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 |
|---|---|---|---|---|---|
| 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 |
| Michael Yosef Resler Hammer | UBS Financial Services Inc. wirehouse | Citigroup Global Markets Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 1, 2026 | Jun 2, 2026 |
| Daylen Reyes | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Jul 1, 2026 | Jun 26, 2026 |
| Steven Gold | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Jun 30, 2026 | Jun 19, 2026 |
| Thomas Duggan | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Jun 30, 2026 | Jun 19, 2026 |
| Danisbel Conesa | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Jun 30, 2026 | Jun 19, 2026 |
| Kierstyn Abreu | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Jun 30, 2026 | Jun 18, 2026 |
| Thomas M Massey | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Jun 25, 2026 | Jun 16, 2026 |
| Kirk Knudsen | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Jun 25, 2026 | Jun 16, 2026 |
| Michelle Lynn Herman | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Jun 25, 2026 | Jun 16, 2026 |
| Heather Yasmeen Michail | UBS Financial Services Inc. wirehouse | Freestone Capital Management, LLC independent RIA | Wirehouse to independent RIA | Jun 25, 2026 | Jul 8, 2026 |
| Lyndsey D Fern | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Jun 25, 2026 | Jun 16, 2026 |
| Erin Thomas | UBS Financial Services Inc. wirehouse | New Edge Wealth BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 23, 2026 | Jun 12, 2026 |
| Greg Robert Day | UBS Financial Services Inc. wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 22, 2026 | Jun 11, 2026 |
| Carroll Edward Mullis | UBS Financial Services Inc. wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 22, 2026 | Jun 11, 2026 |
| Cole Alexander Paschal | UBS Financial Services Inc. wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 22, 2026 | Jun 12, 2026 |
| Juliette Andie Maloberti | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jun 22, 2026 | Jul 14, 2026 |
| Daniel John Zacharias | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 18, 2026 | Jun 9, 2026 |
| Pedro Farid Quintanilla-Dieck | UBS Financial Services Inc. wirehouse | Lord, Abbett & Co. LLC asset manager | Other | Jun 18, 2026 | Jul 27, 2026 (39 d) |
| David Haas Jasper | UBS Financial Services Inc. wirehouse | Beacon Coast Partners, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 17, 2026 | Jun 10, 2026 |
| Guarionex Ortiz | UBS Financial Services Inc. wirehouse | &Partners independent RIA | Wirehouse to independent RIA | Jun 17, 2026 | Jun 5, 2026 |
| Michael Howard Evans | UBS Financial Services Inc. wirehouse | Beacon Coast Partners, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 17, 2026 | Jun 10, 2026 |
| Katherine Grace Piersanti | UBS Financial Services Inc. wirehouse | Beacon Coast Partners, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 17, 2026 | Jun 10, 2026 |
| Edward Huang | UBS Financial Services Inc. wirehouse | Beacon Coast Partners, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 17, 2026 | Jun 10, 2026 |
| Mariam Adams | UBS Financial Services Inc. wirehouse | &Partners independent RIA | Wirehouse to independent RIA | Jun 17, 2026 | Jun 5, 2026 |
| Scott Del Zelniker | UBS Financial Services Inc. wirehouse | Steward Partners Investment Advisory, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 16, 2026 | Jun 5, 2026 |
| Peter Michael Dorfman | UBS Financial Services Inc. wirehouse | Steward Partners Investment Advisory, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 16, 2026 | Jun 5, 2026 |
| Jolene F Tepedino | UBS Financial Services Inc. wirehouse | Steward Partners Investment Advisory, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 16, 2026 | Jun 5, 2026 |
| Justin K Leins | UBS Financial Services Inc. wirehouse | Steward Partners Investment Advisory, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 16, 2026 | Jun 5, 2026 |
| Molly Townsend | UBS Financial Services Inc. wirehouse | Steward Partners Investment Advisory, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 16, 2026 | Jun 5, 2026 |
| Ryan Patrick Lynch | UBS Financial Services Inc. wirehouse | Steward Partners Investment Advisory, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 16, 2026 | Jun 5, 2026 |
| Jordan R Zelniker | UBS Financial Services Inc. wirehouse | Steward Partners Investment Advisory, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 16, 2026 | Jun 5, 2026 |
| Nicholas Tejeda | UBS Financial Services Inc. wirehouse | Steward Partners Investment Advisory, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 16, 2026 | Jun 5, 2026 |
| Wolf K Louis | UBS Financial Services Inc. wirehouse | Steward Partners Investment Advisory, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 16, 2026 | Jun 15, 2026 |
| Heather L. Boeck | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Jun 16, 2026 | Jul 2, 2026 |
| Daniel V Marra | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jun 15, 2026 | Jun 8, 2026 |
| Kenneth G Montal | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Jun 12, 2026 | Jun 3, 2026 |
| Peter Quigley Morris | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Jun 12, 2026 | Jun 3, 2026 |
| Scott Weierman | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jun 12, 2026 | Jun 3, 2026 |
| Tonya Rice | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Jun 12, 2026 | Jun 30, 2026 |
| Ice B Liu | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Jun 12, 2026 | Jul 23, 2026 (41 d) |
| Adam E. Pearsall | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Jun 10, 2026 | Jun 1, 2026 |
| Melissa Battiste | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Jun 10, 2026 | Jun 10, 2026 |
| Maximillian Forrest Grascher | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Jun 10, 2026 | Jun 12, 2026 |
| Jordan Scott Windhorst | UBS Financial Services Inc. wirehouse | Edward Jones national BD | Wirehouse to affiliated broker-dealer or bank | Jun 9, 2026 | Jun 24, 2026 |
| Jack Callahan | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Jun 9, 2026 | Jun 5, 2026 |
| Albert Richard Lucci | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Jun 8, 2026 | May 29, 2026 |
| Megan Victoria Montes | UBS Financial Services Inc. wirehouse | Seia BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 8, 2026 | Jun 23, 2026 |
| Grace Quattrucci | UBS Financial Services Inc. wirehouse | Neuberger Berman Bd LLC no RAUM | Other | Jun 8, 2026 | Jun 5, 2026 |
| Michele Girgenti | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Jun 3, 2026 | Jun 2, 2026 |
| Jeffrey T Barrick | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Jun 3, 2026 | Jun 23, 2026 |
| Edward Lee | UBS Financial Services Inc. wirehouse | Private Advisor Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 2, 2026 | Jun 11, 2026 |
| Jack Frederichs Carroll | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Jun 1, 2026 | Jun 9, 2026 |
| Jesse Warshaw | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | May 29, 2026 | Jun 25, 2026 |
| Juan Camilo Villamizar | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | May 26, 2026 | May 1, 2026 |
| Emma Elizabeth Glessner | UBS Financial Services Inc. wirehouse | O'Connor Alternative Investments, LLC asset manager | Other | May 26, 2026 | May 27, 2026 |
| Neil Keyser | UBS Financial Services Inc. wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | May 26, 2026 | Jun 22, 2026 |
| Enrique Rodriguez | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | May 26, 2026 | Jun 15, 2026 |
11,763 moves match.