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How heavy the lifting was to get a $1-billion wirehouse team to independence in 2014 after a de facto false start in 2007

Kneen and Clayton were still on Windows 2003 version at UBS, a metaphor for why they have moved to Focus Financial and Tamarac software

Friday, February 7, 2014 – 6:20 PM by Brooke Southall
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Clayton Hartman (left) with Tim Kneen: We thought UBS was transitioning to a different kind of wirehouse.

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Mentioned in this article:

MarketCounsel | Hamburger Law Firm
Consulting Firm, Compliance Expert, Legal Services for RIAs
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Recruiter
Top Executive: Mindy Diamond




Jeff Spears

Jeff Spears

February 7, 2014 — 9:42 PM

I had the pleasure of meeting Tim on January 11, 2005. He sent me a binder describing his group and ONLY 17 due diligence questions before we met. It was such a unique approach I have kept the binder and due diligence questionnaire in my office ever since.

Brooke Southall

Brooke Southall

February 7, 2014 — 10:05 PM

Ha. Good little anecdote. Maybe we should publish the 17 questions.

Brooke

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