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
110-22-2012Rebecca Rothstein & TeamN/AN/AN/AN/A$2,500N/AMorgan Stanley Smith BarneyBank of America Merrill LynchBeverly HillsCAN/AN/AN/A2012-10-19N/AN/AN/AMatthew Card617.434.1388matthew.card@bankofamerica.comN/AUser-submitted20121022-Rebeccca-Rothstein-TeamN/A
111-07-2012Waldron GroupN/AN/AN/AN/A$1,200N/ALPL FinancialFidelityBridgevillePAN/AN/AN/A2012-11-06N/AN/AN/ARIAbiz dotcom858-450-9606info@www.riabiz.comN/AUser-submitted20121107-Waldron-GroupN/A
110-19-2012Robert G. BernardinN/AN/AN/AN/A$300N/AMorgan Stanley Smith BarneyHilliard LyonsEvansvilleINN/AN/AN/A2012-10-19N/AN/AN/AChambers MooreN/Acmoore@hilliard.comN/AUser-submitted20121019-Robert-BernardinN/A
111-13-2012Mark Cortazzo, Nicholas Spagnoletti Jr., Jay LaMalfa, Thomas MoyerMacro Consulting GroupN/AN/AN/A$650N/ASII InvestmentsLPL FinancialParsippanyNJN/AN/AN/A2012-11-08N/AN/AN/AMatthew Griffes206-402-5853mgriffes@haventower.comN/AUser-submitted20121113-Macro-Consulting-GroupN/A
111-13-2012Level Four GroupN/AN/AN/AN/A$1,000N/ALincoln FinancialLPL FinancialPlanoTXN/AN/AN/A2012-11-13N/AN/AN/AN/AN/AN/AN/AInvestmentNews20121113-Level-Four-GroupN/A
111-07-2012Mark Elston, Dave Quinn, Jim Elston, Tiffany Del SantoN/AN/AN/AN/A$185N/AWells Fargo AdvisorsLPL FinancialRenoNVN/AN/AN/A2012-10-15N/AN/AN/AN/AN/AN/AN/AInvestmentNews20121107-Mark-Elston-Dave-Quinn-Jim-Elston-Tiffany-Del-SantoN/A
110-24-2012Gerber Kawasaki Wealth & Investment ManagementN/AN/AN/AN/A$175N/ASagePoint FinancialLPL FinancialSanta MonicaCAN/AN/AN/A2012-10-22N/Ahttp://www.prnewswire.com/news-releases/lpl-financial-welcomes-gerber-kawasaki-wealth--investment-management-to-broker-dealer-and-hybrid-ria-platforms-175587671.htmlN/AMatthew Griffes206-402-5853mgriffes@haventower.comN/AUser-submitted20121024-Gerber-KawasakiN/A
110-17-2012Capstone Affluent StrategiesN/AN/AN/AN/A$450N/APrudential FinancialLPL FinancialNewport BeachCAN/AN/AN/A2012-10-17N/AN/AN/AGregg Dinino619-730-9623gregg@kcdpr.comN/AUser-submitted20121017-Capstone-Affluent-StrategiesN/A
111-06-2012Bryan SchonN/AN/AN/AN/A$205$1Chase Investment ServicesMorgan Stanley Smith BarneyBloomfield HillsMIN/AN/AN/A2012-11-01N/AN/AN/AChristine Jockle914-225-6827Christine.Jockle@morganstanley.comN/AUser-submitted20121106-Bryan-SchonN/A
110-31-2012Cheryl YoungN/AN/AN/AN/A$221$2Raymond JamesMorgan Stanley Smith BarneyLos GatosCAN/AN/AN/A2012-10-26N/AN/AN/AChristine Jockle914 225-6827 Christine.Jockle@morganstanley.comN/AUser-submitted20121031-Cheryl-YoungN/A
110-31-2012Leon Ciobataru, Luiz BoruchowskiN/AN/AN/AN/A$210$2Wells Fargo AdvisorsMorgan Stanley Smith BarneyMiamiFLN/AN/AN/A2012-10-29N/AN/AN/AChristine Jockle914 225-6827 Christine.Jockle@morganstanley.comN/AUser-submitted20121031-Leon-Ciobataru-Luiz-BoruchowskiN/A
111-12-2012Karl Rothermund N/AN/AN/AN/A$80$1Morgan Stanley Smith BarneyRaymond JamesScottsdaleAZN/AN/AN/A2012-09-14N/AN/AN/AN/AN/AN/AN/AInvestmentNews20121112-Karl-Rothermund N/A
110-25-2012Mark W. TeedN/AN/AN/AN/A$225N/AWells Fargo AdvisorsRaymond JamesSpringfieldMAN/AN/ADavid Varela2012-09-14N/AN/AN/ARaymond James Media RelationsN/Amedia.relations@raymondjames.comN/AInvestmentNews20121025-Mark-TeedN/A
110-16-2012Jim VermilyeN/AN/AN/AN/A$85N/ALPL FinancialRobert W. Baird & Co.EastonMDN/AN/AN/A2012-08-10N/AN/AN/ANick Herff414-298-7094NHerff@rwbaird.comN/AUser-submitted20121016-Jim-VermilyeN/A
110-16-2012Ken Belter, Will SchafflerThe Belter Schaffler GroupN/AN/AN/A$130N/ACitigroupRobert W. Baird & Co.DallasTXN/AN/AN/A2012-10-11N/AN/AN/ANick Herff414-298-7094NHerff@rwbaird.comN/AUser-submitted20121016-The-Belter-Schaffler-GroupN/A
110-16-2012Jon Narmi, Charlie Narmi, Theresa RynaskiThe Narmi GroupN/AN/AN/A$330N/AMorgan Stanley Smith BarneyRobert W. Baird & Co.OmahaNEN/AN/AN/A2012-09-14N/AN/AN/ANick Herff414-298-7094NHerff@rwbaird.comN/AUser-submitted20121016-The-Narmi-GroupN/A
110-16-2012Fred GartrellN/AN/AN/AN/A$425N/ACharles SchwabRobert W. Baird & Co.Fort WorthTXN/AN/AN/A2012-10-08N/AN/AN/ANick Herff414-298-7094NHerff@rwbaird.comN/AUser-submitted20121016-Fred-GartrellN/A
110-30-2012Susan Pearlman, Gregory KennedyN/AN/AN/AN/A$60N/ARaymond JamesSummit Brokerage ServicesHuntingtonNYN/AN/AN/A2012-07-20N/AN/AN/AMindy ClappN/Amclapp@summitbrokerage.comN/AUser-submitted20121030-Susan-Pearlman-Gregory-KennedyN/A
110-22-2012Ty Bernicke, Barry BernickeN/AN/AN/AN/A$250$3Raymond JamesTriad AdvisorsEau ClaireWIN/AN/AN/A2012-10-15N/AN/AN/ANate StibbsN/Anate@triad-advisors.comN/AUser-submitted20121022-Ty-Bernicke-Barry-BernickeN/A
110-17-2012Simone Gladstone, Lynn CravinhoN/AN/AN/AN/A$80$1Morgan Stanley Smith BarneyTriad AdvisorsNew LondonCTN/AN/AN/A2012-10-17N/AN/AN/ASimone Gladstone860-437-7600simone@compassrsp.comN/AUser-submitted20121017-Simone-Gladstone-Lynn-CravinhoN/A
111-06-2012Michael Bulhack, Mario Ponczek, Douglas PonczekN/AN/AN/AN/A$423$2Morgan Stanley Smith BarneyUBS Financial ServicesAventuraFLN/AN/AN/A2012-11-02N/AN/AN/AN/AN/AN/AN/AInvestmentNews20121106-Michael-Bulhack-Mario-Ponczek-Douglas-PonczekN/A
111-01-2012Tom TempleN/AN/AN/AN/A$200$1Bank of America Merrill LynchUBS Financial ServicesNorthbrookILN/AN/AN/A2012-10-18N/AN/AN/AAndrew Parish6148243173ajparish@axcgi.comN/AUser-submitted20121101-Tom-TempleN/A
110-22-2012Timothy J. MulroyN/AN/AN/AN/A$175$1Morgan Stanley Smith BarneyUBS Financial ServicesAtlantaGAN/AN/AN/A2012-10-19N/AN/AN/ARobert Tamarkin678-441-1000Robert.tamarkin@ubs.comN/AUser-submitted20121022-Timothy-MulroyN/A
110-19-2012Richard WrightN/AN/AN/AN/A$105$1Morgan Stanley Smith BarneyWedbush SecuritiesSan DiegoCAN/AN/AN/A2012-10-19N/AN/AN/ARoc Willis858-729-7915roc.willis@wedbush.comN/AUser-submitted20121019-Richard-WrightN/A

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