• Home: Leading Financial Advisor Recruiting Firm
  • About Us
    • Meet the Team
    • Testimonials
    • Case Studies
    • Representative Deals
  • Services
    • For Financial Advisors
    • For Independent Business Owners
  • FAQs
  • Articles
  • Podcast
    • Industry Update
    • Independence 101 Series
  • In the News
  • Tools & Resources
    • FAQs for Merrill Advisors
    • FAQs for UBS Advisors
  • Contact Us
  • Subscribe for Updates

Questions? Call us: 908-879-1002

Contact us...
Diamond Consultants: Financial Advisor Recruiting FirmDiamond Consultants: Financial Advisor Recruiting Firm
  • Home
  • About
    • Meet the Team
      • Mindy Diamond
      • Louis Diamond
      • Howard Diamond
      • Jason Diamond
      • Barbara Herman
      • Deborah Aronson
      • Wendy Leung
      • Cathy Nichols
      • Debbie Wallen
      • Allison Brunwasser
      • Joshua Tomolak
      • Shelley Muzio
      • Caryl Felicetta
      • Donna Riopel
    • Testimonials
    • Case Studies
    • Representative Deals
  • Services
    • For Financial Advisors
    • For Independent Business Owners
      • Sell-Side M&A Advisory
      • Consulting
  • FAQs
  • Articles
    • Subscribe for Updates
  • Podcast
    • Industry Update
    • Independence 101 Series
    • Subscribe for Updates
  • In the News
    • Moves in the News
  • Tools & Resources
    • FAQs for UBS Advisors
    • FAQs for Merrill Advisors
    • Other Tools For Advisors
    • Subscribe to e-Newsletter

UBS Advisors Ask...

Answers to the most frequently asked questions when considering a transition from UBS

Many UBS advisors, like you, may be exploring your options with another firm or maybe even another model. And much like your colleagues, you may find yourself getting stuck in the weeds, searching for answers to questions…questions that are likely asked and answered far more often than you realize.

For instance, you may find yourself wondering how you will replicate the features and competitive pricing you have with UBS’ platforms such as ACCESS, Strategic Advisor and Strategic Wealth Portfolio. Or your ability to conduct extensive research as you currently do in PMP and PACE. Maybe it’s concerns about losing your hard-earned deferred comp or the potential that lies in UBS’ ALFA program.

In an effort to fill those knowledge gaps – and help you make a proactive and informed decision around whether to stay with UBS or consider other opportunities – we’ve gathered the top questions and answered them using the combined knowledge of our team and other industry experts, as well as information derived from both former and current UBS advisors.

Included here is a selection of some of the most frequently asked questions. For the complete list, as well as the answers, just fill out the form below. Please note that you are providing your email address without any other intent or obligation, and with complete confidentiality.

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?

Get the answers…

Simply complete the form below.

Please note: Your information is shared only within our firm in complete confidence and without obligation.

Still have questions?

If you have a question not covered here or are looking for information specific to another firm, feel free to click here to contact us or call 908-879-1002.

We're available to answer your questions. Contact us

Connect with us

Search

© 2022 · Diamond Financial Consultants, LLC t/a Diamond Consultants. All rights reserved.*

  • Leading Financial Advisor Recruiting Firm:
  • About
  • Services
  • FAQs
  • Articles
  • Podcast
  • News/Media
  • Tools/Resources
  • Contact
  • Our Locations
  • Privacy Policy
  • Site Map