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UBS hit with $4.4 million arb award over Puerto Rico bonds and funds

August 22, 2019

A group of investors who bought Puerto Rico bonds and closed-end funds won a $4.4 million arbitration claim against UBS Financial Services Inc. and its related business in Puerto Rico. The three investors and related trusts and businesses initially...

The fight over who owns the client comes to RIAs

August 13, 2019

The persistent war between who controls clients and their assets is typically fought between wirehouses and their advisers. And that fight can get ugly, with these major brokerage firms taking advisers to court when the advisers leave one firm...

UBS rep managing $160 million moves to LPL-affiliated hybrid

August 7, 2019

Cary L. Hall Jr., who managed $160 million at UBS in Princeton, N.J., has created CLH Wealth Management. (More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.) Mr. Hall will use the broker-dealer and corporate registered...

Lightyear sells Wealth Enhancement Group to TA Associates

July 31, 2019

Minneapolis-based Wealth Enhancement Group has extended its relationship with private-equity investors through a deal that will transfer a majority ownership stake in the $11.8 billion advisory firm to TA Associates. The deal, announced Wednesday,...

Raymond James, Ameriprise add advisers in Q2, as two wirehouses shed them

July 25, 2019

As the large wirehouses continue to watch a steady drip of advisers move to other employers or switch to other ways of doing business, large brokerage operations, including Raymond James Financial Inc. and Ameriprise Financial Inc., appear to...

UBS loses 248 advisers in the Americas over past year

July 23, 2019

UBS on Tuesday reported a year-over-year decline of 248 financial advisers, or 3.6% of the global bank's financial adviser workforce in the Americas, as of the end of the second quarter. The Swiss bank reported 6,689 financial advisers at the...

Women still aren't part of the conversation. They must be

July 20, 2019

As you sit there reading this editorial in 2019, you may be surprised to hear that the majority of women still defer financial decisions to their husbands. Or, as financial advisers, perhaps you see proof of this every day in meetings with clients....

Top 50 equity ETFs, second quarter 2019

July 20, 2019

Ranked by quarterly returns Name/ticker 3-month return 1-year return 3-year annualized return Portfolio net assets ($M) Expense ratio* 1 Breakwave Dry Bulk Shipping ETF (BDRY) 39.27% -39.69% N/A $4.30 0.15% 2 iPath Exchange Traded Notes Global...

Top 50 fixed-income ETFs, second quarter 2019

July 20, 2019

Ranked by quarterly returns Name/ticker 3-month return 1-year return 3-year annualized return Portfolio net assets ($M) Expense ratio* 1 PIMCO 25+ Year Zero Coupon US Treasury Index ETF (ZROZ) 7.84% 14.18% 0.95% $265.30 0.15% 2 iShares 10+ Year...

Money management for social media stars

July 17, 2019

Jenn Im started making YouTube videos as a hobby nine years ago, a way to express her love for turning thrift-store finds into stylish outfits. (More:​ Millennial women take back seat when it comes to their own finances, UBS survey says) Creating...

Adviser finalists announced in 13th annual Invest in Others Awards

July 15, 2019

Fifteen advisers have been named as finalists for the 13th annual Invest in Others Awards in recognition of their generosity and demonstrated philanthropic commitment to their communities and abroad. "This year's finalists are an impressive...

UBS hires advisers with $2 billion in client assets

July 12, 2019

UBS Global Wealth Management is continuing to selectively hire financial advisers, with brokers recently joining the firm in San Francisco and New York. In June, UBS hired Mariia Eroshin in San Francisco. She had most recently worked at Citigroup...

Party may be over for stocks in 2019

July 8, 2019

Summertime and the livin' is easy, right? The market is near a record, President Donald J. Trump delivered a nugget of good news on the trade front, the labor market is thriving and the Federal Reserve is at least considering a rate cut. And...

Millennial women and finances: Study yields surprising results

July 6, 2019

If any generation would have strong feminist tendencies, it would seem to be the millennials. They grew up seeing women gain power and influence. But when it comes to managing their family's investments and planning for their financial future,...

Women whose spouses control the finances may be putting themselves, their families at risk

July 6, 2019

Over 40 years of marriage, one of Stacy Francis' clients took a back seat to her husband when it came to the family's investments and finances. In fact, she was given a strict budget she felt didn't provide enough money to cover expenses for...

Wall Street is going RIA-ish

July 1, 2019

The purpose of Wall Street is to chase, create and sniff out profits. By its nature, the Street will always move to where the money goes. In the financial advice industry, money and margins are moving slowly and inexorably away from the bank-owned...

Team managing $1.5 billion at UBS creates hybrid

June 27, 2019

A team led by Craig Findley, which managed $1.5 billion at UBS in Toledo, Ohio, has formed Venture Visionary Partners. The RIA, which has 11 professionals, will use Schwab as its custodian, Purshe Kaplan Sterling Investments as its broker-dealer...

June 26, 2019

With most advisers on their way to having a core technology stack in place that digitizes much of their day-to-day work, industry leaders are now turning their attention from the back office to the front of the house. For many advisers, the...

Advice industry leaders focused on improving the digital client experience

June 26, 2019

With most advisers on their way to having a core technology stack in place that digitizes much of their day-to-day tasks, industry leaders are now turning their attention from the back office to the front of the house. Because for many advisers,...

Financial firms fight over $18 trillion held by poorest of the rich

June 20, 2019

People with assets of $250,000 to $1 million are set to become a new battleground for the world's financial firms as declining margins push firms to seek out pockets of wealth further down the scale. About 76 million people with $18 trillion...

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