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.
SEC-registered adviser
UBS Financial Services Inc.
Latest filing Aug 25, 2026
First filing on the tape Mar 30, 2012 · 79 filings
SEC status approved since Jan 22, 1971
RAUM
$916B
reported, Item 5.F
Discretionary
44%
of RAUM
Private clients
83%
$762B individuals and HNW
Advisors
9,349
registered through the firm on IAPD
RAUM per advisor
$98.0M
derived; firm RAUM over IAPD count
Employees
12,524
9,149 advisory (5.B.1)
Offices
369
beyond the principal office
Private funds
0
reported on Schedule D
History
79 filings and snapshots on the tape
RAUM$916B as of Aug 25, 2026
Mar 30, 2012$185B then
HNW client RAUM$715B as of Aug 25, 2026
Mar 30, 2018$289B then
State-registered IARs (5.B.3)9,149 as of Aug 25, 2026
Apr 1, 20139,555 then
Employees (5.A)12,524 as of Aug 25, 2026
Apr 1, 201315,790 then
Private funds: no history
RAUM +13% over the last fiscal year+15% a year over threeIARs 9,944 to 9,149
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $98.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $836,932derivedHNW RAUM over HNW clients
- Average account
- $800,302derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 44%derivedof RAUM
- Institutional
- 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 25.3derived370 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -8.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Wrap fee program
- $902BreportedItem 5.I
- Custody
- $929B, 1,155,333 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- the adviser acts as qualified custodian (9.D.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$715B78%
- Corporations and businesses$94B10%
- Individuals$47B5.2%
- Pension and profit-sharing plans$26B2.9%
- Charitable organizations$21B2.4%
- State and municipal entities$4.3B0.5%
- Insurance companies$1.4B0.2%
- Sovereign wealth funds$399M0.0%
- Pooled investment vehicles$71.3M0.0%
- Banks and thrifts$59.3M0.0%
- Individual clients
- 244,284reported
- HNW clients
- 853,775reported
- Pension plan clients
- 9,843reported
- Charitable clients
- 8,053reported
- Accounts
- 1,144,309reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- $303B sponsored, $0 managedreported
- Custody of client assets
- $929B for 1,155,333 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- curated wirehouse listderived
Advisors registered through the firm
9,330 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H Glenn Garvin Jr. | New Smyrna Beach, Fl | Aug 23, 1983 | 47 y | 0 |
| Myron Humphrey Bond | Dallas, Tx | Aug 23, 1983 | 57 y | 0 |
| Reese B Lockett Jr. | Houston, Tx | Aug 23, 1983 | 61 y | 0 |
| Gary L Smith | Mckinney , Tx | Aug 23, 1983 | 46 y | 0 |
| Allen James DoggerCertified Financial Planner | Dallas, Tx | Aug 23, 1983 | 52 y | 0 |
| Charles Frederick Hutson | Jackson, Wy | Aug 23, 1983 | 45 y | 0 |
| Howell Davis Harralson | Dallas, Tx | Feb 25, 1985 | 47 y | 0 |
| David Tower Everts | Wellesley, Ma | Jul 31, 1985 | 42 y | 0 |
| Glenn Allen Mosier | La Jolla, Ca | Dec 9, 1985 | 43 y | 0 |
| Marc Lewis Foster | Newport Beach, Ca | Jul 7, 1986 | 47 y | 0 |
| Michael Joseph Picco | Plano, Tx | Aug 22, 1986 | 40 y | 0 |
| David Brian Franken | Tequesta, Fl | Sep 10, 1986 | 40 y | 0 |
| David Eugene Walker | Winter Park, Fl | Sep 10, 1986 | 45 y | 0 |
| J Thomas Smith | Palm Beach Gdns, Fl | Sep 10, 1986 | 59 y | 0 |
| Sheri H Rubin | Ft. Lauderdale, Fl | Sep 10, 1986 | 41 y | 0 |
| Donna Marie MillerCertified Financial Planner | West Palm Beach, Fl | Sep 10, 1986 | 46 y | 0 |
| Dale Louis Emerick | Mars Hill, Nc | Sep 10, 1986 | 46 y | 0 |
| Susan Weidenkopf Watts | Fort Myers, Fl | Mar 12, 1987 | 41 y | 0 |
| Kelly S Lane | Forney, Tx | Jul 6, 1987 | 43 y | 0 |
| Barry Michael Haffner | Washington, Dc | Aug 11, 1987 | 40 y | 0 |
| Charles L Verner | Pomopano Beach, Fl | Aug 12, 1987 | 42 y | 0 |
| Bruce Edward Pratt | Plano, Tx | Nov 16, 1987 | 46 y | 0 |
| Peter Burgess Ford | Vero Beach, Fl | Feb 10, 1988 | 39 y | 0 |
| Jonathan Bradley Awad | W Ponte Vedra Beach, Fl | Apr 28, 1988 | 38 y | 0 |
| Kathleen Jane Reilley | East Patchogue, Ny | Jun 22, 1988 | 44 y | 0 |
| Bruce Alfred Neal | Sunny Isles, Fl | Sep 26, 1988 | 38 y | 0 |
| John Thomas Petika | Clearwater, Fl | Oct 26, 1988 | 38 y | 0 |
| Stephen Dennis Arkwright | Birmingham, Mi | Jan 12, 1989 | 41 y | 0 |
| Marc Ronald Green | New York, Ny | Jan 23, 1989 | 47 y | 0 |
| Kenneth David Horwitz | Bremerton, Wa | Mar 3, 1989 | 39 y | 0 |
| Christopher L Lewis Derr | Tulsa, Ok | Apr 3, 1989 | 42 y | 0 |
| Evans E Connelly Jr. | Milltown, Wi | May 8, 1989 | 38 y | 0 |
| Emanuel Matthew Mains | Norcross, Ga | Jul 17, 1989 | 39 y | 0 |
| James C. Spooner | Storm Lake, Ia | Oct 30, 1989 | 40 y | 0 |
| Gregory Golding | Park City, Ut | Dec 7, 1989 | 36 y | 0 |
| Dino John Ragazzo | Jacksonville, Fl | Jan 2, 1990 | 42 y | 0 |
| Ann Fucile Maile | Rochester, Mi | Jan 12, 1990 | 46 y | 0 |
| Scott Alan Vehslage | Addison, Tx | Jan 23, 1990 | 37 y | 0 |
| Andrew D Burish | Madison, Wi | Jul 26, 1990 | 43 y | 0 |
| James F FasiCertified Financial Planner | Hartford, Ct | Aug 28, 1990 | 51 y | 0 |
Advisor movement
628 left, 293 joined in 12 months
net -335 in 12 months134 left in 90 days72 joined in 90 daysdeparture rate 6.7% of current headcount1,639 left over 36 months
Left, latest
- Patricia Anne Blair to Wedbush Securities Inc.Sep 15, 2026 · Wirehouse to affiliated broker-dealer or bank
- James Dee Carlson to Wedbush Securities Inc.Sep 15, 2026 · Wirehouse to affiliated broker-dealer or bank
- Stephanie Wai Yi Wong to Raymond James & Associates, Inc.Sep 15, 2026 · Wirehouse to affiliated broker-dealer or bank
- Sherry Phillips Malone to Wedbush Securities Inc.Sep 15, 2026 · Wirehouse to affiliated broker-dealer or bank
- Kevin Emmett Herron to Wedbush Securities Inc.Sep 15, 2026 · Wirehouse to affiliated broker-dealer or bank
- Zachary Joseph Ventrice to Cresset Asset Management, LLCSep 15, 2026 · Wirehouse to independent RIA
- Amanda Rose Gordon to Cresset Asset Management, LLCSep 14, 2026 · Wirehouse to independent RIA
- Jason Stephen Cheu to Raymond James & Associates, Inc.Sep 11, 2026 · Wirehouse to affiliated broker-dealer or bank
- Martin C Labowicz to Pnc Wealth ManagementSep 11, 2026 · Wirehouse to affiliated broker-dealer or bank
- John Ramsdell Lucas to Raymond James & Associates, Inc.Sep 11, 2026 · Wirehouse to affiliated broker-dealer or bank
- Jason Martin Schlesinger to Raymond James & Associates, Inc.Sep 11, 2026 · Wirehouse to affiliated broker-dealer or bank
- Yan Ye to J.P. Morgan Securities LLCSep 10, 2026 · Wirehouse to wirehouse
- Andrea Giulio Item to Cresset Asset Management, LLCSep 9, 2026 · Wirehouse to independent RIA
- Gabriel Vides to Voya Financial Advisors, Inc.Sep 7, 2026 · Wirehouse to affiliated broker-dealer or bank
- Sarah Danielle Ponczek to Cresset Asset Management, LLCSep 4, 2026 · Wirehouse to independent RIA
Joined, latest
- Ava P Doney from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · Wirehouse to wirehouse
- Kevin M Higgins from LPL Financial LLCSep 15, 2026 · Affiliated broker-dealer or bank to wirehouse
- Maria Fatima Nicole Victoria from Morgan StanleySep 10, 2026 · Wirehouse to wirehouse
- Jinjin Zhang from J.P. Morgan Securities LLCSep 8, 2026 · Wirehouse to wirehouse
- Craig Eliot Cisney from Morgan StanleySep 4, 2026 · Wirehouse to wirehouse
- Calvin Boyd Mason from Morgan StanleySep 4, 2026 · Wirehouse to wirehouse
- Aaron Lee Marshall-Spitzbart from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 4, 2026 · Wirehouse to wirehouse
- Gerald Horn from Morgan StanleySep 4, 2026 · Wirehouse to wirehouse
- Edward Lupo from Citigroup Global Markets Inc.Sep 4, 2026 · Affiliated broker-dealer or bank to wirehouse
- Richard Edward Horn from Morgan StanleySep 4, 2026 · Wirehouse to wirehouse
- John Robert Hall from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 4, 2026 · Wirehouse to wirehouse
- Caitlin E Alcon from Morgan StanleySep 4, 2026 · Wirehouse to wirehouse
- Michael Mildrum from Ameriprise Financial Services, LLCSep 1, 2026 · Affiliated broker-dealer or bank to wirehouse
- Sean Kilmurray from Ameriprise Financial Services, LLCAug 31, 2026 · Affiliated broker-dealer or bank to wirehouse
- Carter Damm from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 31, 2026 · Wirehouse to wirehouse
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Wedbush Securities Inc.Sep 15, 2026 · Greensboro, Nc
- 3 left for Raymond James & Associates, Inc.Sep 11, 2026 · Mill Valley, Ca
- 12 left for Cresset Asset Management, LLCSep 3, 2026 · Boca Raton, Fl
- 2 left for Raymond James & Associates, Inc.Aug 27, 2026 · Pepper Pike, Oh
- 2 left for Raymond James & Associates, Inc.Aug 25, 2026 · Livonia, Mi
- 3 left for Morgan StanleyAug 11, 2026 · Indianapolis, In
- 4 left for RBC Capital Markets, LLCAug 6, 2026 · Palm Beach Gardens, Fl
- 2 left for Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 3, 2026 · Weehawken, Nj
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 14, 2026 · Bellevue, Wa
- 2 joined from Morgan StanleySep 9, 2026 · Bethesda, Md
- 3 joined from Morgan StanleySep 9, 2026 · Pueblo, Co
- 2 joined from Ameriprise Financial Services, LLCSep 1, 2026 · Fairfield, Ct
- 3 joined from Morgan StanleyAug 12, 2026 · Cincinnati, Oh
- 2 joined from Morgan StanleyJul 16, 2026 · Jericho, Ny
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 23, 2026 · New York, Ny
- 3 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 23, 2026 · Nashville, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jason Richard Chandler · Presidentcontrolsince 01/2019 · owns less than 5%
- Naureen Fatima Hassan · Chairmancontrolsince 10/2022 · owns less than 5%
- Joseph Somma · Principal Operations Officercontrolsince 05/2019 · owns less than 5%
- Lisa M. Francomano · Chief Compliance Officer For The Advisory Businesssince 10/2006 · owns less than 5%
- Ralph Mattone · Principal Financial Officersince 07/2019 · owns less than 5%
- Lauren Munfa · Chief Compliance Officersince 02/2023 · owns less than 5%
- Kiye Sakai · General Counselsince 12/2022 · owns less than 5%
- Mark Wilson Sanborn · Managing Directorsince 11/2017 · owns less than 5%
Entity owners
- UBS Americas Inc. · Ownerdirect · owns 75% or more
- UBS Ag · Shareholderindirect · owns 75% or more of UBS Americas Holding LLC · public reporting company
- UBS Americas Holding LLC · Shareholderindirect · owns 75% or more of UBS Americas Inc.
- UBS Group Ag · Shareholderindirect · owns 75% or more of UBS Ag · public reporting company
Related persons
Schedule D 7.A
- UBS Agbroker-dealerinvestment adviserpooled vehicle sponsorCPO or CTAy
- UBS Asset Management (Americas) LLCbroker-dealerinvestment advisernRAUM $588B
- UBS Bank USAn
- UBS Financial Services Insurance Agency Inc.real estatey
- UBS Hedge Fund Solutionsinvestment adviserpooled vehicle sponsornRAUM $39B
- UBS Oconnor LLCinvestment advisernRAUM $14B
- UBS Securities LLCbroker-dealerinvestment advisern
- UBS Trust Company Of Puerto Ricon
Advisers that list UBS Financial Services Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny | 1,266 | 107 | 30 | 2 | |
| Weehawken, Nj · principal | 1,014 | 258 | 52 | 7 | |
| San Francisco, Ca | 272 | 31 | 7 | ||
| Houston, Tx | 240 | 18 | 6 | 1 | |
| Cincinnati, Oh | 225 | 12 | 2 | ||
| Boston, Ma | 221 | 21 | 5 | 1 | |
| Miami, Fl | 219 | 20 | 9 | 2 | |
| Chicago, Il | 217 | 15 | 13 | 1 | |
| Los Angeles, Ca | 194 | 24 | 6 | 1 | |
| Charlotte, Nc | 184 | 35 | 22 | ||
| Coral Gables, Fl | 179 | 21 | 5 | ||
| Denver, Co | 176 | 15 | 3 | ||
| San Diego, Ca | 166 | 4 | 1 | ||
| Dallas, Tx | 162 | 18 | 16 | 2 | |
| Atlanta, Ga | 159 | 9 | 13 | 2 | |
| Washington, Dc | 151 | 24 | 5 | 1 | |
| Birmingham, Mi | 142 | 3 | 1 | ||
| Nashville, Tn | 120 | 21 | 3 | ||
| Seattle, Wa | 103 | 9 | 2 | ||
| Newport Beach, Ca | 95 | 6 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY344 employees
- Boston, MA187 employees
- Cincinnati, OH171 employees
- Chicago, IL154 employees
- Atlanta, GA148 employees
- New York, NY131 employees
- New York, NY118 employees
- New York, NY117 employees
- San Francisco, CA114 employees
- Coral Gables, FL113 employees
- Washington, DC113 employees
- Seattle, WA109 employees
- New York, NY104 employees
- New York, NY97 employees
- Houston, TX92 employees
- Newport Beach, CA89 employees
- Dallas, TX87 employees
- Beverly Hills, CA87 employees
- Minneapolis, MN86 employees
- Birmingham, MI86 employees
- Miami, FL79 employees
- Century City, CA78 employees
- Austin, TX72 employees
- Hartford, CT71 employees
- Atlanta, GA69 employees
What changed
consecutive filings, newest first
- Accounts · 1,134,923 to 1,144,309Jan 16, 2026 to Mar 31, 2026
- Advisory employees · 9,944 to 9,149Jan 16, 2026 to Mar 31, 2026
- BD registered reps · 11,221 to 10,948Jan 16, 2026 to Mar 31, 2026
- Charity clients · 7,450 to 8,053Jan 16, 2026 to Mar 31, 2026
- Corporate clients · 27,225 to 27,490Jan 16, 2026 to Mar 31, 2026
- HNW clients · 818,219 to 853,775Jan 16, 2026 to Mar 31, 2026
- Individual clients · 269,832 to 244,284Jan 16, 2026 to Mar 31, 2026
- Pension plan clients · 10,753 to 9,843Jan 16, 2026 to Mar 31, 2026
- Pooled vehicle clients · 32 to 24Jan 16, 2026 to Mar 31, 2026
- Assets in custody · $828B to $929BJan 16, 2026 to Mar 31, 2026
- Employees · 12,629 to 12,524Jan 16, 2026 to Mar 31, 2026
- State-registered IARs · 9,944 to 9,149Jan 16, 2026 to Mar 31, 2026
- Discretionary RAUM · $357B to $403BJan 16, 2026 to Mar 31, 2026
- HNW RAUM · $630B to $715BJan 16, 2026 to Mar 31, 2026
- Individual RAUM · $49B to $47BJan 16, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $452B to $513BJan 16, 2026 to Mar 31, 2026
- Pension RAUM · $22B to $26BJan 16, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $89.4M to $71.3MJan 16, 2026 to Mar 31, 2026
- RAUM · $809B to $916BJan 16, 2026 to Mar 31, 2026
- Wrap assets (sponsor) · $263B to $303BJan 16, 2026 to Mar 31, 2026
- Accounts · 1,093,486 to 1,134,923Dec 5, 2024 to Apr 1, 2025
- Advisory employees · 9,213 to 9,944Dec 5, 2024 to Apr 1, 2025
- BD registered reps · 11,070 to 11,221Dec 5, 2024 to Apr 1, 2025
- Charity clients · 7,158 to 7,450Dec 5, 2024 to Apr 1, 2025
- Corporate clients · 25,909 to 27,225Dec 5, 2024 to Apr 1, 2025
- HNW clients · 738,112 to 818,219Dec 5, 2024 to Apr 1, 2025
- Individual clients · 307,630 to 269,832Dec 5, 2024 to Apr 1, 2025
- Pension plan clients · 10,756 to 10,753Dec 5, 2024 to Apr 1, 2025
- Pooled vehicle clients · 57 to 32Dec 5, 2024 to Apr 1, 2025
- Assets in custody · $720B to $828BDec 5, 2024 to Apr 1, 2025
- Employees · 12,701 to 12,629Dec 5, 2024 to Apr 1, 2025
- Financial planning clients · More than 500 to More than 500Dec 5, 2024 to Apr 1, 2025
- State-registered IARs · 9,213 to 9,944Dec 5, 2024 to Apr 1, 2025
- Discretionary RAUM · $317B to $357BDec 5, 2024 to Apr 1, 2025
- HNW RAUM · $528B to $630BDec 5, 2024 to Apr 1, 2025
- Individual RAUM · $55B to $49BDec 5, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $385B to $452BDec 5, 2024 to Apr 1, 2025
- Pension RAUM · $23B to $22BDec 5, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $128M to $89.4MDec 5, 2024 to Apr 1, 2025
- RAUM · $702B to $809BDec 5, 2024 to Apr 1, 2025
Signals
60 dated events
- Ava P Doney registered as an investment adviser representative at Ubs Financial Services Inc.Sep 16, 2026 · Advisor registered · fact
- Kathleen L Burton no longer holds an investment adviser registration (last listed at Ubs Financial Services Inc. on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Patricia Rose Callahan-Shular no longer holds an investment adviser registration (last listed at Ubs Financial Services Inc. on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Felipe Siqueira Faulin no longer holds an investment adviser registration (last listed at Ubs Financial Services Inc. on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Johnpatrick Ryan Leahy no longer holds an investment adviser registration (last listed at Ubs Financial Services Inc. on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Sophie Katherine Divino registered as an investment adviser representative at Ubs Financial Services Inc.Sep 15, 2026 · Advisor registered · fact
- Ray Marshall Evans registered as an investment adviser representative at Ubs Financial Services Inc.Sep 15, 2026 · Advisor registered · fact
- Kevin M Higgins registered as an investment adviser representative at Ubs Financial Services Inc.Sep 15, 2026 · Advisor registered · fact
- Morgan Marie Duett registered as an investment adviser representative at Ubs Financial Services Inc.Sep 15, 2026 · Advisor registered · fact
- Griffin Matthew Phares registered as an investment adviser representative at Ubs Financial Services Inc.Sep 15, 2026 · Advisor registered · fact
- Paige Vieira registered as an investment adviser representative at Ubs Financial Services Inc.Sep 15, 2026 · Advisor registered · fact
- Stephanie Wai Yi Wong left UBS Financial Services Inc. for Raymond James & Associates, Inc. (registered 2026-09-03)Sep 15, 2026 · Advisor changed firm · fact
- Sherry Phillips Malone left UBS Financial Services Inc. for Wedbush Securities Inc. (registered 2026-09-10)Sep 15, 2026 · Advisor changed firm · fact
- Kevin Emmett Herron left UBS Financial Services Inc. for Wedbush Securities Inc. (registered 2026-09-04)Sep 15, 2026 · Advisor changed firm · fact
- Zachary Joseph Ventrice left UBS Financial Services Inc. for Cresset Asset Management, LLC (registered 2026-09-03)Sep 15, 2026 · Advisor changed firm · fact
- Patricia Anne Blair left UBS Financial Services Inc. for Wedbush Securities Inc. (registered 2026-09-04)Sep 15, 2026 · Advisor changed firm · fact
- James Dee Carlson left UBS Financial Services Inc. for Wedbush Securities Inc. (registered 2026-09-04)Sep 15, 2026 · Advisor changed firm · fact
- 4 advisors left UBS Financial Services Inc. (Greensboro, NC) for Wedbush Securities Inc. on the same daySep 15, 2026 · Team lift-out · derived
- Emilee L Knudson no longer holds an investment adviser registration (last listed at Ubs Financial Services Inc. on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Yiting Wang no longer holds an investment adviser registration (last listed at Ubs Financial Services Inc. on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Christopher Finley Davis registered as an investment adviser representative at Ubs Financial Services Inc.Sep 14, 2026 · Advisor registered · fact
- David Rzeslawski registered as an investment adviser representative at Ubs Financial Services Inc.Sep 14, 2026 · Advisor registered · fact
- Joel Thomas Shaner added a TX registration at Ubs Financial Services Inc.Sep 14, 2026 · New state registration · fact
- Amanda Rose Gordon left UBS Financial Services Inc. for Cresset Asset Management, LLC (registered 2026-09-08)Sep 14, 2026 · Advisor changed firm · fact
- 2 advisors left Merrill Lynch, Pierce, Fenner & Smith Incorporated (Bellevue, WA) for UBS Financial Services Inc. on the same daySep 14, 2026 · Team lift-out · derived
- Jason Martin Schlesinger left Ubs Financial Services Inc. for Raymond James & Associates, Inc. (registered 2026-09-03)Sep 11, 2026 · Advisor changed firm · fact
- Jason Stephen Cheu left Ubs Financial Services Inc. for Raymond James & Associates, Inc. (registered 2026-09-03)Sep 11, 2026 · Advisor changed firm · fact
- John Ramsdell Lucas left Ubs Financial Services Inc. for Raymond James & Associates, Inc. (registered 2026-09-03)Sep 11, 2026 · Advisor changed firm · fact
- Martin C Labowicz left Ubs Financial Services Inc. for Pnc Wealth Management (registered 2026-09-04)Sep 11, 2026 · Advisor changed firm · fact
- 3 advisors left UBS Financial Services Inc. (Mill Valley, CA) for Raymond James & Associates, Inc. on the same daySep 11, 2026 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
- UBS FINANCIAL SERVICES INC. · Independent Sponsorsshared crd · intermediary
- UBS Financial Services Inc. · Private Equityshared crd · intermediary
- UBS Financial Services Inc. · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Website
- instragram.com/ubstrendingreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 201-352-3000reportedpublic record, Form ADV, Aug 25, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wirehousederiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $98.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
UBS Financial Services Inc. is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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