| Relationships | Role | Relationship Start | Relationship End |
| Wheat First Butcher Singer, Inc. | Parent | 1/31/1998 | 9/30/1999 |
| Wachovia Corporation | Parent | 9/29/1989 | 1/30/1998 |
| Wachovia Bank, National Association | Parent | 6/17/1986 | 9/28/1989 |
| Trg Holdings, Llc | Subsidary | 2/1/1999 | 9/30/1999 |
| Microinvestors, Llc | Subsidary | 2/1/1999 | 9/30/1999 |
| Ciit Holdings, Llc | Subsidary | 2/1/1999 | 9/30/1999 |
| Wheat First Butcher Singer Private Equity Fund, Limited Partnership | Subsidary | 1/31/1998 | 9/30/1999 |
| Acquisitions & Mergers | Role | Assets | Acct Method | Type | Transaction Date |
| Wells Fargo Clearing Services, Llc | Buyer | Discontinued | 10/1/1999 | ||
| Bowles Hollowell Conner & Co. | Seller | Discontinued | 2/1/1999 | ||
| Wheat First Securities, Inc. | Seller | Discontinued | 1/31/1998 |