TEAM MOVES

Wells Fargo firms in 11-person pattern; 12 potential adviser groups

A candidate affiliation pattern involving 11 people associated with two Wells Fargo firms was observed October 3, 2026. The 12 potential groups cover October 2–4; the records do not verify team transfers.

By Maya Chen·Edition ·1 min read

A candidate affiliation pattern involving 11 people associated with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC was observed October 3, 2026. The registration pattern does not establish that advisers moved between firms or that the group coordinated.

A separate candidate pattern involving four people listed Indie Asset Partners, LLC and Shepherd Financial Investment Advisory LLC as the firms involved. It was observed October 2, 2026, and does not establish a coordinated team transfer or employment date.

The complete roundup covers 12 potential adviser groups observed from October 2 through October 4, 2026. Nine groups were observed October 2 and three October 3.

Potential adviser groups

The appendix lists all 12 potential affiliation groups from 10/02/2026 through 10/04/2026. These entries describe potential affiliation patterns, not confirmed team transfers; names may be partial.

ObservedOrigin firm CRDDestination firm CRDObserved advisersSource-listed advisersClassification
10/02/20262888633433183Steven P. Lichtblau; Michael S. Walling; Charles T. WallingPotential affiliation group; not a confirmed team transfer
10/02/20262985581743462Justin C. Bennitt; Kelly N. WilsonPotential affiliation group; not a confirmed team transfer
10/02/20262313164133Benjamin C. McKinney; Shane Heddy; Glenn R. MatecunPotential affiliation group; not a confirmed team transfer
10/02/202619616110253Arthur G. Horner; Marianne E. O'Neill; Brian BlassPotential affiliation group; not a confirmed team transfer
10/02/20261471891457112Anthony S. Quill; Jordan T. PainePotential affiliation group; not a confirmed team transfer
10/02/20267051490182Lisa L. Stella; Michael S. KoviePotential affiliation group; not a confirmed team transfer
10/02/20262833902913613Paul S. Irving; Brett T. Schmidt; Benjamin D. BeesonPotential affiliation group; not a confirmed team transfer
10/02/202610564464132Jeffrey Morgan; Lori A. GoodwinPotential affiliation group; not a confirmed team transfer
10/02/20261545032886234Grady J. Gaynor; Donna J. Dickinson; Charles W. Castino; Kevin M. AlerdingPotential affiliation group; not a confirmed team transfer
10/03/20261056441490183Stephen W. Hillard; Jimmy D. Epley; Jarren E. McNieshPotential affiliation group; not a confirmed team transfer
10/03/202677171574232Charles K. Wareham; James StockmanPotential affiliation group; not a confirmed team transfer
10/03/2026196161102511Arthur G. Horner; Marianne E. O'Neill; Brian Blass; Richard J. Simenhoff; Chad A. Holtz; James I. Dunn; Darin L. Dunham; Patricia Gonzalez; Wade M. Schuknecht; Jenny Yuen; David M. HoffmanPotential affiliation group; not a confirmed team transfer

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