-Boomer | N/A |
| 1 | 09-30-2011 | Carl Choy, Lynne Kinney, Ronald Wo | N/A | N/A | N/A | N/A | $900 | N/A | Bank of America Merrill Lynch | Financial Advisers of America | Honolulu | HI | N/A | N/A | N/A | 2011-09-30 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110930-Carl-Choy-Lynne-Kinney-Ronald-Wo | N/A |
| 1 | 06-19-2010 | Kevin S. Phillips | Kevin S. Phillips Financial Services | N/A | N/A | N/A | $50 | N/A | Woodbury Financial Services | Financial Advisers of America | Phoenix | AZ | N/A | N/A | N/A | 2010-05-03 | Kevin S. Phillips | N/A | N/A | Kevin S. Phillips | N/A | kevin@kphillipsfinancial.com | N/A | User-submitted | 20100619-Kevin-S-Phillips | N/A |
| 1 | 03-01-2012 | John Marshall, Lynn Goldney, Dan Sickles, Sean Goldney | N/A | N/A | N/A | N/A | $150 | N/A | LPL Financial | Financial Network Investment | Lake Havasu City | AZ | N/A | N/A | Don Larkin | 2012-03-01 | N/A | http://www.reuters.com/article/2012/03/08/ubsfinancial-idUSL2E8E5ACC20120308 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120301-John-Marshall-Lynn-Goldney-Dan-Sickles-Sean-Goldney | N/A |
| 1 | 12-15-2010 | Debol Capital Management | N/A | N/A | N/A | N/A | $140 | N/A | Multi-Financial Securities | First Allied Securities | N/A | N/A | N/A | N/A | N/A | 2010-12-15 | N/A | http://www.investmentnews.com/article/20100124/REG/301249974 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101215-Debol-Capital-Management | N/A |
| 1 | 02-18-2011 | Matthew Levens, Todd Kling | N/A | N/A | N/A | N/A | N/A | $1 | Financial Network Investment | First Midwest Securities | New York | NY | N/A | N/A | N/A | 2011-02-18 | First Midwest Securities | http://www.firstmidwestsecurities.com | N/A | Justin Bolmgren | N/A | jbolmgren@firstmidwestsecurities.com | N/A | User-submitted | 20110218-Matthew-Levens-Todd-Kling | N/A |
| 1 | 02-08-2012 | John Beirne Jr., John-Oliver Beirne, Jim Betzig, Eric Passeri | N/A | N/A | N/A | N/A | $2,000 | N/A | Bank of America Merrill Lynch | Focus Financial Partners | Milford | CT | N/A | N/A | N/A | 2012-02-08 | N/A | http://www.investmentnews.com/article/20120207/FREE/120209940 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120208-John-Beirne-Jr-John-Oliver-Beirne-Jim-Betzig-Eric-Passeri | N/A |
| 1 | 08-16-2010 | Denise Otten | N/A | N/A | N/A | N/A | $25 | N/A | Morgan Stanley Smith Barney | Fogel Neale Partners | New York | NY | N/A | N/A | N/A | 2010-08-16 | N/A | http://www.prnewswire.com/news-releases/fogel-neale-lures-former-morgan-stanley-financial-advisor-denise-otten-100783969.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100816-Denise-Otten | N/A |
| 1 | 09-14-2012 | Marty Dean, Judy Olschofka | N/A | N/A | N/A | N/A | $61 | $1 | Centaurus Financial | FSC Securities | Penn Laird | VA | N/A | N/A | N/A | 2012-08-30 | N/A | N/A | N/A | Linda Malamut | 3107726533 | lmalamut@safg.com | N/A | User-submitted | 20120914-Marty-Dean-Judy-Olschofka | N/A |
| 1 | 09-14-2012 | Eric Burton, Ronald Whittingham | N/A | N/A | N/A | N/A | $250 | $4 | LPL Financial | FSC Securities | Tinley Park | IL | N/A | N/A | N/A | 2012-09-14 | N/A | N/A | N/A | Linda Malamut | 3107726533 | lmalamut@safg.com | N/A | User-submitted | 20120914-Eric-Burton-Ronald-Whittingham | N/A |