TEAM MOVES
Registration Records Show 30 Potential Adviser Affiliation Patterns
Analysis of registration records from September 25 through September 27, 2026, identifies 30 potential affiliation patterns involving various advisory firms observed on September 26, 2026.
By Daniel Mercer·Edition ·3 min read
Registration records observed on September 26, 2026, show 30 potential affiliation patterns. These patterns represent associations identified within the registry and do not establish verified coordinated transfers, shared branches, or recruiting outcomes. Employment dates and complete team rosters for these groups are not established by these records.
One observed pattern involves Schwab Wealth Advisory, Inc., which appears in the registration records for a group of 12 individuals. This group includes Matthew Rice, Lisa A. Sveland, and Laura S. Lightbourn. The records note a connection to Charles Schwab & Co., Inc. as an origin firm. This is a potential affiliation pattern from registration records, not a verified coordinated transfer, shared branch, or recruiting win.
Another potential affiliation pattern involves Wells Fargo Advisors Financial Network, LLC. The registration records for this group include 12 individuals, such as Katherine E. Leszcynski, Christine M. Proctor, and Karen A. Blanchard. These records show an origin at Wells Fargo Clearing Services, LLC. This observation does not establish a departure or confirmed employment date.
Other affiliation patterns observed on September 26 include groups at several firms. At Apella Wealth, registration records show a group of nine individuals, including Jackson P. Voshell, Mimi J. Huss, and Steven B. Kingsley. Records indicate an origin at CRD 114862. This pattern is subject to the limitation that it does not prove a coordinated move or employment date.
J.P. Morgan Securities LLC appears in records with a group of seven individuals, including Alan N. Tama, Ignacio R. Ceniceros, and Caleb J. Cavazos. The origin firm listed in these records is CRD 7691. LPL Financial LLC shows a pattern involving three individuals: James R. Tschudy, Cory A. Weiser, and Bernardo G. Napoles, with an origin listed as CRD 10409.
Smaller potential affiliation patterns were also observed. Lat Wealth Financial Advisors shows records for Bradley J. Lukens and Luke N. Perciballi, originating from CRD 288811. Altura Private Wealth LLC records show Justin C. Martin and Raygn K. P. Robertson, with an origin at CRD 174767. Principal Securities, Inc. records include David W. Snyder and Liam D. Brennan, originating from CRD 10409. These observations represent potential affiliation patterns rather than verified job changes.
| Firm | Individuals Included | Observation Date |
|---|---|---|
| Schwab Wealth Advisory, Inc. | Matthew Rice, Lisa A. Sveland, Laura S. Lightbourn | 09/26/2026 |
| Wells Fargo Advisors Financial Network, LLC | Katherine E. Leszcynski, Christine M. Proctor, Karen A. Blanchard | 09/26/2026 |
| Apella Wealth | Jackson P. Voshell, Mimi J. Huss, Steven B. Kingsley | 09/26/2026 |
| J.P. Morgan Securities LLC | Alan N. Tama, Ignacio R. Ceniceros, Caleb J. Cavazos | 09/26/2026 |
| LPL Financial LLC | James R. Tschudy, Cory A. Weiser, Bernardo G. Napoles | 09/26/2026 |
| Lat Wealth Financial Advisors | Bradley J. Lukens, Luke N. Perciballi | 09/26/2026 |
| Altura Private Wealth LLC | Justin C. Martin, Raygn K. P. Robertson | 09/26/2026 |
| Principal Securities, Inc. | David W. Snyder, Liam D. Brennan | 09/26/2026 |
Complete record list
The full-period list contains 30 records. The homepage breakdown covers the complete list: Sep 26 (30).
The list below includes all 30 records observed on 09/26/2026 within the 09/25/2026–09/27/2026 source window. These are potential affiliation groups, not confirmed coordinated team transfers. Source-listed names can be partial when indicated.
Showing rows 1–25 of 30. The CSV contains the complete table.
| Observed | Origin firm CRD | Destination firm CRD | Observed advisers | Source-listed advisers | Classification |
|---|---|---|---|---|---|
| 09/26/2026 | 174767 | 340533 | 2 | Justin C. Martin; Raygn K. Robertson | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 6363 | 6413 | 3 | Gregory G. Hakim; Jesse A. Goldberg; Joseph Q. Rosenberry | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 199 | 8158 | 3 | Sean E. Ladd; Christy Gatien; Doug J. Wiedemeier | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 1137 | 297324 | 2 | Lynn M. Cowman; Nancy C. Barnwell | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 283390 | 705 | 3 | Bernice L. Murff; Stephen D. Gow; Samuel T. Mintz | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 322879 | 323135 | 2 | Timothy P. Miller; Stephanie A. Hunter | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 8733 | 19616 | 2 | Harrison G. Brooks; Ryan Wenzel | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 6413 | 6363 | 5 | Michael J. Johnson; David A. Finui; James A. Hotchkiss; Robert E. Vamos; Tanner S. Kobal | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 5393 | 159035 | 12 | Matthew Rice; Lisa A. Sveland; Laura S. Lightbourn; Gregory L. Duracinski; Jacob J. Albers; Everett J. Adams; Jonathan M. Dodd; Patrick G. Doporto; Margo J. Hanschke; Angelo N. Harper-Ribera; Judith F. Espinosa; David M. Finger | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 10409 | 1137 | 2 | David W. Snyder; Liam D. Brennan | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 19616 | 11025 | 12 | Katherine E. Leszcynski; Christine M. Proctor; Karen A. Blanchard; Richard R. Jarman; Isaac D. Rankin; Julia G. Buchanan; Jennifer E. Lewis; Emily M. Vanhille; Grant D. Cherry; Zachary J. Buchanan; Brian D. Pauley; Jennifer L. Lawrence | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 6363 | 343731 | 9 | Michael D. Cassidy; Mark A. Lyon; Jacob A. Isaacson; Todd P. Doroff; Trevor J. Dunn; Mark J. Anderson; Nicholas R. Adams; Elizabeth W. Stokes; Randy G. Doroff | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 6413 | 324624 | 3 | Derrick S. Andrews; Chelsea D. Bailey; Grant Andrews | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 7691 | 79 | 7 | Alan N. Tama; Ignacio R. Ceniceros; Caleb J. Cavazos; Raymond K. Jew; Benjamin B. Taylor; Miguel S. Jaime; Jose G. Villanueva | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 7691 | 149777 | 5 | John Gunther; Patrick Emery; Gavin Gunther; Jeremy R. Hall; Michael Moses | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 7691 | 79 | 7 | Ignacio R. Ceniceros; Caleb J. Cavazos; Raymond K. Jew; Benjamin B. Taylor; Miguel S. Jaime; Alan N. Tama; Jose G. Villanueva | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 105644 | 149018 | 10 | Jennifer M. May; Timothy J. Lyons; Saundra D. Howard; Justin Cattaneo; Jennifer L. Mierendorf; Eric S. Gandy; Mari S. Calton; Daniel A. Legner; Erin E. Rau; William H. Campbell | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 250 | 79 | 2 | Jacob M. Askari; Douglas Robichaud | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 114862 | 171106 | 9 | Kyra H. Morris; Mimi J. Huss; Steven B. Kingsley; Nathan E. White; Jackson P. Voshell; Stephen B. Valley; Andy Li; Barbara L. Fallon; Dannae C. Enright | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 705 | 149018 | 2 | Harrison Schmitt; Braden W. Schmitt | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 114862 | 171106 | 9 | Jackson P. Voshell; Mimi J. Huss; Steven B. Kingsley; Nathan E. White; Kyra H. Morris; Stephen B. Valley; Andy Li; Barbara L. Fallon; Dannae C. Enright | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 8733 | 19616 | 2 | Harrison G. Brooks; Ryan Wenzel | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 7691 | 149777 | 5 | Jeremy R. Hall; John Gunther; Patrick Emery; Gavin Gunther; Michael Moses | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 5393 | 159035 | 11 | Lisa A. Sveland; Laura S. Lightbourn; Gregory L. Duracinski; Jacob J. Albers; Everett J. Adams; Jonathan M. Dodd; Patrick G. Doporto; Margo J. Hanschke; Angelo N. Harper-Ribera; Judith F. Espinosa; David M. Finger | Potential affiliation group; not a confirmed team transfer |
| 09/26/2026 | 10409 | 6413 | 3 | James R. Tschudy; Cory A. Weiser; Bernardo G. Napoles | Potential affiliation group; not a confirmed team transfer |