| Date Announced |
Seller |
Buyer |
Type |
AUM ($mm) |
|
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
|
Wachovia Corporation
|
Prudential Financial, Inc.
|
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
|
|
|
September 2000
|
Goepel McDermid, Inc.
|
Raymond James Financial, Inc.
|
SEC
|
|
|
September 2000
|
JWGenesis Financial Corp.
|
First Union Corporation
|
SEC
|
|
|
July 2000
|
SG Cowen Securities Corp. Private Client Group
|
Lehman Brothers Holdings
|
SEC
|
|
|
May 2000
|
First Albany Companies Inc. Private Client Group
|
First Union Corporation
|
SEC
|
|
|
November 1999
|
Lynch, Jones & Ryan, Inc.
|
Instinet Corporation
|
SEC
|
|