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 |
|---|---|---|---|---|---|
| Lesley Ray Loggins | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Mar 18, 2026 | Mar 17, 2026 |
| Lee Alan Cumming | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Mar 18, 2026 | Mar 17, 2026 |
| Michael Grant Wheat | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Mar 18, 2026 | Mar 17, 2026 |
| Aidan Matthew Fegley | Strategic Advisers LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 17, 2026 | Apr 9, 2026 |
| Timothy Paul Coughlin | J.P. Morgan Securities LLC wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Mar 16, 2026 | Mar 16, 2026 |
| Joseph Clay Young | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Mar 12, 2026 | Mar 30, 2026 |
| Ronald Conor Alcott | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Mar 12, 2026 | Apr 22, 2026 (41 d) |
| Molly Steers Dunlap | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Mar 11, 2026 | Mar 30, 2026 |
| Adisesh Venkatesh | Florida Financial Advisors, LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 10, 2026 | May 15, 2026 (66 d) |
| Pamela Boodhoo | Kovack Advisors, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 6, 2026 | Mar 26, 2026 |
| Martin C Labowicz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Mar 6, 2026 | Mar 18, 2026 |
| Kathryn Marie Viste | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 5, 2026 | May 6, 2026 (62 d) |
| Renee Dalal Dawson | Citigroup Global Markets Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 4, 2026 | Feb 25, 2026 |
| Karl William Schlierf | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Mar 3, 2026 | Mar 10, 2026 |
| Owen Harrison Tabor | Wells Fargo Advisors wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Mar 3, 2026 | Mar 6, 2026 |
| Michael E Brown | Mdt Advisers, A Division Of Federated Mdta LLC asset manager | UBS Financial Services Inc. wirehouse | Other | Feb 26, 2026 | Apr 29, 2026 (62 d) |
| Erika Hernandez | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Feb 20, 2026 | Feb 27, 2026 |
| Bennett Charles Firestein | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Feb 19, 2026 | Feb 19, 2026 |
| Clinton J Mcgowan | Stonehaven Advisors, LLC state registered | UBS Financial Services Inc. wirehouse | Other | Feb 19, 2026 | Apr 17, 2026 (57 d) |
| Jennifer H. O'Sullivan | Strategic Advisers LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 19, 2026 | Feb 16, 2026 |
| Yuval Ezer | Foster Victor independent RIA | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Feb 19, 2026 | Jul 24, 2026 (155 d) |
| Kenneth Lamar Walton | Cetera Investment Advisers LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 11, 2026 | Mar 10, 2026 |
| Joseph Clement Cagnazzo | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Feb 9, 2026 | Apr 2, 2026 (52 d) |
| Mark Eben Lilley | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Feb 5, 2026 | Feb 6, 2026 |
| Ivelisse Moreno Guzman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Feb 5, 2026 | Feb 5, 2026 |
| Gabriel B Trigo Pou | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Feb 5, 2026 | Feb 6, 2026 |
| Adam V Macleod | T. Rowe Price Advisory Services, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 4, 2026 | Apr 30, 2026 (85 d) |
| Jeffrey James Miller | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jan 27, 2026 | Jan 16, 2026 |
| Ha P Nguyen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jan 27, 2026 | Feb 6, 2026 |
| Erika Martinez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jan 27, 2026 | Feb 26, 2026 |
| Rejane R Abreu | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jan 26, 2026 | Feb 12, 2026 |
| Jason Scott Hiebenthal | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jan 20, 2026 | Jan 21, 2026 |
| Sophia Grazioli | Equitable Advisors, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 20, 2026 | Feb 13, 2026 |
| Diana E Mendoza | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jan 19, 2026 | Jan 16, 2026 |
| Marina Matthews | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jan 14, 2026 | Feb 2, 2026 |
| Flint T Schuller | Wells Fargo Advisors wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jan 13, 2026 | May 18, 2026 (125 d) |
| Ansley R Mellette | Harbour Wealth Management Group, Inc. independent RIA | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Jan 9, 2026 | Jan 28, 2026 |
| Mateaia Lovejoy | Wells Fargo Advisors wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jan 8, 2026 | Jan 20, 2026 |
| Christopher James Immoos | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jan 7, 2026 | Feb 13, 2026 (37 d) |
| Mark Boutros | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jan 6, 2026 | Jan 21, 2026 |
| Debra Diane Galbraith | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jan 2, 2026 | Jan 12, 2026 |
| Alex Gordon Hill | Northwestern Mutual Investment Services,LLC no RAUM | UBS Financial Services Inc. wirehouse | Other | Dec 31, 2025 | Mar 30, 2026 (89 d) |
| Wenyi Wang | Rockefeller Capital Management BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 24, 2025 | Mar 16, 2026 (82 d) |
| Azeem Shah | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Dec 23, 2025 | Jan 8, 2026 |
| Richelle Elizabeth Hede | LPL Financial LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 18, 2025 | Jan 8, 2026 |
| Jonea Glaspie | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Dec 9, 2025 | Jan 16, 2026 (38 d) |
| Brian Alan Schrader | Osaic Wealth, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 9, 2025 | Jan 5, 2026 |
| Taylor Mahlandt | J.P. Morgan Securities LLC wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Dec 9, 2025 | Feb 10, 2026 (63 d) |
| Jason Pettinelli | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Dec 8, 2025 | Dec 16, 2025 |
| Tracy L Cairoli | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Dec 8, 2025 | Jan 7, 2026 |
| Jason Beutel | Citigroup Global Markets Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 4, 2025 | Feb 24, 2026 (82 d) |
| Spencer D Barry | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Dec 3, 2025 | Dec 16, 2025 |
| Nolan M Rogow | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Dec 2, 2025 | Dec 1, 2025 |
| Anthony Sneag | Carret Asset Management, LLC mixed wealth | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Dec 1, 2025 | Nov 26, 2025 |
| Guilherme Moreira De Araujo Santos | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Nov 28, 2025 | Dec 17, 2025 |
| Adrianna Madeleine Carol Wirth | Ameriprise Financial Services, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 26, 2025 | Mar 2, 2026 (96 d) |
| Emily Catherine Hogya | Foster & Motley Inc independent RIA | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Nov 25, 2025 | Jun 22, 2026 (209 d) |
| Deborah Frances Peterson | Highmark Wealth Management LLC independent RIA | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Nov 24, 2025 | Dec 17, 2025 |
| Michael Peter Hanifin | J.P. Morgan Securities LLC wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Nov 23, 2025 | Dec 15, 2025 |
| James David Cargill | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Nov 21, 2025 | Nov 19, 2025 |
8,200 moves match.