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Articles tagged "UBS"


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Bob McCann: To be the world’s greatest wealth management firm, I believe you need a strong investment bank.

The 13 most telling quotes from UBS's Bob McCann in his Washington Post interview

The ex-Merrill brokerage chief's comments walk the RIA-wirehouse line

July 11, 2014 at 3:09 AM

Frank Polefrone: RIAs place emphasis on their discretionary role and will easily move in and out of products based on the performance of the funds.

RIAs surpass wirehouses in ETF asset distribution and it'll mean change

For providers of these products and others, getting to registered investment advisors requires more Mapquest, more local manners and more frequent flying than their Morgan, Merrill,, UBS and Wells Fargo cousins

May 22, 2014 at 6:34 PM

Alois Pirker: Innovation is now more of a visionary thing, and an appetite thing, rather than about the monetary angle.

The 6 biggest trends affecting the RIA business

Alois Pirker, Mike Durbin and Meredith Rice help RIABiz paint the Big Picture for private wealth management in the U.S. and beyond

February 24, 2014 at 5:35 AM

Clayton Hartman (left) with Tim Kneen: We thought UBS was transitioning to a different kind of wirehouse.

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

February 7, 2014 at 6:20 PM

Jonathan Blau: We never knew there was a way to partner with someone like Dynasty.

Dynasty Financial leads a second $1 billion-range team -- now Fidelity RIA -- out of Wall Street in as many weeks

Fusion Family Wealth LLC presumed the economics of buying top research wasn't there -- but was shown otherwise

November 13, 2013 at 7:07 PM

Patrick Burns: The shift was sudden.

Backs to the wall, wirehouses renew legal efforts to stem team breakaways -- with junior partners sparking the tension

Lawsuits by Merrill, UBS, Morgan Stanley have been spiking in recent months, according to industry observers and lawyers, and it can take precious time and big money to make them go away

October 23, 2013 at 5:53 AM

Ajay Gupta will write a seven-figure check to UBS to gain his freedom as an RIA.

Schwab wins giant UBS breakaway in San Diego

Ajay Gupta has some famous ultrahigh-net-worth clients, including Deepak Chopra, and he wants 'true independence' to manage $540 million of assets

October 7, 2013 at 1:00 PM

Gregg Robins:  It is true that there was often more 'private' than 'banking,' and Swiss bankers were more often consummate relationship people rather than rigorous bankers.

A former exec of a Swiss private bank offers his insights into the country's wealth management business and what innovations could redefine it

Gregg Robins, most recently head of UBS private banking in Russia, gives front-row insight on his industry's recent challenges but believes more of a Branson-Jobs mentality could shape its future

September 13, 2013 at 6:28 PM

David Loeper: We're not a litigious firm.

MoneyGuidePro back on a roll after the "blip" of being sued by Wealthcare, PIEtech's CEO says as settlement is signed

David Loeper says he's "extraordinarily pleased" but Bob Curtis echoes that sentiment and says his company's work with UBS is stronger than ever

November 9, 2012 at 5:56 PM

Philip Palaveev: Wirehouses would be wise to explore the opportunity to brand the teams alongside the national brand and to create compensation structures that give team captains control over the hiring and compensation of their team members.

The 10 things Morgan, Merrill, UBS and Wells Fargo could do if they really, really wanted to stem the RIA tide

Advisors are happy to hand over the blueprint to wirehouses because they're certain the firms are too fainthearted to execute it

October 9, 2012 at 4:23 PM

Randy Long: We've talked to them. I've decided I'd just rather go after their clients rather than their advisors.

How a $12 billion RIA grew to $20 billion in less than a year by raiding 401(k) accounts from legacy players

Randy Long boasted that he'd pick off the big boys' clients and came through with the help of a crack team of 12 young turks

September 26, 2012 at 3:48 AM

Scott Smith: It almost seems like collecting the $15 fee would be more labor for UBS then it's worth.

Is UBS channeling its inner IBD in levying $15 charges on its advisors for redundant mobile devices?

The wirehouse's charges seem on target on paper but are they penny rational and pound foolish?

August 8, 2012 at 2:40 AM

Drew Nordlicht: We spent more of our time explaining the trust aspect of the firm.

Luring a $330 million team away from UBS, HighTower opens first San Diego office

After five years at Smith Barney, HighTower convinces the team to complete second big move in five years

July 3, 2012 at 5:22 AM

John Beirne: We never thought we'd be automatically hired.

Merrill Lynch breakaway wins $550-million account in head-to-head battle with UBS -- despite a higher bid

John Beirne was selling his stellar track record and the city of Bristol, Conn. was buying

May 23, 2012 at 3:05 AM

Christopher Mason is keeping his assets at Fidelity: "They don't have quarterly earnings and they don't do stupid things."

Why one UBS advisor broke away even knowing that his former partner would keep the 401(k) assets

Christopher Mason is establishing Fontis as part of CONCERT but hasn't given up hope of selling his portfolio management skills on UBS' platform

May 17, 2012 at 6:26 AM

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