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.
Advisor moves
Departures from UBS Financial Services Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Patricia Anne Blair | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 4, 2026 |
| James Dee Carlson | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 4, 2026 |
| Stephanie Wai Yi Wong | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 3, 2026 |
| Sherry Phillips Malone | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 10, 2026 |
| Kevin Emmett Herron | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 4, 2026 |
| Zachary Joseph Ventrice | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 15, 2026 | Sep 3, 2026 |
| Amanda Rose Gordon | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 14, 2026 | Sep 8, 2026 |
| John Ramsdell Lucas | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Sep 11, 2026 | Sep 3, 2026 |
| Jason Martin Schlesinger | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Sep 11, 2026 | Sep 3, 2026 |
| Jason Stephen Cheu | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Sep 11, 2026 | Sep 3, 2026 |
| Martin C Labowicz | UBS Financial Services Inc. wirehouse | Pnc Wealth Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 11, 2026 | Sep 4, 2026 |
| Yan Ye | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Sep 10, 2026 | Sep 16, 2026 |
| Andrea Giulio Item | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 9, 2026 | Aug 26, 2026 |
| Gabriel Vides | UBS Financial Services Inc. wirehouse | Voya Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 7, 2026 | Aug 4, 2026 |
| Michael Sean Macdonald | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 4, 2026 | Aug 25, 2026 |
| William Stuart Marino | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 4, 2026 | Aug 25, 2026 |
| Christopher Lala | UBS Financial Services Inc. wirehouse | Charles Schwab & Co., Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Sep 4, 2026 | Sep 14, 2026 |
| Sarah Danielle Ponczek | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 4, 2026 | Aug 25, 2026 |
| David Samuel Marshall | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Sep 4, 2026 | Sep 10, 2026 |
| Michael Allen Bober | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 3, 2026 | Aug 25, 2026 |
| Ettore D Ventrice | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 3, 2026 | Aug 26, 2026 |
| Alexandre Martins Santos | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 3, 2026 | Aug 26, 2026 |
| Evan Lee Blake | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 3, 2026 | Aug 27, 2026 |
| Veronica Martinez | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 3, 2026 | Sep 4, 2026 |
| Christine S Sloboth | UBS Financial Services Inc. wirehouse | Cresset Asset Management, LLC independent RIA | Wirehouse to independent RIA | Sep 3, 2026 | Aug 26, 2026 |
| John Michael Hatton | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Sep 3, 2026 | Sep 1, 2026 |
| Stephen Earl Wagner | UBS Financial Services Inc. wirehouse | Mariner BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2026 | Aug 25, 2026 |
| Joseph Ralph Licate | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Aug 27, 2026 | Aug 19, 2026 |
| John Thomas Egan | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Aug 27, 2026 | Aug 19, 2026 |
| Deborah G Dilloway | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Aug 25, 2026 | Aug 7, 2026 |
| Colin Makram Talia | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Aug 25, 2026 | Jul 31, 2026 |
| Ian Matthew Myers | UBS Financial Services Inc. wirehouse | Rca Wealth Strategies LLC state registered | Wirehouse to a state-registered adviser | Aug 24, 2026 | Aug 27, 2026 |
| Mark Roberto Leander | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 21, 2026 | Sep 15, 2026 |
| Michael Capparelli | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Aug 20, 2026 | Aug 27, 2026 |
| Jose Antonio Garcia | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Aug 20, 2026 | Aug 20, 2026 |
| Bruce Geoffrey Wain | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 19, 2026 | Aug 21, 2026 |
| Michael Eugene Smith | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Aug 18, 2026 | Aug 21, 2026 |
| Cedric Mcclain | UBS Financial Services Inc. wirehouse | Cliftonlarsonallen Wealth Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 18, 2026 | Aug 18, 2026 |
| Elizabeth Wilder | UBS Financial Services Inc. wirehouse | Heirloom Wealth Management LLC independent RIA | Wirehouse to independent RIA | Aug 17, 2026 | Aug 19, 2026 |
| Nour S Jaber | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 17, 2026 | Aug 13, 2026 |
| Arthur Oien | UBS Financial Services Inc. wirehouse | UBS Asset Management (Americas) LLC mixed wealth | Wirehouse to independent RIA | Aug 17, 2026 | Aug 17, 2026 |
| James Everett Abernethy | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Aug 14, 2026 | Aug 14, 2026 |
| Andrea Juliana Freiman | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Aug 14, 2026 | Aug 21, 2026 |
| Jeffrey Michael Isaac | UBS Financial Services Inc. wirehouse | Transamerica Retirement Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 13, 2026 | Aug 14, 2026 |
| John Paul Szabo | UBS Financial Services Inc. wirehouse | Schwab Wealth Advisory, Inc. no RAUM | Other | Aug 13, 2026 | Sep 1, 2026 |
| James Obrien | UBS Financial Services Inc. wirehouse | Neuberger Berman Bd LLC no RAUM | Other | Aug 13, 2026 | Aug 17, 2026 |
| Teal Madison Schoonover | UBS Financial Services Inc. wirehouse | Cwm, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 12, 2026 | Aug 25, 2026 |
| Makram N Talia | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Aug 12, 2026 | Jul 31, 2026 |
| Marybeth Walker | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Aug 11, 2026 | Aug 3, 2026 |
| Nicole Wesley | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Aug 11, 2026 | Aug 3, 2026 |
| Tiffany Stewart | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Aug 11, 2026 | Aug 4, 2026 |
| Kyle Zachmann | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Aug 11, 2026 | Aug 3, 2026 |
| Maureen Lenore Patterson | UBS Financial Services Inc. wirehouse | Robert W. Baird & Co. Incorporated mixed wealth | Wirehouse to independent RIA | Aug 10, 2026 | Aug 11, 2026 |
| William David Osman | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Aug 7, 2026 | Aug 14, 2026 |
| Bradford Jones | UBS Financial Services Inc. wirehouse | Charles Schwab & Co., Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Aug 7, 2026 | Aug 10, 2026 |
| Peter H Foley | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Aug 6, 2026 | Jul 30, 2026 |
| Lori Dejesus | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Aug 6, 2026 | Jul 30, 2026 |
| James Harold Mahoney | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Aug 6, 2026 | Jul 29, 2026 |
| Justin D Warzala | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Aug 6, 2026 | Jul 29, 2026 |
| William Stephen Garrett | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Aug 6, 2026 | Jul 30, 2026 |
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11,753 moves match.