Wirehouses, Banks & BDs · Traditional channel
UBS
Join the firm-operated wealth management channel and advise clients using its investment, planning and business resources.
- Website
- ubs.com
- Regulator record
- UBS FINANCIAL SERVICES INC. (FINRA)
Recorded arrivals
16
Teams and practices joining in 2026
Recorded departures
59
Teams and practices leaving in 2026
Arrival assets
$10.8B
Reported practice assets · 15 of 16 disclosed
Departure assets
$50.5B
Reported practice assets · 55 of 59 disclosed
Arrivals and departures are counted separately, not netted.
Monthly arrivals by origin category
Where arriving teams came from, by month
Wirehouses, Banks & BDsRIAIndependent Broker-Dealer
Arrivals came from
Origin firms, by number of teams
01
5
02
5
05
1
06
1
Departures went to
Destination firms, by number of teams
01
9
03
6
04
5
06
4
Arrivals 16
Teams joining UBS in 2026. Open a team for its source record.
| Date | Pattern | Team / advisor(s) | From | Reported assets | Source |
|---|---|---|---|---|---|
| Oct 1 | Lateral | Michelle FergusonHyannis, MA | Edward JonesWirehouses, Banks & BDs | Undisclosed | Press Release |
| Sep 25 | Lateral | John Pham, Jimmy YipPalo Alto, CA San Jose, CA |
Merrill LynchWirehouses, Banks & BDs | $575M | Press Release |
| Sep 4 | Lateral | Hall Wealth Management GroupBellevue, WA | Merrill LynchWirehouses, Banks & BDs | $500M | Press Release |
| Sep 4 | Lateral | Mason Cisney Alcon Wealth Management GroupColorado Springs, CO | Morgan StanleyWirehouses, Banks & BDs | $1.4B | AdvisorHub |
| Sep 4 | Lateral | Richard E. Horn, Jeffrey M. Deckelbaum, Gerald HornBethesda, MD | Morgan StanleyWirehouses, Banks & BDs | $750M | AdvisorHub |
| Aug 31 | Lateral | Lumina Wealth PartnersLos Angeles, CA | Bernstein Private WealthWirehouses, Banks & BDs | $1.4B | AdvisorHub |
| Aug 13 | Lateral | Stanley Edwards GroupCincinnati, OH | Morgan StanleyWirehouses, Banks & BDs | $300M | InvestmentNews |
| Jul 27 | Lateral | Jesse M. FlattTampa, FL | Bank of America Private BankWirehouses, Banks & BDs | $1.3B | AdvisorHub |
| Jun 18 | Lateral | Colby Robbins, Brock HooperNashville, TN | Merrill LynchWirehouses, Banks & BDs | $344M | Press Release |
| Jun 18 | Lateral | Evan McGrathFort Lauderdale, FL | J.P. Morgan AdvisorsWirehouses, Banks & BDs | $120M | Press Release |
| Jun 18 | Lateral | Sheldon Ray, Asif BhallyWashington, DC | Raymond James & AssociatesWirehouses, Banks & BDs | $187M | Press Release |
| Jun 18 | Lateral | The Capitol Group Institutional ConsultingWashington, DC | Morgan StanleyWirehouses, Banks & BDs | $149M | Press Release |
| Jun 15 | Lateral | Adam ConishPhiladelphia, PA | GlenmedeWirehouses, Banks & BDs | $1.2B | Press Release |
| Mar 30 | Lateral | Joseph "Clay" Young IVMemphis, TN | Merrill LynchWirehouses, Banks & BDs | $956M | AdvisorHub |
| Feb 13 | Lateral | Mark Lilley, Gabriel TrigoSan Juan, PR | Merrill LynchWirehouses, Banks & BDs | $1.0B | Financial Planning |
| Jan 16 | Lateral | Jeffrey J. MillerBellevue, WA | Morgan StanleyWirehouses, Banks & BDs | $600M | AdvisorHub |
Departures 59
Teams leaving UBS in 2026.
| Date | Pattern | Team / advisor(s) | To | Reported assets | Source |
|---|---|---|---|---|---|
| Oct 27 | Lateral | Ryan Berube, Allen AbneyDallas, TX | William BlairWirehouses, Banks & BDs | Undisclosed | Press Release |
| Oct 26 | Lateral | Shea Wealth PartnersWoodmere, OH | RockefellerWirehouses, Banks & BDs | $350M | Barron's |
| Oct 22 | Lateral | Nepa/SuscoPittsburgh, PA | RBC Wealth ManagementWirehouses, Banks & BDs | $1.0B | Press Release |
| Oct 20 | Breakaway | Truing Capital AdvisorsLas Vegas, NV | Elevation Point Wealth PartnersRIA | $750M | Press Release |
| Oct 15 | Lateral | The Compass GroupParamus, NJ | Raymond James & AssociatesWirehouses, Banks & BDs | $245M | Press Release |
| Oct 14 | Lateral | Mork Wealth Management GroupLake Oswego, OR | RBC Wealth ManagementWirehouses, Banks & BDs | $250M | Press Release |
| Oct 6 | Lateral | Strong Wealth Management GroupNaples, FL | Wells Fargo AdvisorsWirehouses, Banks & BDs | $410M | Financial Advisor |
| Sep 30 | Breakaway | The Cullman/Holt GroupDublin, OH | Wells Fargo FiNetIndependent Broker-Dealer | $1.3B | Financial Advisor |
| Sep 15 | Breakaway | James P. Shafer, Michael B. Block, Joseph Gossett, Pamela Smith, Rachelle Carlson-OienWayzata, MN | NewEdgeRIA | $1.3B | AdvisorHub |
| Sep 14 | Lateral | Lucas Wealth ManagementSan Francisco, CA | Alex. BrownWirehouses, Banks & BDs | $150M | AdvisorHub |
| Sep 14 | Lateral | Scientia Wealth PartnersSan Francisco, CA | Alex. BrownWirehouses, Banks & BDs | $470M | AdvisorHub |
| Sep 11 | Lateral | Craig BlumNorthfield, NJ | Benjamin F. EdwardsWirehouses, Banks & BDs | Undisclosed | AdvisorHub |
| Sep 10 | Lateral | Redstone Wealth Management GroupGreensboro, NC | WedbushWirehouses, Banks & BDs | $500M | Press Release |
| Sep 10 | Lateral | Vazquez-Monasterio TeamSanta Fe, NM | Merrill LynchWirehouses, Banks & BDs | $1.2B | AdvisorHub |
| Aug 25 | Breakaway | Michael A. Bober, Ettore D. Ventrice, Michael MacDonald, William Marino, Sarah Ponczek, Alex SantosBoca Raton, FL | CressetRIA | $4.0B | AdvisorHub |
| Aug 21 | Breakaway | Murray Street Wealth AdvisorsNew York, NY | Wells Fargo FiNetIndependent Broker-Dealer | $320M | InvestmentNews |
| Aug 20 | Lateral | Pearsall WealthGlens Falls, NY | Raymond James & AssociatesWirehouses, Banks & BDs | $400M | Press Release |
| Jul 30 | Lateral | James “Trey” Mahoney IIIPalm Beach Gardens, FL | RBC Wealth ManagementWirehouses, Banks & BDs | $1.5B | AdvisorHub |
| Jul 29 | Lateral | Essential Private WealthTinton Falls, NJ | Raymond James & AssociatesWirehouses, Banks & BDs | $500M | Financial Advisor |
| Jul 13 | Lateral | Arnold HochstadtWoodbury, NY | Wells Fargo AdvisorsWirehouses, Banks & BDs | $420M | InvestmentNews |
| Jun 26 | Lateral | Peter ChoyNashville, TN | Merrill LynchWirehouses, Banks & BDs | $460M | InvestmentNews |
| Jun 23 | Lateral | Steve E. GoldMiami, FL | Morgan StanleyWirehouses, Banks & BDs | $1.0B | AdvisorHub |
| Jun 18 | Breakaway | James NicholsNashville, TN | NewEdgeRIA | Undisclosed | InvestmentNews |
| Jun 17 | Breakaway | Decorum Wealth ManagementMerced, CA | LPL FinancialIndependent Broker-Dealer | $250M | Press Release |
| Jun 15 | Breakaway | Beacon Coast PartnersSan Francisco, CA | Beacon Coast PartnersRIA | $3.5B | InvestmentNews |
| Jun 9 | Breakaway | Scott Zelniker, Peter DorfmanNew York, NY | Steward PartnersRIA | $2.4B | Press Release |
| May 20 | Lateral | Daniel BergerSt. Louis, MO | Raymond James & AssociatesWirehouses, Banks & BDs | $480M | Press Release |
| May 11 | Lateral | Christopher P. MatteoNew York, NY | RockefellerWirehouses, Banks & BDs | $1.5B | AdvisorHub |
| May 7 | Breakaway | Paxara Wealth PartnersWinter Haven, FL | LPL FinancialIndependent Broker-Dealer | $330M | AdvisorHub |
| May 5 | Lateral | AGT Private Wealth GroupFrisco, TX | Wells Fargo AdvisorsWirehouses, Banks & BDs | $1.6B | AdvisorHub |
| May 1 | Breakaway | Iron North Private WealthCoeur d'Alene, ID | Sanctuary WealthRIA | $350M | Press Release |
| Apr 29 | Lateral | Anderson Gannon Wealth PartnersPalo Alto, CA | RockefellerWirehouses, Banks & BDs | $2.0B | AdvisorHub |
| Apr 29 | Lateral | Banks Carter GroupMount Laurel, NJ | RBC Wealth ManagementWirehouses, Banks & BDs | $542M | Press Release |
| Apr 29 | Lateral | Julian IragorriNew York, NY | Morgan StanleyWirehouses, Banks & BDs | $1.5B | Citywire |
| Apr 28 | Lateral | Douglas C. DiGiornoNaples, FL | Wells Fargo AdvisorsWirehouses, Banks & BDs | $466M | InvestmentNews |
| Apr 21 | Lateral | Jason Hull, Jessica PenzaDublin, OH | Raymond James & AssociatesWirehouses, Banks & BDs | $450M | InvestmentNews |
| Apr 13 | Lateral | Andrew LowNewport Beach, CA | Wells Fargo AdvisorsWirehouses, Banks & BDs | $163M | InvestmentNews |
| Apr 13 | Breakaway | Touchstone Wealth PartnersToledo, OH | Wells Fargo FiNetIndependent Broker-Dealer | $2.1B | AdvisorHub |
| Apr 7 | Breakaway | Evertern WealthNaples, FL | Evertern WealthRIA | $2.4B | InvestmentNews |
| Apr 6 | Lateral | David WarrenMiami, FL | Merrill LynchWirehouses, Banks & BDs | $645M | AdvisorHub |
| Mar 12 | Lateral | Webster GroupHolladay, UT | Wells Fargo AdvisorsWirehouses, Banks & BDs | $143M | InvestmentNews |
| Mar 9 | Lateral | Noel A. BeckerHudson, OH | Janney Montgomery ScottWirehouses, Banks & BDs | $750M | AdvisorHub |
| Mar 4 | Breakaway | Snow Pine Private WealthWayzata, MN | Wells Fargo FiNetIndependent Broker-Dealer | $1.7B | AdvisorHub |
| Mar 4 | Breakaway | Snow Pine Private WealthWayzata, MN | Wells Fargo FiNetIndependent Broker-Dealer | $1.7B | InvestmentNews |
| Mar 3 | Lateral | Southeast Wealth Management GroupOrlando, FL | Morgan StanleyWirehouses, Banks & BDs | Undisclosed | Financial Planning |
| Feb 19 | Breakaway | Tom MadiganBranford, CT | LPL FinancialIndependent Broker-Dealer | $300M | Press Release |
| Feb 18 | Breakaway | David Krunch KloberdanzAtlanta, GA | Elevation Point Wealth PartnersRIA | $1.0B | AdvisorHub |
| Feb 18 | Lateral | Jason Schrimsher, Andrew Mann, Miles StumbHuntsville, AL | Wells Fargo AdvisorsWirehouses, Banks & BDs | $480M | InvestmentNews |
| Feb 13 | Lateral | Berman PartnersWest Palm Beach, FL | Morgan StanleyWirehouses, Banks & BDs | $1.5B | AdvisorHub |
| Feb 13 | Lateral | John Cunningham, Lee Ann CunninghamLouisville, KY | Morgan StanleyWirehouses, Banks & BDs | $700M | Financial Planning |
| Feb 12 | Lateral | Anthony VitaglianoLake Mary, FL | Wells Fargo AdvisorsWirehouses, Banks & BDs | $106M | InvestmentNews |
| Feb 12 | Lateral | Jay DesautelsBurlington, VT | Wells Fargo AdvisorsWirehouses, Banks & BDs | $165M | InvestmentNews |
| Feb 2 | Lateral | James R. WilsonAlpharetta, GA | RBC Wealth ManagementWirehouses, Banks & BDs | $430M | InvestmentNews |
| Jan 27 | Breakaway | Lakeview PartnersMinnetonka, MN | Wells Fargo FiNetIndependent Broker-Dealer | $400M | InvestmentNews |
| Jan 26 | Lateral | Rottenberg Wealth Management GroupFlorham Park, NJ | RBC Wealth ManagementWirehouses, Banks & BDs | $400M | AdvisorHub |
| Jan 20 | Lateral | Creative Strategies for Modern Wealth GroupSyracuse, NY | RBC Wealth ManagementWirehouses, Banks & BDs | $770M | InvestmentNews |
| Jan 13 | Breakaway | Harbor View Private WealthAlpharetta, GA | Elevation Point Wealth PartnersRIA | $1.3B | Press Release |
| Jan 8 | Lateral | Fogarty Hernandez Wealth Management GroupLos Angeles, CA | RBC Wealth ManagementWirehouses, Banks & BDs | $660M | InvestmentNews |
| Jan 7 | Lateral | Robert E. Procaccianti, Jared A. Tack, Douglas C. BennetProvidence, RI | Merrill LynchWirehouses, Banks & BDs | $805M | InvestmentNews |
Data through October 31, 2026. See the methodology for how transactions, assets and sources are defined.