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
Arrivals at 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 |
|---|---|---|---|---|---|
| Melissa K Tafoya | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 22, 2026 | Jul 28, 2026 (36 d) |
| Thomas J Mullooly | Edward Jones national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 15, 2026 | Jun 12, 2026 |
| Evan Mcgrath | J.P. Morgan Securities LLC wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 9, 2026 | Jun 8, 2026 |
| Alison Elizabeth Miller | Goldman Sachs Wealth Services, L.P. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 9, 2026 | Jun 4, 2026 |
| Matthew Dow Teems | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 8, 2026 | Jun 4, 2026 |
| Cody Ray Flatt | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 4, 2026 | Jun 2, 2026 |
| Steven Hoverson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 4, 2026 | Jun 22, 2026 |
| Dean Fisher | Equitable Advisors, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 4, 2026 | Aug 18, 2026 (75 d) |
| Adam Bruce Link | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 3, 2026 | Jun 2, 2026 |
| Jacob Donald Adams | Ameriprise Financial Services, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 3, 2026 | Jul 1, 2026 |
| Carson Doles | Truist Advisory Services, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 2, 2026 | Jun 22, 2026 |
| Victoria Amber Lieb | Neuberger Berman Bd LLC no RAUM | UBS Financial Services Inc. wirehouse | Other | May 26, 2026 | Jun 8, 2026 |
| Kyle Ashmore | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 25, 2026 | Jun 8, 2026 |
| Anthony Robert Paolini | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 22, 2026 | Jun 5, 2026 |
| Rachel Roanne Gutierrez | Equitable Advisors, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 22, 2026 | May 21, 2026 |
| Colin Michael Mcspedon | Equitable Advisors, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 22, 2026 | Jul 10, 2026 (49 d) |
| Christopher J Drew | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 21, 2026 | May 7, 2026 |
| Michael Anthony Bonomo | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 21, 2026 | May 18, 2026 |
| Semhar Woldeslassie | Wells Fargo Advisors wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 21, 2026 | May 27, 2026 |
| Sydney Rae Marks | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 21, 2026 | May 7, 2026 |
| Matthew Osder | Sand Hill Global Advisors, LLC independent RIA | UBS Financial Services Inc. wirehouse | RIA to wirehouse | May 20, 2026 | May 15, 2026 |
| Jeremy Autry | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 19, 2026 | May 4, 2026 |
| Asif M Bhally | Raymond James & Associates, Inc. national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 19, 2026 | Jun 11, 2026 |
| Jenny Gordon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 19, 2026 | Jun 10, 2026 |
| Maxwell I Goldstein | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 18, 2026 | May 26, 2026 |
| Sheldon Lavell Ray | Raymond James & Associates, Inc. national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 15, 2026 | Jun 15, 2026 (31 d) |
| Juliana Barcellos Herrmann | J.P. Morgan Securities LLC wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 15, 2026 | Aug 28, 2026 (105 d) |
| Elizabeth Ann Knott | LPL Financial LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 15, 2026 | May 14, 2026 |
| John D Phillips | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 13, 2026 | Aug 4, 2026 (83 d) |
| Samuel Glickman | Pnc Wealth Management BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 12, 2026 | Jun 25, 2026 (44 d) |
| Timothy Richard Gold | Wells Fargo Advisors wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 7, 2026 | May 1, 2026 |
| Elena L Mayanja | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 7, 2026 | Jul 9, 2026 (63 d) |
| Harlan Shaw Levinson | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 5, 2026 | May 4, 2026 |
| Louis Felix Vargas | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 5, 2026 | May 4, 2026 |
| Taylor Wan | Wells Fargo Advisors wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | May 4, 2026 | May 6, 2026 |
| Pierce James Blalock | Touchstone Advisors Inc asset manager | UBS Financial Services Inc. wirehouse | Other | May 4, 2026 | Jun 22, 2026 (49 d) |
| Michelle Yuxin Chen | Equitable Advisors, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 30, 2026 | Sep 17, 2026 (140 d) |
| Amy Heald Peeples | LPL Financial LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 29, 2026 | May 14, 2026 |
| Luke Aaron Naes | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Apr 28, 2026 | Apr 29, 2026 |
| Adam Mustafic | Rockefeller Capital Management BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 28, 2026 | Apr 17, 2026 |
| Therese Elizabeth Stanko | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Apr 27, 2026 | May 18, 2026 |
| Christopher William Shaw | Sanctuary Advisors, LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 21, 2026 | Jun 9, 2026 (49 d) |
| Judy M Chen | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Apr 20, 2026 | Apr 17, 2026 |
| Cinthya J Lock | J.P. Morgan Securities LLC wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Apr 20, 2026 | May 14, 2026 |
| Trenton Paul Thelen | U.S. Bancorp Advisors, LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 16, 2026 | Apr 10, 2026 |
| Elan Hiutin | D.A. Davidson & Co. independent RIA | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Apr 9, 2026 | Apr 2, 2026 |
| Kathleen Germain Saba | Principal Advised Services BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 8, 2026 | Jul 30, 2026 (113 d) |
| Liam Robert Sawchuk | Equitable Advisors, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 8, 2026 | Jun 9, 2026 (62 d) |
| Arij Ezz Eldine Chehayeb | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Apr 7, 2026 | Apr 27, 2026 |
| Jarrett K Brant | Wells Fargo Advisors wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Apr 6, 2026 | Apr 2, 2026 |
| Carmen J Cox | Freestone Capital Management, LLC independent RIA | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Apr 2, 2026 | Apr 23, 2026 |
| Tatum Zupnik | Equitable Advisors, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 2, 2026 | Apr 28, 2026 |
| Mitchell Hansen | Texas Capital Bank Private Wealth Advisors independent RIA | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Apr 2, 2026 | May 5, 2026 (33 d) |
| David Kelly | UBS Asset Management (Americas) LLC mixed wealth | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Apr 1, 2026 | Apr 1, 2026 |
| Christopher Carl Andersen | UBS Asset Management (Americas) LLC mixed wealth | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Apr 1, 2026 | Apr 1, 2026 |
| Eileen Wong | UBS Asset Management (Americas) LLC mixed wealth | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Apr 1, 2026 | Apr 1, 2026 |
| Edward Eccles | UBS Asset Management (Americas) LLC mixed wealth | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Apr 1, 2026 | Apr 1, 2026 |
| Camile Infante | Azimut Investment Advisors LLC other | UBS Financial Services Inc. wirehouse | Other | Mar 27, 2026 | Jun 1, 2026 (66 d) |
| Adriana Cajigas | J.P. Morgan Securities LLC wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Mar 25, 2026 | Apr 10, 2026 |
| Peter James Corsi | Crestwood Advisors independent RIA | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Mar 24, 2026 | Mar 27, 2026 |
8,200 moves match.