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Rising rich boost stature, growth of family offices

April 12, 2019

In Rhona Vogel's line of work, family comes first. As CEO and founder of Vogel Consulting, a wealth management firm based in Brookville, Wisc., she manages the personal fortunes and increasingly complex financial lives of about two dozen wealthy...

Rich women increasingly call the shots, wealth heads say

April 11, 2019

Rich women mean big business for some of the world's largest wealth managers. Women control about $14 trillion in assets in the U.S., which is comparable to the gross domestic products of China and India combined — and they're underserved...

Will Merrill Lynch plan to add fresh advisers to offices be a boon — or a bust?

April 10, 2019

Merrill Lynch's plan to seat up to 300 young advisers in branch offices with its most experienced and profitable financial advisers could be a boon to business, with referrals flying back and forth, or it could backfire and add unnecessary friction...

UBS develops new wealth management app for iPads

April 5, 2019

UBS Wealth Management USA is modernizing the way it develops new technology and has a new client-facing portal to show for it. Clients can use the new UBS iPad app as a singular tool to manage nearly every aspect of their financial lives, from...

UBS considers sale, acquisition and other options for its asset management business

April 3, 2019

UBS Group AG is evaluating options for its asset management unit, including a partial sale or merger of the business, according to people with knowledge of the matter. The Swiss bank has considered seeking to acquire Deutsche Bank AG's asset...

Advisers with $876 million in AUM join UBS from U.S. Trust

March 29, 2019

Two advisers, Troy Swaner and Fowler Hatley, who managed $876 million at U.S. Trust/Merrill Lynch in Dallas, have joined UBS. Mr. Swaner began his securities career in 1996 at NYLife Securities and worked at several firms before joining U.S....

Steward Partners adds two advisers, $212 million in assets

March 29, 2019

Advisers managing $212 million in assets have joined the hybrid firm Steward Partners Global Advisory. Nick Fiegoli, who oversaw $140 million in assets at UBS, joined Steward's office in New York. Dennis Reynolds, who oversaw $72 million in...

Female bankers take lead as financial companies target China's wealthiest

March 28, 2019

Amy Lo manages money for some of the richest people in China. She has an expanding clientele, as new billionaires turn up weekly in China. Ms. Lo in January started co-managing UBS Group AG's private banking business in the world's fastest-growing...

SigFig launches platform to help retail banks sell financial products

March 27, 2019

SigFig, the financial technology firm that developed digital advice platforms for several large financial institutions, wants to help banks automate more than investment management. SigFig Atlas is billed as a "financial advice and software-guided...

'Whopper' UBS broker sentenced to prison for Puerto Rico bond fraud

March 27, 2019

Jose Ramirez, a former top UBS broker in Puerto Rico known to many as "The Whopper," was sentenced to a year and a day in prison after pleading guilty to criminal bank fraud in November. At that time, Mr. Ramirez admitted to pocketing $1 million...

Merrill adds to 401(k) fiduciary services

March 25, 2019

Merrill is expanding its roster of fiduciary services available to 401(k) clients, a move that comes amid a broader push by wirehouses and large brokerage firms to change the way they work with smaller retirement plans. Merrill announced Monday...

UBS feels the pain from spooked billionaires

March 20, 2019

UBS Group AG Chief Executive Officer Sergio Ermotti delivered a catalog of bad news on the first-quarter performance on Wednesday. That the world's largest wealth manager is also prone to revenue swings was probably the most alarming. Describing...

UBS confronts 'one of the worst' Q1 environments in recent history

March 20, 2019

UBS Group AG Chief Executive Officer Sergio Ermotti gave the most decisive verdict yet on the difficult markets faced by Europe's investment banks, describing conditions as the toughest in years. UBS will slow down hiring and deepen cost cuts...

LPL's record recruiting year came with a cost — signing bonuses skyrocketed in 2018

March 15, 2019

LPL Financial last month reported a record amount of assets recruited to its platform last year. In a recent filing with the Securities and Exchange Commission, the firm revealed that those assets came with a cost — recruiting bonuses on its...

Lipper plans ESG scoring system for mutual funds

March 12, 2019

In the latest acknowledgment by the financial services industry of a more socially conscious investor universe, Lipper plans to roll out a system for grading mutual funds based on social, environmental and corporate governance parameters. The...

UBS escalates its pursuit of rich Americans with staff promotions

March 6, 2019

UBS Group promoted 96 employees to the level of managing director in the Americas as it seeks to gain more rich clients and expand in the region. The Swiss bank elevated 60 financial advisers and 36 Americas staff, according to Tom Naratil,...

Millennial women take back seat when it comes to their own finances, UBS survey says

March 6, 2019

Marielle Schurig spoke to a group of women at a wellness event at Lululemon Athletica Inc.'s store in New York's Flatiron district, after they'd sweat it out together in a yoga and circuit-training class. Following her remarks, attendees lined...

Finra disciplinary actions packed $107,000 average punch in 2018

March 4, 2019

Although it brought 638 disciplinary actions last year compared with 1,007 in 2017, the Financial Industry Regulatory Authority Inc.'s fines bit deeper, averaging $107,000 per case, up from $65,000 the year before, according to analysis of Finra's...

Instagram: A guide for financial advisers

March 1, 2019

I opened my last column with these words: A solid plan and strategy is the key to every social media success. Let's use those words again for this month's column about Instagram for financial advisers. You may know Instagram as that photo-sharing...

UBS team managing $738 million near Detroit leaves for Raymond James

February 25, 2019

A team of six advisers and five staff members who managed $738 million at UBS in Birmingham, Mich., have joined the employee unit of Raymond James. The group, which includes financial advisers John Schindler, Jeffrey Davies, Scott Bennett, Chuck...

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