UBS Transition Services

Making a successful move. How we integrate white-glove concierge services to simplify the transition process.

by Lucy Lechich, Head of Transition Services, UBS Wealth Management

A variety of factors may influence an advisor’s decision to move to another firm. UBS offers a supportive workplace, advisor-centric culture, world-class resources, and the ability to provide greater value and service to our clients.

Making a career move to a new firm can seem overwhelming. We understand how vital a successful transition experience can be when thinking about moving to a new firm. Our dedicated leadership and transition teams will provide you with the tools to allow for a seamless integration into UBS.

We are proud to say we are financial advisor-focused and client-centric. When it comes to transitioning to UBS as a new advisor, we will provide you with robust transition support to join the most productive advisors in the industry so that you can immediately offer best-in-class services to your clients. We will help you navigate the entire process with confidence and be with you at every stage of your transition.

This article provides an overview of our disciplined four-stage transition process and the resources we provide to help you transition successfully to UBS.

UBS Transition Services: Service. Support. Guidance.

UBS offers a white-glove concierge service designed to provide you with tailored service, support and guidance vital to moving your business. You will be assigned a dedicated transition team upon joining UBS. This team is committed to alleviating the administrative burdens of a transition event while offering the highest caliber of project management, trade execution and complete transparency.

“We underestimated how important the transition would be,” according to a recent recruit. “The team has been helpful, and it is now clear that for any Financial Advisor who considers making a change like this, you need the support of the team of transition SEALs.”

Our 4-stage transition process: here is how it works

Our local field leadership and transition teams work together to ensure your move to UBS is as seamless as possible. We offer a customized strategy, a unique approach using advanced technology, and a team of seasoned professionals nationwide who support moving your business quickly and efficiently.

Stage 1. 30 Days before you join

Laying the foundation—an experience that begins weeks before you come on board

The local UBS branch manager will introduce you to the UBS strategy and discuss how our capabilities compare to those of your current firm. Then, the branch manager can coordinate opportunities for you to meet with UBS senior management and representatives from the product areas that align with your specific business.

Branch management will work with our product specialists to ensure compatibility with UBS’s platform and focus on any questions you may have prior to your move. The branch manager will also introduce you to the transition team so you know what you can expect from your move. Our dedicated transition team will work closely with you on all your onboarding needs.

“The Transition Team specialists have the process nailed down,” according to a recent recruit. “They run like a well-oiled machine. The Transition Team made it as organized as it could’ve been.”

Stage 2. 15 Days before you join

Paving the way for a “great day one” by connecting you with valuable resources

Our local transition team will partner with the branch management team to provide “on-the-ground” support and ensure a seamless integration of your book of business. Transition support also assures that the branch is fully prepared for your arrival on day one. During these two weeks before your start date, you can take advantage of this time to review our premier marketing materials.

Stage 3. Days 1 to 90

Getting off to a fast start

On your first day at UBS, your dedicated transition team will guide you through the process. As clients signal they want to move their accounts, this team will begin to create and mail client packages for you, including all account transfer request forms customized on your behalf with information provided by the clients. The goal is to help you move your book of business quickly and efficiently, and to minimize any disruption in business for you and your clients. The transition team knows exactly what they need from the clients and strives to make the process as user-friendly as possible.

Your local transition team will monitor your asset transition and collaborate closely with you and the local branch manager to address any issues. Also, during your first three months, you will receive a comprehensive UBS training and education schedule to help you familiarize yourself with the UBS Wealth Management platform.

You will also be provided with support from our dedicated technology onboarding team, which will help with any hardware and software entitlements. They will ensure that you are fully integrated into the UBS systems on day one.

Stage 4. 90+ Days

Support for the long term

We are committed to your ongoing success. The transition team will provide the branch management team with the best practices to ensure your business continues to run smoothly. They will also provide you and your branch manager with a transition summary, which captures the tracking of all client assets that have transferred or are in the process of transferring to UBS.

Our long-term support includes virtual home office visits with peers and senior leaders who can offer insights on the firm’s products and platforms. In addition, your branch manager will assist you in developing a business plan for your practice. We also provide Financial Advisor and Client Service Associate competency development, including business planning, UBS products, services and capabilities training, along with industry-recognized designation curriculums.

Learn more about the UBS Advisor recruiting process here.

The J.D. Power 2022 US Full-Service Investor Satisfaction Study is independently conducted, and the participating firms do not pay to participate. Use of study results in promotional materials is subject to a license fee.

UBS received the highest score in the J.D. Power 2022 US Full-Service Investor Satisfaction Study of investors’ satisfaction with full-service investment firms. The study was conducted between November 2021 and January 2022 and is based on responses from 4,396 investors who make investment decisions with a financial advisor. Eighteen firms receiving 100 or more completed surveys were eligible to be included in the ranking. Visit for more details. J.D. Power rankings may not be representative of any one client’s experience because it reflects an average of the overall sample and represents only a small percentage of the total number of UBS customers. The ranking is not indicative of future performance.

UBS Transition Services success

We are proud that our Transition Services team has produced consistent results over time. In fact, our recent wirehouse recruits have successfully transitioned between 90 percent to 100 percent of their client assets to UBS in their first year.

And by putting our clients first, we are honored to be awarded #1 in overall client satisfaction, according to the J.D. Power 2022 US Full-Service Investor Satisfaction study.

To learn more about how our white-glove transition services can support your business growth or to apply for a Financial Advisor role, submit your contact information to be connected with a Field Leader.

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