TEAM MOVES
Morgan Stanley pattern involves 10 people; 3 potential adviser groups
Three potential adviser groups were observed in registration records on November 10, 2026. One pattern involved Merrill Lynch and Morgan Stanley and records for 10 people; these records do not verify a team transfer.
By Claire Bennett·Edition ·1 min read
A potential affiliation pattern involving Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley covered records for 10 people. The registration records were observed on November 10, 2026; the firms’ origin and destination labels do not establish that the people moved between them or formed a coordinated team.
A second pattern involved Bok Financial Private Wealth, Inc. and Cerity Partners LLC, with records for two people. The three potential adviser groups in the complete roster were all observed on November 10, 2026; the records do not establish employment dates or complete team membership.
Potential adviser groups
The appendix lists all 3 potential affiliation groups on 11/10/2026 within the 11/10/2026–11/10/2026 source window. These entries describe potential affiliation patterns, not confirmed team transfers; names may be partial.
| Observed | Origin firm CRD | Destination firm CRD | Observed advisers | Source-listed advisers | Classification |
|---|---|---|---|---|---|
| 11/10/2026 | 106733 | 151559 | 2 | David C. Sego; Andrew R. Hicks | Potential affiliation group; not a confirmed team transfer |
| 11/10/2026 | 105644 | 305585 | 2 | Damian M. Varela; Brecken Kanz | Potential affiliation group; not a confirmed team transfer |
| 11/10/2026 | 7691 | 149777 | 10 | David P. Nahm; Michael Steelman; Eric Aguirre; David Henesey; John Coon; Rial Barnett; Diane Coon; Jonathan Leach; Ryan Moore; Alan Wong | Potential affiliation group; not a confirmed team transfer |