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 |
|---|---|---|---|---|---|
| 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 |
| Kerry Schwarcz | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Aug 3, 2026 | Aug 10, 2026 |
| Ethan Michael Kelly | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Aug 3, 2026 | Aug 17, 2026 |
| Nicholas Vincent Azzopardi | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Aug 3, 2026 | Aug 18, 2026 |
| John William Joyce | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Aug 3, 2026 | Aug 26, 2026 |
| Declan Robert Connolly | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Aug 3, 2026 | Aug 13, 2026 |
| Philip Austin Jordan | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Jul 31, 2026 | Jul 24, 2026 |
| Frederick Spagnola | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Jul 30, 2026 | Jul 22, 2026 |
| Robert Benjamin Perlman | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 30, 2026 | Jul 23, 2026 |
| Jon Charles Vallaro | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Jul 30, 2026 | Jul 22, 2026 |
| Ernest Alexander Osle | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 30, 2026 | Jul 22, 2026 |
| Chad J Torelli | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 30, 2026 | Jul 22, 2026 |
| Nathan James Matthews | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Jul 30, 2026 | Jul 22, 2026 |
| Ben Nelson | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Jul 27, 2026 | Aug 10, 2026 |
| Cale William Doda | UBS Financial Services Inc. wirehouse | Modern Wealth Management, LLC independent RIA | Wirehouse to independent RIA | Jul 24, 2026 | Jul 10, 2026 |
| Benjamin C Pieper | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Jul 24, 2026 | Aug 7, 2026 |
| John Jairo Zuluaga Romero | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Jul 24, 2026 | Jul 23, 2026 |
| Christopher Bradley Sweesy | UBS Financial Services Inc. wirehouse | LPL Enterprise, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 23, 2026 | Jul 6, 2026 |
| Meagan Christina Calvert | UBS Financial Services Inc. wirehouse | Stonex Advisors Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 22, 2026 | Aug 4, 2026 |
| Dylan Michael Snyder | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Jul 21, 2026 | Aug 7, 2026 |
| Nadine Ibrahim | UBS Financial Services Inc. wirehouse | D.A. Davidson & Co. independent RIA | Wirehouse to independent RIA | Jul 21, 2026 | Jul 7, 2026 |
| Elmira Lavi | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Jul 20, 2026 | Aug 12, 2026 |
| Daniel Frank Rinaldi | UBS Financial Services Inc. wirehouse | Blackrock Investment Management, LLC asset manager | Other | Jul 20, 2026 | Jul 15, 2026 |
| Lauren Renee Lacourse | UBS Financial Services Inc. wirehouse | Stifel, Nicolaus & Company, Incorporated national BD | Wirehouse to affiliated broker-dealer or bank | Jul 20, 2026 | Jul 13, 2026 |
| Michael Hallam Gourd | UBS Financial Services Inc. wirehouse | Citigroup Global Markets Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 17, 2026 | Jul 7, 2026 |
| Kimberly Ann Blaes | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Jul 17, 2026 | Jul 30, 2026 |
| Arnold Lawrence Hochstadt | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Jul 16, 2026 | Jul 8, 2026 |
| Indira Lowe | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Jul 16, 2026 | Jul 8, 2026 |
| Philip John Pellegrino | UBS Financial Services Inc. wirehouse | Citigroup Global Markets Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 16, 2026 | Jul 14, 2026 |
| Tracy Anton | UBS Financial Services Inc. wirehouse | Steward Partners Investment Advisory, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 15, 2026 | Jun 30, 2026 |
| James Arthur Nichols | UBS Financial Services Inc. wirehouse | New Edge Wealth BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 15, 2026 | Jun 12, 2026 |
| Bonnie Bravo | UBS Financial Services Inc. wirehouse | &Partners independent RIA | Wirehouse to independent RIA | Jul 15, 2026 | Jul 8, 2026 |
| Naveed Lalani | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Jul 15, 2026 | Sep 3, 2026 (50 d) |
| Matthew Gwizdz | UBS Financial Services Inc. wirehouse | Compound Planning, Inc. independent RIA | Wirehouse to independent RIA | Jul 15, 2026 | May 14, 2026 |
| Matthew D Hirshberg | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jul 15, 2026 | Jul 1, 2026 |
| Andrew Kausteklis | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Jul 14, 2026 | Jul 24, 2026 |
| Nathan Joy | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Jul 14, 2026 | Jul 29, 2026 |
| Vivian Jun Lu | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Jul 13, 2026 | Aug 5, 2026 |
| Ernesto Jose Angueira | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Jul 13, 2026 | Jul 14, 2026 |
| Christopher Michael Bostick | UBS Financial Services Inc. wirehouse | Steward Partners Investment Advisory, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 13, 2026 | Jun 5, 2026 |
| Marcus Braun | UBS Financial Services Inc. wirehouse | Lido independent RIA | Wirehouse to independent RIA | Jul 13, 2026 | Jul 1, 2026 |
| Justin William Smith | UBS Financial Services Inc. wirehouse | Goldman Sachs Wealth Services, L.P. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 13, 2026 | Jul 14, 2026 |
| Hina Khan Class | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jul 9, 2026 | Jun 16, 2026 |
| Tunde Nagy | UBS Financial Services Inc. wirehouse | Edward Jones national BD | Wirehouse to affiliated broker-dealer or bank | Jul 9, 2026 | Jul 22, 2026 |
| Andrea Lynn Cording | UBS Financial Services Inc. wirehouse | Elevation Point Wealth Partners, LLC independent RIA | Wirehouse to independent RIA | Jul 9, 2026 | Jul 1, 2026 |
| Diana Gabriela Meyers | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jul 9, 2026 | Jul 13, 2026 |
| Cosmo Charles Hahn | UBS Financial Services Inc. wirehouse | Abacus Wealth Partners independent RIA | Wirehouse to independent RIA | Jul 9, 2026 | Jul 10, 2026 |
| Lawrence Alan Fann | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jul 8, 2026 | Jul 1, 2026 |
| Leslie Bruce | UBS Financial Services Inc. wirehouse | Neuberger Berman Bd LLC no RAUM | Other | Jul 7, 2026 | Jun 23, 2026 |
| Ryan Conant | UBS Financial Services Inc. wirehouse | Integrated Wealth Concepts LLC independent RIA | Wirehouse to independent RIA | Jul 7, 2026 | Jul 16, 2026 |
| Jacob Lublow | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 6, 2026 | Jul 21, 2026 |
| Anthony James Blessing | UBS Financial Services Inc. wirehouse | Dimensional Fund Advisors LP asset manager | Other | Jul 6, 2026 | Jul 7, 2026 |
| Lisa M Paczkowski | UBS Financial Services Inc. wirehouse | Cerity Partners LLC independent RIA | Wirehouse to independent RIA | Jul 3, 2026 | Jun 22, 2026 |
| Peter Yong Choy | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Jul 3, 2026 | Jun 25, 2026 |
| Holly Leanne Adams | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Jul 3, 2026 | Jun 25, 2026 |
| Weston Zierer | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Jul 3, 2026 | Jun 25, 2026 |
| Douglas John Fischer | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Jul 3, 2026 | Aug 3, 2026 (31 d) |
| Christopher Albanese | UBS Financial Services Inc. wirehouse | Charles Schwab & Co., Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Jul 2, 2026 | Jun 24, 2026 |
| Daniel Merithew Allen | UBS Financial Services Inc. wirehouse | Kovack Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 1, 2026 | Jun 22, 2026 |
11,755 moves match.