| Date Announced |
Seller |
Buyer |
Type |
AUM ($mm) |
|
May 2013
|
Crowell, Weedon & Co.
|
D.A. Davidson & Co.
|
SEC
|
|
|
October 2012
|
The Legend Group (Waddell & Reed Financial, Inc.)
|
First Allied Holdings Inc.
|
SEC
|
|
|
February 2012
|
McGladrey Capital Markets LLC
|
D.A. Davidson & Co.
|
SEC
|
|
|
August 2011
|
Advanced Equities Financial Corp. (First Allied)
|
Lovell Minnick Partners
|
SEC
|
|
|
July 2011
|
Stone & Youngberg LLC
|
Stifel Financial Corp.
|
SEC
|
|
|
January 2009
|
Pacific Growth Equities, LLC
|
Wedbush Morgan Securities Inc.
|
SEC
|
|
|
September 2008
|
Capital Financial Group, Inc. / H. Beck, Inc.
|
Securian Financial Group, Inc.
|
SEC
|
|
|
August 2008
|
Brecek & Young Advisors, Inc. (Securitiy Benefit Corporation)
|
Securities America Financial Corporation (Amerprise Financial, Inc.)
|
SEC
|
|
|
September 2005
|
Adams Harkness Financial Group, Inc.
|
Canaccord Capital Inc.
|
SEC
|
|
|
August 2005
|
Investec (US) Incorported (Investec USA Holdings Corp.)
|
Bank Hapoalim B.M.
|
SEC
|
|
|
February 2005
|
Parker/Hunter Incorporated
|
Janney Montgomery Scott LLC (Penn Mutual Life Insurance Company)
|
SEC
|
|
|
March 2004
|
W.S. Griffith Securities & Main Street Management Company (The Phoenix Companies)
|
LPL Financial Services
|
SEC
|
|
|
October 2003
|
Donaldson & Co. Incorporated
|
Knight Trading Group, Inc.
|
SEC
|
|
|
February 2003
|
Prudential Financial, Inc. (Retail Brokerage & Clearing Divisions)
|
Wachovia Corporation
|
SEC
|
|
|
December 2002
|
U.S. Oppenheimer Private Client Division of CIBC World Markets Corp.
|
Fahnestock Viner Holdings Inc.
|
SEC
|
|
|
December 2002
|
First Institutional Securities, L.L.C.
|
RBC Dain Rauscher Inc. (Royal Bank of Canada)
|
SEC
|
|
|
November 2000
|
Midwest Research-Maxus Group Limited
|
First Tennessee Securities Corporation
|
SEC
|
|
|
November 2000
|
The Wallach Company, Inc.
|
McDonald Investments Inc. (KeyCorp)
|
SEC
|
|
|
September 2000
|
Black & Company, Inc.
|
First Security Corporation
|
SEC
|
|
|
September 2000
|
Branch, Cabell & Co., Inc.
|
Tucker Anthony Sutro
|
SEC
|
|