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Monday, October 5, 2026The Morning Brief →Sign in
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UBS

CRD: 108754
In PWD coverage since October 2, 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
Mitch Edwards
Aug 13 · from Morgan Stanley
Jeff Stanley
Aug 13 · from Morgan Stanley
Jesse Flatt
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
Caitlin Alcon
Sep 4 · from Morgan Stanley
Departures
Jason Stephens
Aug 17 · to Evertern Wealth
Nathan Matthews
Aug 21 · to Wells Fargo Advisors
Michael Bober
Aug 25 · to Cresset Capital Management
John Vazquez
Sep 11 · to Merrill Wealth Management
John Vazquez
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
the_wrap

Cetera re-flags Avantax team to Cetera Planning Partners

The Retirement Planning Group moved from Avantax Planning Partners to Cetera Planning Partners on Oct. 5 as Cetera also added an outside team; among the day's external recruits, only Fitzgerald Financial Group disclosed AUM, $185 million.
the_wrap · Oct 5Three advisor teams land at Cetera, LPL and Wells Fargo FiNet
the_wrap · Oct 5Five breakaway teams land on independent platforms; Fitzgerald Financial discloses $185 million
the_wrap · Oct 5FiNet, Cetera, LPL, Kestra and Carson add five multi-adviser teams on Oct. 5
the_tape · Oct 5Cetera, LPL, Kestra, Carson and Wells Fargo lift teams in one day
The Close · Oct 4Cetera Planning Partners adds advisors from The Retirement Planning Group as recruiting outruns deals
Data · Oct 4RFG Advisory leads wealth management activity as advisor moves nearly triple deal announcements
Data · Oct 4Five retirement-focused firms produce 341 market events, more than triple UBS's 97
Data · Oct 3OpenArc Corporate Advisory tops 30-day tally, ahead of UBS
Moves · Oct 3Envestnet seeks a chief product officer; UBS hands Naureen Hassan its US wealth unit
Data · Oct 3Advisor moves hit 2,555 in 30 days, outpacing 336 fund launches
Features · Oct 3Rockefeller, FiNet and Uniting absorb $3.3 billion in employee-channel books
Features · Oct 3Fidelity tells sub-$100 million RIA clients to reach $100 million or leave by mid-2027
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
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