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UBS

CRD: 108754

In PWD coverage since September 30, 2026 · 16+ stories

1Deals on our tracker

+1Talent net · 12 months8 in · 7 out

Observed recruiting events · 12 monthsOn the wire →

Net +1 · 8 incoming events · 7 outgoing events

Arrivals

Aug 13 · from Morgan Stanley

Aug 13 · from Morgan Stanley

Aug 31 · from Bank of America Private Bank

Lumina Wealth Partners

Aug 31 · from Bernstein Private Wealth Management

The Hall Wealth Management Group

Sep 4 · from Merrill Lynch

Sep 4 · from Morgan Stanley

Departures

Aug 17 · to Evertern Wealth

Nathan Matthews

Aug 21 · to Wells Fargo Advisors

Aug 25 · to Cresset Capital Management

Sep 11 · to Merrill Wealth Management

Sep 11 · to Merrill Lynch

Shafer Block Wealth Management

Sep 15 · to NewEdge Wealth

Deal recordFull tracker →

Aug 20, 26Deal announcedUBS Bank USA — coverage

PWD coverage

Data

OpenArc Corporate Advisory tops 30-day tally, ahead of UBS

The corporate advisory firm was named in 109 events; UBS logged 105 and RFG Advisory 95, while the industry recorded 2,308 advisor moves and 757 deal announcements.

Data · Oct 3Advisor moves hit 2,555 in 30 days, outpacing 336 fund launches

Features · Oct 3Fidelity tells sub-$100 million RIA clients to reach $100 million or leave by mid-2027

Features · Oct 3Rockefeller, FiNet and Uniting absorb $3.3 billion in employee-channel books

Moves · Oct 3Envestnet seeks a chief product officer; UBS hands Naureen Hassan its US wealth unit

practice · Oct 2SIFMA panel says advisers can build an audience without becoming finfluencers

Moves · Oct 2SEC records show $8 billion Rise team moved custody from Ameriprise to Schwab

Data · Oct 22,413 advisors changed firms in 30 days; 22 custody relationships changed hands

advisor_note · Oct 2Concurrent-Spire deal keeps 30 advisor brands, adds equity after a year

exit · Oct 2Fidelity tells sub-$100 million RIAs to grow or move by June 2027

move · Oct 2Cullman/Holt Group moves $1.3 billion from UBS to Wells Fargo's FiNet affiliate Ascend

RIA · Oct 1A WealthManagement.com column argues advisory partnership drift starts when goals diverge

Moves · Oct 1Cullman/Holt Group, a seven-person UBS team with $1.3 billion, joins Wells Fargo FiNet in Ohio

Moves · Sep 30UBS's $1.3 billion Cullman/Holt team leaves for Wells Fargo's FiNet

Moves · Sep 30Ten UBS advisors re-register at Frost Investment Services in 21 days

Data · Sep 30MissionSquare's two arms log 190 advisor moves in one month