TEAM MOVES

Five-person Kestra candidate pattern; 11 potential adviser groups

From 10/30/2026 to 11/01/2026, 11 potential adviser groups were observed; a five-person pattern observed on 10/30 listed Ameriprise and Kestra as candidate firms, not a confirmed team transfer.

By Claire Bennett·Edition ·1 min read

A five-person potential affiliation pattern observed on 10/30/2026 listed Ameriprise Financial Services, LLC, and Kestra Advisory Services, LLC, in candidate origin and destination fields. Those fields describe a registration pattern; they do not establish a coordinated transfer or employment change.

The complete set comprised 11 potential adviser groups observed from 10/30/2026 through 11/01/2026. Five were observed on 10/30 and six on 10/31. A separate four-person pattern observed on 10/31 listed Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Wells Fargo Clearing Services, LLC, as candidate firms; the records do not establish that the people moved between them.

Potential adviser groups

The appendix lists all 11 potential affiliation groups on 10/30/2026 and 10/31/2026 within the 10/30/2026–11/01/2026 source window. These entries describe potential affiliation patterns, not confirmed team transfers; names may be partial.

ObservedOrigin firm CRDDestination firm CRDObserved advisersSource-listed advisersClassification
10/30/202680322833302Marian M. Deering; Scott F. FosmarkPotential affiliation group; not a confirmed team transfer
10/30/20266413231313Joseph P. Pearce; Stephen Kuczynski; Daniel J. MonziPotential affiliation group; not a confirmed team transfer
10/30/202663632833305Moira Montgomery; Stefanie R. Morton; Kimberly L. S. Bourland; Nicolas Hernandez; Michelle L. MoreheadPotential affiliation group; not a confirmed team transfer
10/30/20266413231312Stephen Kuczynski; Daniel J. MonziPotential affiliation group; not a confirmed team transfer
10/30/20267691196163Yu H. Tan; Rose G. Raphael; Gerardo E. LopezPotential affiliation group; not a confirmed team transfer
10/31/202625064133Matthew T. Gealta; Mila S. Castro; Nathan J. HershmanPotential affiliation group; not a confirmed team transfer
10/31/202664131490182Tod M. Masin; William D. MiskoPotential affiliation group; not a confirmed team transfer
10/31/20261122941038572Richard A. Lamore; David A. LamorePotential affiliation group; not a confirmed team transfer
10/31/20261564821515592Robert A. Amato; Lance A. MillerPotential affiliation group; not a confirmed team transfer
10/31/20261490183186572Thomas J. Anderle; Thomas E. AnderlePotential affiliation group; not a confirmed team transfer
10/31/20267691196164Yu H. Tan; Rose G. Raphael; Gerardo E. Lopez; Eduardo L. GarciaPotential affiliation group; not a confirmed team transfer

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