UBS’ Platform and Technology
The UBS platforms (ACCESS, Strategic Advisor, Strategic Wealth Portfolio, etc.) seem to be the strongest in terms of the availability of managers and the competitiveness of manager pricing. Is manager pricing higher elsewhere? Will I have to swap out managers if I changed firms?
UBS’ investment models and research are essential to the way in which I manage portfolios in PMP and PACE. What would I do if I left? Do other firms have similar tools?
What if my clients rely upon the UBS network of trust companies? Do other firms offer trust services?
How does technology at UBS compare to the technology found at other firms or in the independent space?
Will I be able to replicate the robust financial planning tools available at UBS? And can I continue to charge clients separately for financial planning?
How do I access a sophisticated alternatives platform like I have at UBS?
How do I replicate the UBS consumer and commercial credit and lending capabilities? Are lending rates similar at other firms?
Securities-based lending (SBL) is an important service for my clients. Is it available elsewhere? How do I make sure my clients aren’t impacted?
Many of my clients are international. While there have been more restrictions in the last few years, UBS still seems to be one of the most accommodating firms for advisors with an offshore client base. In terms of their ability to support international business, how do other wirehouses, regionals and the independent space compare?
UBS’ ALFA, Succession Planning and Other Common Concerns
My partner signed on to ALFA. What does this mean for me?
Do other firms have programs comparable to ALFA? The enhanced ALFA program seems like it’s the best succession deal on the Street.
I’m 3-to-5 years from retirement; why shouldn’t I just sign on to ALFA?
Regional firms, independent broker dealers and RIAs don’t have the same name cachet as UBS. I’m concerned that my clients will not follow me if I leave the UBS brand behind.
UBS is no longer part of the broker Protocol; what does that mean to me?
If I decide to leave UBS, what happens to my deferred compensation?
I’ve always wanted to write my own market commentary, customize my website and do creative things to attract new business. Will I be able to do this at other firms?
UBS has a strong cash grid and team compensation structure. How does it compare to other payout structures on the Street?
The minimums required for both advisors and clients to access certain resources and specialists keeps increasing. Is it the same elsewhere?
I like that UBS is the “boutique” within the wirehouse world. Will I lose this “culture” if I move elsewhere?
I work with UHNW clients and UBS’ PWM unit offers me a bespoke experience within a large firm. Are there UHNW specific groups within other major firms?