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Diamond Consultants: Financial Advisor Recruiting FirmDiamond Consultants: Financial Advisor Recruiting Firm
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UBS Information Hub

A curated list of top-of-mind content for UBS Advisors

Podcasts | Articles | News | Moves in the News

Featured Podcast Episodes…
From Termination to Expungement: A Former $350mm UBS Advisor Finds Success in Independence

The heightened sense of vulnerability in the big firms became a reality for Jeff Boudjouk who was terminated from UBS—a charge which has since been expunged. Jeff shares the harrowing journey in candid detail and the first steps he took to keep his business life moving forward. He discusses the relationship with partner Anthony Landi and how they found a new home in independence with Kestra Private Wealth Services as Northeast Investment Group. Jeff offers a cautionary story for those who play by the rules but find themselves caught up in a world where compliance is the dominating force. Listen->

 

Why a $5B UBS Breakaway Team Set Out to Build the “Boutique Firm of the Future”

Former UBS advisors managing $5B in assets, Rob Sechan and Jeff Kobernick, found that servicing ultra-high net worth clients became difficult at the wirehouse. Yet they couldn’t find another option that aligned with their vision—so they built RIA NewEdge Wealth with EdgeCo Holdings and other UBS veterans. In this episode, Rob shares their journey, starting with how he and Jeff built a mega-business at UBS, what changed over time and how those changes impacted their ability to serve clients, what options they considered prior to launching NewEdge, why he sees it as the “boutique firm of the future,” and much more. Listen->

UPDATED FOR 2022

To access the answers to the top questions from UBS advisors, just complete the form below. Please note that you are providing your email address without any other intent or obligation, and with complete confidentiality.

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UBS Articles and Updates…

If Not Another Wirehouse, Then What? - By Jason Diamond for WealthManagement.com
If Not Another Wirehouse, Then What?
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If Not Another Wirehouse, Then What?
By Mindy Diamond - The change in compensation that UBS recently announced reflects a tightening of the reins by the firm’s Swiss banking parent. This combined with a retrenchment in recruiting sends a strong message that the battle for control between advisor and firm is slowly but surely being lost by advisors. 
While UBS leadership spins this comp change as a positive, generally speaking, advisors are not seeing it that way.
UBS Comp Change: An Equal Opportunity Offender
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UBS Comp Change: An Equal Opportunity Offender
By Barbara Herman - The opportunity for an advisor to monetize his life’s work without having to change firms can be very compelling. However, the reality is that the decision to do so comes with some important caveats requiring careful consideration by the advisor looking at retirement as well as his successors. Uncovering the potential and hidden risks of retire-in-place programs like ALFA often comes down to answering these 8 questions.
UBS ALFA Program: Understanding the Real Impact on All Advisors, Their Clients, Their Teams and Their Future
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UBS ALFA Program: Understanding the Real Impact on All Advisors, Their Clients, Their Teams and Their Future
By Mindy Diamond – No doubt the headlines exclaiming that UBS pulled out of the Protocol for Broker Recruiting (AKA the Protocol) have reached you by now. Certainly announcements like this cause an abundance of emotions from fear and anxiety to anger and everywhere in between for advisors who were protected by the seminal document. There are some realities that every advisor should be aware of, before allowing your emotions to get the best of you.
What you need to know about UBS leaving the Protocol
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What you need to know about UBS leaving the Protocol

See all articles…

More on UBS from our Podcast…

From Termination to Expungement: A Former $350mm UBS Advisor Finds Success in Independence
LISTEN NOW
From Institutional to Private Wealth: A Former UBS Advisor on Growth, Expansion and Building a $6B Firm
LISTEN NOW
The Growth Puzzle: UBS Breakaway Team Shares Their Path to 2x Growth in Year One
LISTEN NOW

See all episodes…

UBS in the News…

Diamond Consultants - In the News
6 Missteps That Trip Up Brokers Who Leave Big Wall Street Firms
READ ARTICLE
Diamond Consultants - In the News
UBS’s Chosen Few Stand to Reap New Bonus for Top Earners
READ ARTICLE
Diamond Consultants - In the News
UBS Comp Changes Make It Harder to Battle Asset Outflows–Analysis
READ ARTICLE
Diamond Consultants - In the News
UBS Touts New Pay Grid as Reward; Not Everyone’s Happy: Sources
READ ARTICLE
Diamond Consultants - In the News
UBS Polishes Offers for Private Bankers with Upfront Cash
READ ARTICLE
Diamond Consultants - In the News
UBS to Close U.S. Private Bank; Advisor Attrition, Client Exits Predicted
READ ARTICLE
Diamond Consultants - In the News
Disillusioned UBS vet bolts wirehouse, declares independence on 65th birthday
READ ARTICLE
Diamond Consultants - In the News
Shirl Penney lands UBS team as Dynasty Financial tower-mate in a sign the breakaway movement remains explosive, despite turning to ‘quiet launches’ during the COVID-19 pandemic
READ ARTICLE
Diamond Consultants - In the News
UBS Extends 2020 Comp Plan’s Team Threshold Deadline by Six Months
READ ARTICLE
Diamond Consultants - In the News
UBS Loses East Coast, West Coast, Midwest Teams
READ ARTICLE
Diamond Consultants - In the News
First Republic adds $500m-plus UBS team
READ ARTICLE
Diamond Consultants - In the News
UBS Recruited Fewer Than Two Dozen U.S. Advisors This Year, Executive Says
READ ARTICLE

See all news…

UBS Moves Facilitated by Diamond Consultants (since 2020)

Transition Announcement: $1B Father and Son Team Leave UBS for Independence

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How a $1B father-son team in Arkansas left UBS for full independence

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Father-Son Team Leaves UBS to Start Independent Practice With TruClarity

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Transition Announcement: Young $770mm UBS Team Opts for Independence with Sanctuary

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Young UBS Team With $770 Million Goes Indie With Sanctuary

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Transition Announcement: UBS Team with $850mm AUM Goes Independent with Sanctuary Wealth

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UBS Loses $850 Million Advisor Team to Sanctuary Wealth

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Transition Announcement: First Republic Private Wealth Management Welcomes UBS Advisor Managing Over $900mm

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Morgan Stanley Snags Six-Advisor UBS Team in D.C. With Billion-Dollar Book

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Transition Announcement: $850mm UBS Advisor Breaks Away For Independence

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Firm Breaks Away From UBS to Start $850M Indie RIA

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Former UBS Advisor Launches N.Y. Independent RIA With $850M AUM

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Wirehouse Exit: $850 Million Team Quits UBS to Launch RIA

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Why One UBS Vet Split for Independence

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Wire Wars: Wells Nabs $7-Million Team Led by 30-Year UBS Vet in Newport Beach

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$200m UBS vet joins Sanctuary Wealth affiliate

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$375m UBS team launches Summit-backed RIA

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Morgan Stanley Hires $4-Mln UBS Private Wealth Team in Chicago

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Rockefeller Nabs $900-Mln Merrill Team in CA, Two from UBS in TX and AZ

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Team managing $1.2 billion at UBS joins Raymond James

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$400m ex-UBS team launches Dynasty-backed RIA

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$1.2 Billion UBS Advisor Team Goes Indie

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$330m ex-UBS trio launches TruClarity-backed RIA

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UBS team managing $330 million forms RIA

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UBS Breakaways Launch LA Wealth Management Practice

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Morgan Stanley Hires $1 Billion-Asset Texas Team from UBS

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UBS Loses East Coast, West Coast, Midwest Teams

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$175M UBS team breaks away for ‘concierge level of service’

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See all deal announcements…

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