DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Vaughan Preston O'Neal

UBS Financial Services Inc.wirehouseBoston, Madual registrantIAPD 5031530

Feed of 09/14/2026

Also filed as Vaughan Preston O'Neal

At current firm

0 y

since Nov 3, 2025

In the industry

18 y

since May 22, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

UBS Financial Services Inc. wirehouse current
since Nov 3, 2025 · Boston, Ma
Amundi Asset Management US, Inc. former
Jan 4, 2021 to Apr 25, 2025 · Boston, Ma
Amundi Pioneer Institutional Asset Management, Inc. former
Jun 7, 2010 to Dec 31, 2020 · Boston, Ma
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Aug 4, 2008 to Apr 26, 2010 · Boston, Ma
Amundi Pioneer Institutional Asset Management, Inc. former
May 29, 2008 to Jun 24, 2008 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

Amundi Asset Management US, Inc. to UBS Financial Services Inc.
left Apr 25, 2025, registered Nov 3, 2025 (192 days) · Other
Amundi Pioneer Institutional Asset Management, Inc. to Amundi Asset Management US, Inc.
left Dec 31, 2020, registered Jan 4, 2021 (4 days) · corporate re-registration, not a move
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Amundi Pioneer Institutional Asset Management, Inc.
left Apr 26, 2010, registered Jun 7, 2010 (42 days) · Other
Amundi Pioneer Institutional Asset Management, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jun 24, 2008, registered Aug 4, 2008 (41 days) · Other

Signals

Vaughan Preston O'Neal left Amundi Asset Management Us, Inc. for Ubs Financial Services Inc. (registered 2025-11-03)
Apr 25, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wirehousederived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address