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 |
|---|---|---|---|---|---|
| John Robert Hall | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 14, 2026 | Sep 4, 2026 |
| Aaron Lee Marshall-Spitzbart | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 14, 2026 | Sep 4, 2026 |
| Ava P Doney | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 14, 2026 | Sep 16, 2026 |
| Richard Edward Horn | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 9, 2026 | Sep 4, 2026 |
| Calvin Boyd Mason | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 9, 2026 | Sep 4, 2026 |
| Caitlin E Alcon | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 9, 2026 | Sep 4, 2026 |
| Maria Fatima Nicole Victoria | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 9, 2026 | Sep 10, 2026 |
| Craig Eliot Cisney | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 9, 2026 | Sep 4, 2026 |
| Gerald Horn | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 9, 2026 | Sep 4, 2026 |
| Kaitlin Zeek Robinson | Strategic Advisers LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 8, 2026 | Aug 31, 2026 |
| Jinjin Zhang | J.P. Morgan Securities LLC wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 7, 2026 | Sep 8, 2026 |
| Corey Lee Jackson | Manning & Napier Advisors, LLC mixed wealth | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Sep 3, 2026 | Aug 24, 2026 |
| Sean Kilmurray | Ameriprise Financial Services, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 2, 2026 | Aug 31, 2026 |
| Kristy Lee Leavitt | J.P. Morgan Securities LLC wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Sep 1, 2026 | Aug 31, 2026 |
| Michael Mildrum | Ameriprise Financial Services, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 1, 2026 | Sep 1, 2026 |
| Christopher Ray Davis | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Aug 25, 2026 | Aug 7, 2026 |
| Abraham Corey Dispennette | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Aug 19, 2026 | Aug 12, 2026 |
| Brandon Leigh Burleigh | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Aug 18, 2026 | Aug 17, 2026 |
| Hudson Park | Bankers Life Advisory Services, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 14, 2026 | Aug 14, 2026 |
| Robert M Edwards | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Aug 13, 2026 | Aug 11, 2026 |
| Jeffrey D Stanley | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Aug 13, 2026 | Aug 11, 2026 |
| Erin Marie Purcell | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Aug 12, 2026 | Aug 18, 2026 |
| Kevin M Higgins | LPL Financial LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 11, 2026 | Sep 15, 2026 (35 d) |
| Simon Scott Hall | Strategic Advisers LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 11, 2026 | Aug 28, 2026 |
| Renato Mathias Ticoulat | Galapagos Advisory LLC other | UBS Financial Services Inc. wirehouse | Other | Aug 7, 2026 | Aug 20, 2026 |
| Robert Morgan Tobin | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 6, 2026 | Aug 19, 2026 |
| Ricardo S. Penafiel | J.P. Morgan Securities LLC wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Aug 4, 2026 | Aug 7, 2026 |
| Peter Kelley | MML Investors Services, LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 4, 2026 | Aug 24, 2026 |
| Joshua Lee Carlson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 30, 2026 | Jul 17, 2026 |
| Sean P O'Brien | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 27, 2026 | Aug 12, 2026 |
| Robert Koosha | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 27, 2026 | Aug 24, 2026 |
| Brooke E Sandstoe | Principal Securities, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 24, 2026 | Aug 19, 2026 |
| Rachelle L Carlson-Oien | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 22, 2026 | Aug 11, 2026 |
| Karyn Jean Mitrano | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 20, 2026 | Aug 14, 2026 |
| Samuel Jonathan Duckett | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 17, 2026 | Jul 16, 2026 |
| Thomas Asprinio | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 16, 2026 | Aug 4, 2026 |
| Lindsey Nicole Rickards | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 13, 2026 | Jul 10, 2026 |
| Mina Choe Mcquade | Equitable Advisors, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 13, 2026 | Aug 28, 2026 (46 d) |
| Joel Evan Barrus | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 13, 2026 | Aug 10, 2026 |
| Luis Ramirez | Citigroup Global Markets Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 13, 2026 | Jul 17, 2026 |
| Jia Hui Zheng | J.P. Morgan Securities LLC wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 10, 2026 | Aug 26, 2026 (47 d) |
| Terrie Lynn Fuentes | Wells Fargo Advisors wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 7, 2026 | Jul 15, 2026 |
| Kurt Ryan Wright | Wells Fargo Advisors wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 6, 2026 | Jun 26, 2026 |
| Aleyda Yajaira Maylone | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 6, 2026 | Jul 20, 2026 |
| Carter Damm | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 6, 2026 | Aug 31, 2026 (56 d) |
| Spencer Besant | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jul 2, 2026 | Aug 20, 2026 (49 d) |
| Sally A Venditti | Wells Fargo Advisors wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 30, 2026 | Jul 9, 2026 |
| Adam Mark Conish | Glenmede Investment Management, LP mixed wealth | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Jun 30, 2026 | Aug 28, 2026 (59 d) |
| Colin J. Campbell | J.P. Morgan Securities LLC wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 26, 2026 | Aug 13, 2026 (48 d) |
| Paul Lewis | Charles Schwab & Co., Inc. national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 25, 2026 | Jun 12, 2026 |
| Sarah W Robinson | Morgan Stanley wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 25, 2026 | Jul 10, 2026 |
| Colby Russell Robbins | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 23, 2026 | Jun 18, 2026 |
| Daniel Brock Hooper | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 23, 2026 | Jun 18, 2026 |
| Kayla Weibel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 23, 2026 | Jun 18, 2026 |
| Catherine Baron | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 23, 2026 | Jun 18, 2026 |
| Egle Bakunaite | Osaic Institutions, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 23, 2026 | Jul 7, 2026 |
| Evian Clutch | Citigroup Global Markets Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 22, 2026 | Jul 14, 2026 |
| Christopher S Brannan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | UBS Financial Services Inc. wirehouse | Wirehouse to wirehouse | Jun 22, 2026 | Jun 30, 2026 |
| 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 |
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8,194 moves match.