Five Potential Adviser Groups Observed in Registration Records as of September 23

Registration records observed on September 23, 2026, reveal five potential adviser group affiliation patterns across the industry. These records indicate shifts in professional association for various teams, though they do not constitute confirmed coordinated job transfers or verified employment changes.

The largest observed group involves 13 individuals showing a registration pattern between Charles Schwab & Co., Inc. and Schwab Wealth Advisory, Inc. This potential affiliation includes Mathew R. Thomsen, Anne M. Schwab, and John C. Garrison. These records provide a snapshot of registration status as of September 23, 2026, and are not evidence of a collective recruitment victory or shared branch location.

A second potential pattern involves five individuals associated with registration changes between Merrill Lynch, Pierce, Fenner & Smith Incorporated and J.P. Morgan Securities LLC. The individuals noted in this record are Daniela M. Mabry, Ignacio R. Ceniceros, and Caleb J. Cavazos. This observation reflects documentation patterns present as of September 23, 2026.

Separate registration records observed on September 23, 2026, highlight a two-person potential affiliation pattern involving Adam J. Sawkins and Josue Suarez at Morgan Stanley, originating from Charles Schwab & Co., Inc. These observations represent registration data only and do not establish a verified coordinated move.

Additionally, a two-person group including Daniel R. Creps and John W. Slonecker shows a potential affiliation pattern moving toward Raymond James Financial Services Advisors, Inc. This record was observed on September 23, 2026, and is limited to registration data patterns.

Finally, registration records from September 23, 2026, identify a two-person potential affiliation pattern involving Matthew F. Marsh and Shima Salehi as they are linked to Beacon Pointe Advisors, LLC. All observations listed here serve as indicators of registration patterns rather than confirmed job departures or professional transitions.

Complete record list

The full-period list contains 5 records. The homepage breakdown covers the complete list: Sep 23 (5).

All 5 records observed from 09/23/2026 through 09/23/2026, including the examples discussed above. These are potential affiliation groups, not confirmed coordinated team transfers. Source-listed names can be partial when indicated.