Where Advocacy Begins

Financial Planning and Goal Analysis
Understanding your financial goals is critical to our process. We begin by working with you to assemble a comprehensive financial picture which helps to guide our thinking and our recommendations to you. 

Cash flow analysis
Our fact-finding process results in the construction of a road map for meeting your long-term goals. This business plan for your personal life provides metrics to measure success and context for important financial decision-making.

Trust and estate planning strategies
From helping reduce estate tax exposure to personal or business asset preservation, to transitioning wealth to future generations or pursuing philanthropic endeavors, we have the experience and the network to address your complex needs. We can help you develop a new plan, or we can review your existing plan against an ever changing tax and legal landscape.

Philanthropic strategies
Many clients have well-established patterns of giving, while others are looking to develop a plan.  In either case, we can be helpful in developing or refining an approach to maximize impact and the efficiency of their contributions through the use of private foundations and donor-advised funds as well as directed giving.

Insurance review
Our team views insurance as a tool to help preserve your family’s assets, replace income and create a legacy for future generations. We objectively analyze all your current policies to determine whether they can meet your long- term planning goals.

Integrated advice
Because we believe the best advice comes from a collaborative team working for your best interests, we work extensively with your CPA and attorneys to provide you with the clarity and guidance you need.  We can also assist in finding the right CPA and/or attorneys for your needs.

Investment allocation
Our financial planning process supports us to determine your family’s goals, growth and income needs and risk tolerance. From there we can craft a prudent investment allocation for your needs.

Investment management
Our comprehensive due diligence process supports our commitment to find investment solutions with the best alignment of interests and the most attractive risk-adjusted return.

Option income strategies, hedging and futures trading
Using futures, options and/or covered call writing for income, we construct customized portfolios that reflect your family's risk and return expectations. Our team is experienced in derivative trading for select clients who wish to hedge their exposure to concentrated equity positions, currencies, interest rates or commodities.

Illiquid and alternative investments
Wealthy families often invest in illiquid, alternative assets. Our team is well positioned to source, advise on, value and report on alternative investments our clients hold or are considering.

Banking and lending services
UBS offers access to a wide range of banking and lending services. 

Corporate executive services
Many of our clients have amassed wealth through ownership of public or private businesses. In the case of privately held businesses, we can help determine how best to create value. For key executives of publicly traded companies we offer corporate benefit stock plan services, as well as hedging and diversification strategies on their concentrated positions.

Investment banking
Our team offers complete access to the firm’s network of investment bankers, including industry and product specialists, mergers and acquisitions, as well as debt and equity capital markets.

Global family office services
Our team offers a cost-effective alternative to starting your own family office, as well as individual services and access to the UBS investment bank that complement your existing family office infrastructure.

Family Advisory and Philanthropy Services
The best-laid financial plans can fail in the absence of shared family values and financial literacy. We have the programs and workshops to help your family manage these critical issues and build a thoughtful wealth transition plan for future generations and promote a meaningful intergenerational dialogue about what really matters.

Family Office Solutions
Through our collaboration with a team of specialists, we’ve extended our capabilities to provide family office clients with a bespoke set of solutions that can address their needs for growth, capital preservation and generational wealth transitions.

The decision to exit your business is rarely simple, and in some cases, it can take five years or more. John DeRosa, as a Certified Exit Planning Advisor, and our entire team, bring decades of experience helping entrepreneurs and founders buy, expand and exit their companies. We believe it's never too early to access the right advice and team of advisors to build our strategic plan for each step of the selling process.

Once you've made your decision to sell, we can work with you to determine the right investment banking relationship. You'll have many choices to consider, including the UBS Investment Bank and the boutique investment banks that are part of our network.

Planning for the sale
Prior to the transaction, we help you develop a personalized strategy that includes important estate planning considerations that can impact your long-term goals and the next generation, post-sale. Our advice addresses:

• Structure and timing
• Valuation opportunities
• Risk management
• Liquidity strategies
• Your estate, potential succession and tax considerations
• Collaboration with UBS investment banking teams

Driven to exceed your expectations
Many of our clients have chosen us for the depth of our experience and the substance of advice that comes with managing wealth for a unique community of affluent investors. Yet many of those same clients have also told us of their surprise when they actually experience the level of services we deliver.

Our advice is comprehensive and never simply transactional. We anticipate your needs to provide you the services you will need today, tomorrow, and beyond.

Administration
We demonstrate our advocacy by coordinating all the moving parts of your financial life, including fund transfers, banking and lending, insurance, insurance reviews, tax reporting, and illiquid and closely held asset valuations.

Ongoing review
We recommend meeting in-person quarterly, but our door is always open, and we rely on your feedback to help optimize your experience.