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 Asset Management (Americas) LLC

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
Arthur Oien	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Aug 17, 2026	Aug 17, 2026
Diane Margaret Lillis	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Apr 30, 2026	Apr 29, 2026
Richard Alton Watnik	Janney Montgomery Scott LLC BD affiliated	UBS Asset Management (Americas) LLC mixed wealth	Affiliated broker-dealer or bank to independent RIA	Nov 25, 2025	Mar 23, 2026 (118 d)
Yang Ju	Morgan Stanley wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Nov 10, 2025	Dec 26, 2025 (46 d)
Tabitha Marion Ghahari	J.P. Morgan Securities LLC wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Jul 19, 2024	Mar 25, 2026 (614 d)
Amanda Haywood	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Jul 1, 2024	Jul 1, 2024
Igor Gitstein	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Jun 4, 2024	Jun 4, 2024
Megan Von Feldt	Credit Suisse Securities (USA) LLC asset manager	UBS Asset Management (Americas) LLC mixed wealth	Other	Mar 29, 2024	Aug 30, 2024 (154 d)
Max Melches	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Oct 6, 2023	Oct 10, 2023
David Kelly	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Oct 4, 2023	Oct 10, 2023
Christopher Carl Andersen	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Oct 4, 2023	Dec 11, 2025 (799 d)
Eileen Wong	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Oct 4, 2023	Feb 27, 2026 (877 d)
Michael Nip	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Oct 4, 2023	Oct 10, 2023
Edward Eccles	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Oct 4, 2023	Oct 10, 2023
Thomasina Melanie Carney	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Oct 4, 2023	Oct 10, 2023
Kevin Anthony Spano	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Apr 25, 2023	Apr 26, 2023
Jae Woong Jang	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Apr 25, 2023	Apr 26, 2023
Nicholas Thomas Carroll	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Aug 2, 2022	Apr 26, 2023 (267 d)
Adam Scheiner	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC mixed wealth	Wirehouse to independent RIA	Feb 2, 2022	Feb 3, 2022
Stephen Edward Canter	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC other	Other	Aug 21, 2020	Aug 24, 2020
Anthony J Liotti	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC other	Other	Aug 10, 2020	Aug 11, 2020
Neil William Talbot	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC other	Other	Aug 10, 2020	Aug 26, 2020
Christopher Michael Shea	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC other	Other	Jul 20, 2020	Aug 24, 2020 (35 d)
Dylan Walsh	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC other	Other	Jun 4, 2018	Jun 4, 2018
Melanie Rubinstein	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC other	Other	Sep 6, 2017	Oct 16, 2017 (40 d)
James Obrien	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC other	Other	Oct 31, 2016	Oct 11, 2017 (345 d)
Tess Olivia Segal	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC other	Other	Jun 6, 2016	Oct 11, 2017 (492 d)
Kathryn Lopresti	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC other	Other	May 24, 2016	Oct 11, 2017 (505 d)
Thomas M Murphy	UBS Asset Management (US) Inc. unclassified	UBS Asset Management (Americas) LLC other	Other	Oct 6, 2010	Oct 7, 2010
Danielle Nicole Singer	UBS Asset Management (US) Inc. unclassified	UBS Asset Management (Americas) LLC other	Other	Oct 6, 2010	Nov 5, 2010
Robert Joel Dorfman	UBS Asset Management (US) Inc. unclassified	UBS Asset Management (Americas) LLC other	Other	Dec 31, 2008	Oct 6, 2009 (279 d)
Bryn Basiardanes Talkington	UBS Asset Management (US) Inc. unclassified	UBS Asset Management (Americas) LLC other	Other	Dec 31, 2008	Apr 27, 2006
John Eric Casey	UBS Asset Management (US) Inc. unclassified	UBS Asset Management (Americas) LLC other	Other	Dec 31, 2008	Aug 14, 2009 (226 d)
Marc Shawn Peterfriend	UBS Financial Services Inc. wirehouse	UBS Asset Management (Americas) LLC other	Other	May 19, 2006	Jan 18, 2018 (4262 d)
Mark Matthew Mcmillan	Tcw Investment Management Company LLC other	UBS Asset Management (Americas) LLC other	Other	Nov 3, 2005	Aug 13, 2009 (1379 d)

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35 moves match.