UBS INFORMATION HUB
A Curated List of Top-of-Mind Content for UBS Advisors
Answers to the most frequently asked questions when considering a transition from UBS.
Featured Podcast Episodes
In this replay of an engaging live webinar, four advisors who left Merrill, UBS, Wells, and Morgan Stanley share what tipped the scale, what surprised them, and what they wish they’d known before making a move.
LISTEN
Ben Valore-Caplan, founder of Syntrinsic, shares how he built a $2.9B mission-driven RIA to serve foundations, endowments, and values-driven institutions, the evolution of impact & ESG investing, why he sold to IMA Financial Group, and more.
LISTEN
Brett Oley and Ryan Kinser demonstrate how the power of friendship and a shared focus on the client contributed to their early success in making the leap from UBS to Raymond James, building a growing business under the independent broker dealer umbrella.
LISTENUBS Articles and Updates
More on uBS from Our Podcast
UBS in the News
UBS Sheds $14B in Wealth Assets in the Americas
Jason Diamond quoted - By Griffin Kelly, The Daily Upside - “You’ll see more advisors leaving, certainly in the first quarter, and they’re going to have a really hard time recruiting competitively for this year,” said Jason Diamond, president of Diamond Consultants.
READ ARTICLEUBS Braces for FA Attrition over Comp Changes
Louis Diamond Quoted - By Glenn Koch, FAIQ.com - The wirehouse’s CFO said on Tuesday that the firm expects some advisors to leave in response to recent compensation changes and that the firm has adjusted its 2025 financial targets accordingly.
READ ARTICLEUBS Cuts Advisor Pay. Here’s Why.
Louis Diamond Quoted - By Andrew Welsch, Barron's - “With any comp plan changes, there are winners and losers, but this is the first one where I think the best you can say is at least I didn’t get hit too hard,” says Louis Diamond, president of recruiting firm Diamond Consultants.
READ ARTICLEUBS Retools Broker Recruiting Deals, Moves Away from Salary Guarantees
Louis Diamond Quoted - By Miriam Rozen, AdvisorHub - UBS Wealth Management USA is reworking a popular feature of its recruiting deals next year that had guaranteed experienced brokers’ deferred bonuses regardless of their revenue growth.
READ ARTICLEUBS is latest firm OK’d by NFL players union
Louis Diamond Quoted - By Bruce Kelly, AdvisorHub - More than two decades old, the NFLPA's registered player financial advisor program for years was limited to individual financial advisors.
READ ARTICLEShirl Penney hands over ‘front end of the house’ to Andrew Marsh as Dynasty does post-$100-million raise, post-IPO withdrawal and post-Schwab partnering reboot
Louis Diamond Quoted - By Brooke Southall, RIABiz - Dynasty Financial Partners hired an RIA coach in April, and now it's dragging him out of retirement, handing him the controls of the ‘front-end’ and applying his advice to reboot the Mothership.
READ ARTICLEUBS Moves Facilitated by Diamond Consultants (Since 2020)
NewEdge Wealth adds Nashville team from UBS
By Faye Kilborn, Citywire – James Nichols and his team had been affiliated with UBS for a decade.
READ MORETransition Announcement: James Nichols Joins NewEdge Wealth to Expand His Entrepreneur-Focused Practice
After a decade at UBS, James Nichols joined NewEdge Wealth in Nashville, bringing more than $350mm in client assets. Guided by Diamond Consultants, he selected an RIA partner offering the flexibility, sophisticated resources, and ownership opportunities to support the next chapter of his business.
READ MORETransition Announcement: Why Two Advisors Chose the OSJ Path to Independence
Two advisors managing a combined $325mm in client assets chose LPL Financial through OSJ partners, seeking the freedom of business ownership without building entirely alone. Guided by Diamond Consultants, Les Smith and Rick Batey found a path that balanced independence, support, and growth.
READ MORETransition Announcement: Former Merrill Advisor Launches Valen Private Capital with Sanctuary Wealth
Former Merrill advisor John Durham launched Valen Private Capital with Sanctuary Wealth after 21 years at the firm. Guided by Diamond Consultants, he pursued greater flexibility, ownership, and a family office model designed for long-term growth and legacy building.
READ MORETransition Announcement: Three UBS Teams Pursue Different Paths Toward Growth and Control
Three multi-million-dollar, top-producing advisor teams left UBS in recent weeks, driven by similar themes of growth, flexibility, and long-term alignment. Their moves reflect how advisors are evaluating their futures through a much broader and more strategic lens.
READ MOREMerrill Loses $1.8 Billion Advisor Team to Wells Fargo, Hires $805 Million Team From UBS
By Andrew Welsch, Barrons - the wealth management unit of Bank of America hired three former UBS advisors: Robert Procaccianti, Jared Tack, and Doug Bennet. The trio signed on with Merrill in Providence, R.I.
READ MORE
AWARD WINNING
UBS Advisor Transition Report
Connecting the dots between data from publicly available sources and our own experiences with advisor transitions, this year’s annual Advisor Transition Report answers these questions and more.