TEAM MOVES
Schwab records show a 7-person potential group; 4 potential adviser groups
Registration records observed on November 11, 2026, showed four potential affiliation groups. The records do not establish that any advisers moved between firms.
By Daniel Mercer·Edition ·1 min read
A potential affiliation group involving Charles Schwab & Co., Inc. and Schwab Wealth Advisory, Inc. included seven observed people in registration records on November 11, 2026. The records identify a potential pattern, not a verified coordinated transfer or recruiting win.
The complete set contained four potential adviser groups observed that day. One other example involved three observed people in a potential affiliation pattern involving Truist Advisory Services, Inc. and Rockefeller Financial LLC. The records do not establish employment dates or confirm that anyone changed firms.
Potential adviser groups
The appendix lists all 4 potential affiliation groups on 11/11/2026 within the 11/11/2026–11/11/2026 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 |
|---|---|---|---|---|---|
| 11/11/2026 | 283390 | 291361 | 3 | Jerry C. Holton; Frank S. Pittman; Alexander P. Sayavongsa | Potential affiliation group; not a confirmed team transfer |
| 11/11/2026 | 79 | 19616 | 2 | Aurian Faridi; Arcacia Biggers | Potential affiliation group; not a confirmed team transfer |
| 11/11/2026 | 250 | 149018 | 2 | Jason L. Murray; Arthur J. Walker | Potential affiliation group; not a confirmed team transfer |
| 11/11/2026 | 5393 | 159035 | 7 | Raunak T. Joseph; Joseph Sparks; Marshal D. Morgan; Matthew Layman; Carson R. Brechner; Austin Endorf; Donna L. Rauen | Potential affiliation group; not a confirmed team transfer |