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UBS report reveals most expensive cities in the world

July 12, 2018

Looking for a cheap meal? Best to steer clear of Geneva. The Swiss city is the most expensive in the world for food, according to UBS Group AG's Prices and Earnings report for 2018, a survey ranking global city prices, earning levels, purchasing...

Merrill Lynch launches fiduciary dashboard for advisers

July 11, 2018

The Department of Labor's fiduciary rule is dead, but investments in technology to help advisers meet a best-interest standard are not. This week saw the public launch of Merrill Lynch's new Fiduciary Dashboard, a practice management tool to...

Georgia decision on broker protocol could have wide impact

July 9, 2018

Financial advisers relying on the protocol for broker recruiting to protect their ability to jump to a new employer will face more obstacles now that a Georgia state court has ruled that advisers with contracts requiring them to give notice...

Fidelity lawsuit highlights firms' vulnerability

July 7, 2018

A millionaire widow's​ lawsuit against Fidelity Investments is a good example of how a firm can be sued even as it's trying to protect an elderly client from financial exploitation. In her lawsuit, Claudine Webb claimed that by freezing the...

Muni closed-end funds may be ripe for tax-loss sales

July 5, 2018

It's only July, but it's not too early to discuss selling municipal-bond closed-end funds to offset a capital gains tax liability, according to Greg Neer of Relative Value Partners. Almost 90% of closed-end funds monitored by Bloomberg posted...

Wirehouses using digital advice technology to boost cross-selling

July 2, 2018

Wirehouses may be playing catchup to the technology offered by custodians and independent fintech vendors, but the next-generation technology platforms they've recently revealed suggest a growth opportunity the others lack: a new chance to cross-sell...

UBS to pay $4.3 million in Puerto Rico bonds claim

June 27, 2018

UBS Financial Services Inc. has lost another multi-million-dollar Finra arbitration award stemming from the sale of individual Puerto Rico bonds and closed-end funds. According to the arbitration award, which was decided last Friday by a three-person...

Wells Fargo memo raises questions about commitment to broker protocol

June 25, 2018

A Wells Fargo Advisors memo Monday morning about client privacy policies sent a spasm of confusion across the network of 14,399 brokers and advisers, with one side saying that the memo undermined the firm's commitment to the protocol for broker...

LPL Financial taps wirehouse veteran to lead recruiting effort

June 25, 2018

Continuing the churn in LPL Financial's recruiting group, the leader of the unit, Bill Morrissey, managing director and head of business development, is retiring and being replaced by a wirehouse veteran. Mr. Morrissey has been with LPL for...

JPMorgan asks court for injunction against rep who left for Merrill Lynch

June 19, 2018

J.P. Morgan Securities has asked a federal court in Indiana to grant a temporary and preliminary injunction restraining one of its former brokers, Gabriel Campbell, from soliciting former clients to join him at his new employer, Merrill Lynch....

SigFig raises another $50 million in venture capital

June 19, 2018

SigFig, a financial technology vendor that builds digital advice products for financial institutions, closed another round of venture capital funding, attracting $50 million. The company has now raised a total of $117 million. While that is...

Advisers with billions in AUM leaving Wall Street

June 13, 2018

The biggest firms continue to lose groups of financial advisers that have billions of dollars worth of assets under management. These advisers are moving because they want to set up their own shops so they can own a business or to work at smaller...

BlackRock expands risk analytics tool to wealth managers overseeing billions in assets

June 12, 2018

Almost three decades ago, BlackRock Inc. created software to obsessively monitor the then-fledgling firm's financial risks. Now, after turning it into an essential tool on Wall Street, the firm is zeroing in on another kind of client: financial...

Winning over the ultra-rich means cutting them in on mega deals

June 11, 2018

America's last Gilded Age had its "List of 400": the people said to be worthy enough, or at least rich enough, to climb the pinnacles of high society. Today, in an age of affluence not even the Astors and Vanderbilts might have imagined, there...

Rich kids banking on their inheritance for retirement security

June 7, 2018

At first glance, it may look like brazen entitlement: Sixty-three percent of affluent children between the ages of 18 and 22 say financial stability in retirement will depend on inheriting money. As in, the money their parents spent a lifetime...

Adviser team managing $340 million at UBS goes indie with Kestra

June 7, 2018

A team of advisers who formerly managed $340 million at UBS in Cranston, R.I., have left the firm and established a hybrid, Northeast Investment Group, which has affiliated Kestra Financial. The new firm will use Kestra's broker-dealer and registered...

After firms dump protocol, advisers show reluctance to make a move

June 5, 2018

Last fall, Morgan Stanley and UBS Wealth Management Americas left an agreement among brokerage firms that allowed brokers and advisers to take a limited amount of client information to a new employer without being sued. Called the Protocol for...

UBS loses $480 million team to Raymond James

May 25, 2018

A team of four advisers and their two assistants managing $480 million in Sarasota, Fla., has moved to the employee unit of Raymond James. Dean Dancer, T.J. Goelz, Steven Grossman and Joe Malave operate as the Palm Avenue Wealth Advisory Group....

Exactly how rich is 'rich'?

May 23, 2018

Just how rich is "rich?" The answer, of course, depends on who's asking—and these days, many are. In rich-tropolises such as New York and London, 1 percenters moan that living on $500,000 a year feels Dickensian. With a pot of $40 million—and...

UBS latest to make push for young, diverse advisers

May 22, 2018

Correction: An earlier version of this story incorrectly stated that 20 young advisers had completed UBS' general adviser training program. That is the number that have started the program.​ UBS Wealth Management Americas is the latest firm...

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