Results for "ubs"

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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...

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...

Why UBS is focusing on ultra high net worth clients

March 13, 2014

John Mathews, head of private wealth management at UBS, shares how the firm's private wealth unit is contributing to its overall performance and why luring ultra high net worth clients is so important now.

Tapping into the passions of the ultra high net worth

March 13, 2014

Advisers who can identify the passions of ultra high net worth clients also tap into what's really important to those individuals. John Mathews, head of private wealth management at UBS, talks about how adivsers can anticipate those needs.

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...

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...

How UBS aims to get an edge over independent advisers

March 13, 2014

Serving ultra high net worth clients should be more holistic than just providing investment advice, according to John Mathews, head of private wealth management at UBS. Here he talks about how the firm's advisers can leverage the entire institution.

INTV: Wells, UBS talking wealth mgmt. tieup?

March 16, 2011

InvestmentNews' Andrew Osterland details what he's hearing from industry sources about a possible purchase of USB Wealth Management Americas by Wells Fargo Advisors.

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...

Finra bars former UBS rep involved in trading away investigation

June 12, 2019

The Financial Industry Regulatory Authority Inc. has barred former UBS representative and branch manager Nicolas Barrios for declining to take part in an investigation into alleged trading away activities. (More:​ UBS confronts 'one of the...

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 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...

Four-adviser team managing $530 million at UBS goes independent

May 13, 2019

Four advisers and their three staff members, who managed $530 million at UBS in Portland, Maine, have formed Great Diamond Advisors, a hybrid. The firm will use Purshe Kaplan Sterling Investments as its broker-dealer and Schwab as its custodian....

UBS places restrictions on new hires in effort to cut costs

May 1, 2019

UBS Group AG is telling executives in its large wealth management business to be more selective when hiring bankers as it seeks to cut costs following a challenging first quarter, according to people familiar with the matter. The bank has introduced...

UBS prepares for impact of massive $5 billion fine

February 22, 2019

UBS Group AG Chief Executive Officer Sergio Ermotti said the bank will prioritize protecting its dividends if it can't get out of paying a massive fine imposed in a French tax-evasion case. "We need to consider our business outlook, including...

UBS at risk after $5 billion surprise penalty

February 20, 2019

UBS Group AG's decision to fight a tax case in France, rather than settle it, led to a nasty surprise. Switzerland's biggest bank was ordered to pay more than $5 billion Wednesday over a tax-evasion case in France — matching what was sought...

UBS adviser team managing $300 million goes indie with Raymond James

May 1, 2019

Lori Siegel and Robert Russo, who managed $300 million in assets at UBS in Houston, have formed Centrix Wealth Partners and affiliated with the independent unit of Raymond James. Their three associates at UBS are joining them at the new firm....

UBS says wealthy clients add $22 billion in Q1

April 25, 2019

Rich Asians came to the rescue of UBS Group in the first quarter after CEO Sergio Ermotti's dire outlook on market conditions sent investors into shock and investment banking revenue plummeted. Wealthy clients in the Asia-Pacific region accounted...

Adviser managing $166 million moves from UBS to Stifel

April 26, 2019

Mark Scaglione, who managed $166 million in assets at the Tampa, Fla., office of UBS, has joined Stifel Nicolaus there. (More:​ See more adviser moves in InvestmentNews' Adviser on the Move database.) A veteran adviser, Mr. Scaglione began...

Team managing $314 million leaves UBS for Ameriprise

February 12, 2019

The four-adviser Vilfordi team, which managed $314 million at UBS in Dallas, Texas, has joined the employee channel of Ameriprise Financial. (More: Five-member FiNet team managing $360 million moves to LPL) The team is headed by George Vilfordi...

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