DFX Intelligence
Advisor teams
Teams that left UBS Financial Services Inc.What counts as a teamA team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why.When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out.Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
855 teams
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | UBS Financial Services Inc. wirehouse | Citigroup Global Markets Inc. other | Weehawken, Nj | Other | May 11, 2015 |
| 5 | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Los Angeles, Ca +1 | Wirehouse to wirehouse | May 8, 2015 over 4 d |
| 4 | UBS Financial Services Inc. wirehouse | Frontier Wealth Management, LLC other | Wichita, Ks +1 | Other | Apr 22, 2015 |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | Charlotte, Nc +1 | Wirehouse to wirehouse | Apr 15, 2015 over 13 d |
| 3 | U•• F•••••••• S••••••• I••• wirehouse | M••••• S•••••• wirehouse | Paramus, Nj +1 | Wirehouse to wirehouse | Apr 13, 2015 over 7 d |
| 4 | U•• F•••••••• S••••••• I••• wirehouse | R•• C•••••• M••••••• L•• national BD | Naples, Fl | Wirehouse to affiliated broker-dealer or bank | Apr 10, 2015 |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | M••••• S•••••• wirehouse | Atlanta, Ga | Wirehouse to wirehouse | Mar 31, 2015 |
| 3 | U•• F•••••••• S••••••• I••• wirehouse | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | Palm Beach, Fl +1 | Wirehouse to wirehouse | Mar 16, 2015 |
| 4 | U•• F•••••••• S••••••• I••• wirehouse | R••••• W• B•••• • C•• I••••••••• other | Ft Worth, Tx +1 | Other | Mar 10, 2015 |
| 6 | U•• F•••••••• S••••••• I••• wirehouse | M••••• S•••••• wirehouse | Pasadena, Ca +3 | Wirehouse to wirehouse | Mar 3, 2015 over 35 d |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | Austin, Tx | Wirehouse to wirehouse | Feb 24, 2015 |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | W•••• F•••• A••••••• wirehouse | Naperville, Il | Wirehouse to wirehouse | Feb 6, 2015 |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | C••••••••• W••••• A•••••••• L•• no RAUM | Louisville, Ky | Other | Feb 3, 2015 over 1 d |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | G••••• W••••• M••••••••• I••• other | Roanoke, Va | Other | Jan 26, 2015 |
| 2 | U•• F•••••••• S••••••• I••• wirehouse | M••••• S•••••• wirehouse | Alpharetta, Ga | Wirehouse to wirehouse | Jan 20, 2015 |
derived from registration dates
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The firm and advisor names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.