Your goal. Your plan. Your future.

Private Wealth Management

At the Baumgardner Group, we believe we truly have the investment experience and planning framework that can make a difference in the lives of sophisticated investors. As a former Naval Aviator, equity mutual fund manager, and current Senior Portfolio Manager, Jay has a keen understanding of risk and the discipline necessary to navigate challenges—whether in the markets or the military. Our advice offers you the structured approach of a financial plan designed around your goals with customized, risk-managed investment strategies to help you pursue them.

Drawing on the powerful global resources of UBS Private Wealth Management, we have the capabilities to address and execute on each of your most important priorities and concerns—anywhere from sourcing new capital to establishing a family wealth transfer plan to exiting your lifelong business.

But beyond our solutions and investment insight is a level of caring we believe our clients value equally as much. We strive to create a comfortable rapport that's welcoming and supportive. Most important, we want to help you make choices for your family and your future that will not only strengthen your confidence in our relationship, but also provide you with more freedom to focus on the rest of your life.

Start the planning conversation

With our experience and genuine concern for your financial well-being, we hope to be an essential part of your lives and a source of clarity today and for years to come.
- Jay Baumgardner III, CFA®

How we invest

Risk, market cycles and your portfolio

When it comes to managing your portfolio, our approach is practical and straight forward—it's not mysterious like many may think. We help simplify, educate and reduce risk so you can stay focused on your long-term objective, even when short-term volatility tests your resolve. Using a range of tools and technologies, we'll help you understand your current holdings, define time horizons, assess risk tolerance, performance, cash flow and tax planning needs. We then apply all of this critical insight to developing your customized asset allocation.

Our investment philosophy

Manage risk. Repeat.
Our experience has shown us that reducing risk is the most critical part of managing substantial portfolios.

Study current market and economic cycles.
Because markets and the economy tend to be cyclical, we plan for what may be ahead and position your portfolio accordingly.

Invest in what you understand.
From stocks to bonds to alternatives, we do our own rigorous due diligence before making any decisions, which includes insights from CIO Americas, Wealth Management Research.

Leave emotions out of it.
Our selections are based on multi-level analysis and discipline—not reactive thinking.

Check in regularly.
We consistently monitor and adjust your portfolio if changes are needed and track your progress toward your goals.

How we plan

Aligning your life, priorities and strategy

No matter how complex your needs may be, we do the sophisticated planning that helps us align the appropriate solution with your needs. Within our team, planning is all about listening and understanding. We want to know all we can about you, your priorities and concerns. From there we can develop a plan of action that provides clear direction and helps make life easier over time. Depending on where you are in your life, our planning conversations may focus on liquidity management, estate planning strategies, tax and legal structures such as trusts and philanthropic vehicles, your cash flow needs or asset replacement solutions such as insurance.

Wealth, from your point of view

What’s really important to you—today and for the long term? UBS Wealth Way starts with questions and discussions that can help you organize your financial life into three key dimensions: Liquidity—to help provide cash flow for short-term expenses, Longevity—for longer-term needs and Legacy—for needs that go beyond your own.

^{UBS Wealth Way is an approach incorporating Liquidity. Longevity. Legacy. strategies, that UBS Financial Services Inc. and our Financial Advisors can use to assist clients in exploring and pursuing their wealth management needs and goals over different time frames. This approach is not a promise or guarantee that wealth, or any financial results, can or will be achieved. All investments involve the risk of loss, including the risk of loss of the entire investment}

UBS Private Wealth Management

Where access meets opportunity

As members of the exclusive Private Wealth Management division of UBS, we can access the capabilities, global solutions and intellectual strengths of our experts in Wealth Management, Asset Management and our Investment Bank—all the resources our sophisticated clients and their families need to fulfill their most important goals.

UBS Private Wealth Management

Family and Philanthropy Advisory
Our team also has extensive expertise with family wealth and the issues it can raise—from generational transfer of businesses to liquidity management to private foundations and philanthropy. Working with a team of specialists, we'll take a systematic approach that extends beyond the purely financial.

Portfolio Advisory Group
A truly customized portfolio should be informed by insights that align with your goals. The Portfolio Advisory Group provides us with advanced quantitative analysis and proprietary research for a dynamic asset allocation designed to address your specific needs.

Tailored financing solutions
Through the UBS Banking platform, you can gain access credit solutions, including securities backed lending, pre-IPO lending and mortgages as well as customized financing solutions for commercial real estate.

Industry-leading wealth management research
By drawing upon our investment analysis and the global body of thought leadership and market insight of our Chief Investment Office (CIO), we help ensure are clients are receiving the firm‘s best strategic and tactical allocation guidance.

^{Credit and lending services are provided by banking affiliates of UBS Financial Services Inc., and are subject to credit approval.}

Legacy—Wealth for others

For needs that go beyond your own—to help you improve the lives of others

What will your legacy be?
It’s never too early to plan ahead. A Legacy strategy can help you gain more control over your financial future and what you leave behind, so you can move forward with confidence.

Learn more at ubs.com/wealthway.

Jay Baumgardner III, CFA

Managing Director–Wealth Management

Private Wealth Advisor
View bio
- AL
- AR
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- IA
- ID
- IL
- IN
- KS
- KY
- MA
- MD
- MI
- MN
- MS
- NC
- NH
- NJ
- NV
- NY
- OK
- OR
- PA
- RI
- SC
- TN
- TX
- UT
- VA
- WA
- WI
Discipline, integrity and responsibility

Jay has always been guided by discipline, integrity and responsibility. From his former life in the military to today, as a seasoned Private Wealth Advisor and portfolio manager, he applies those principles to his investment philosophy, particularly when it comes to managing risk. Jay takes into account your bigger wealth picture. He also focuses on the details. Diversification and financial planning are key to the strategy he recommends for you.

“I strive to be an Advisor our clients want for life—building a caring team that shares client values, believes in doing the right thing, and puts clients first.”
— Jay Baumgardner

Looking beyond the comprehensive financial advice Jay provides, you’ll find a deep commitment to the well-being of his clients, and a team that puts clients above all else.

Previous experience
- Executive Director, J.P. Morgan, 2009 – 2016
- Senior Portfolio Manager, Wells Fargo, 2004 – 2008
Achievements and education
- Private Wealth Advisor
- Chartered Financial Analyst® (CFA®)
- Series 7, 63 and 65 licenses
- B.A., business administration, East Tennessee State University
- M.B.A., Webster University
Life
- Jay is a former officer in the U.S. Marine Corps. and Naval Aviator.
- He enjoys time with his family, his friends and golf.
- Private Wealth Advisor
- Senior Portfolio Manager
- Chartered Financial Analyst®
888 San Clemente Drive
Suite 300
Newport Beach, CA 92660
Danielle Barabino

Senior Wealth Strategy Associate
View bio
- AL
- AZ
- CA
- CO
- DC
- FL
- GA
- IA
- IL
- IN
- KS
- KY
- LA
- MA
- MD
- MI
- MN
- MS
- NC
- NH
- NJ
- NV
- NY
- OK
- OR
- PA
- SC
- TN
- TX
- UT
- VA
- WA
Danielle Barabino is a Senior Wealth Strategy Associate at UBS. She supports Financial Advisor Jay Baumgardner’s practice by servicing his clientele of high-net-worth individuals, affluent families and corporations, and providing operational and sales assistance across his multiple lines of business. Danielle enjoys the challenges of helping Jay develop tailored strategies designed to pursue the diverse needs and goals of his clients. She relies on her interpersonal skills to help manage their expectations, and to navigate systems, resources, and departments within the firm to streamline the administrative and operations processes. She also applies her analytical knowledge and team building skills to her role in Jay’s practice. Danielle joined UBS in 2016 after serving as a Client Associate for J.P. Morgan Securities. She graduated from the University of California, Irvine in 2015 with a Bachelor of Science degree in Mathematics while playing collegiate water polo.
888 San Clemente Drive
Suite 300
Newport Beach, CA 92660
Kelli Baumgardner

Senior Wealth Strategy Associate
View bio
- AL
- AZ
- CA
- CO
- DC
- FL
- GA
- IA
- ID
- IL
- IN
- KS
- KY
- LA
- MA
- MD
- MI
- MN
- MS
- NC
- NH
- NJ
- NV
- NY
- OK
- OR
- PA
- SC
- TN
- TX
- UT
- VA
- WA
- WI
Kelli began her career at UBS PWM in Century City in 2018. She is responsible for investment proposals, asset allocations and helping strategize clients’ needs for their unique lifestyles. She’s also the point of contact for our next generation clients. Kelli graduated from the University of California, Irvine in 2018 with a Bachelor of the Arts degree in Economics.
888 San Clemente Drive
Suite 300
Newport Beach, CA 92660
Antoine Lena

Senior Wealth Strategy Associate
View bio
- AL
- AZ
- CA
- CO
- CT
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- KS
- KY
- MA
- MI
- MS
- NC
- NH
- NJ
- NV
- NY
- OK
- PA
- SC
- TN
- TX
- UT
- VA
- WA
- WI
Antoine is a Registered Client Service Associate at UBS since October 2018. He joined the Baumgardner team in February 2018 as an Intern. Antoine is now supporting the team's practice by servicing their clientele of high-net-worth individuals. He assists with customizing portfolios for the team's clients. Antoine earned his bachelor degree in Economics and his master degree in Financial Mathematics from the University of California, Irvine. Antoine developed his work ethic, attention to detail and teamwork skills as a NCAA Division 1 water-polo player at UC Irvine.
888 San Clemente Drive
Suite 300
Newport Beach, CA 92660

Jay Baumgardner III, CFA

Managing Director–Wealth Management

Private Wealth Advisor
View bio
- AL
- AR
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- IA
- ID
- IL
- IN
- KS
- KY
- MA
- MD
- MI
- MN
- MS
- NC
- NH
- NJ
- NV
- NY
- OK
- OR
- PA
- RI
- SC
- TN
- TX
- UT
- VA
- WA
- WI
Discipline, integrity and responsibility

Jay has always been guided by discipline, integrity and responsibility. From his former life in the military to today, as a seasoned Private Wealth Advisor and portfolio manager, he applies those principles to his investment philosophy, particularly when it comes to managing risk. Jay takes into account your bigger wealth picture. He also focuses on the details. Diversification and financial planning are key to the strategy he recommends for you.

“I strive to be an Advisor our clients want for life—building a caring team that shares client values, believes in doing the right thing, and puts clients first.”
— Jay Baumgardner

Looking beyond the comprehensive financial advice Jay provides, you’ll find a deep commitment to the well-being of his clients, and a team that puts clients above all else.

Previous experience
- Executive Director, J.P. Morgan, 2009 – 2016
- Senior Portfolio Manager, Wells Fargo, 2004 – 2008
Achievements and education
- Private Wealth Advisor
- Chartered Financial Analyst® (CFA®)
- Series 7, 63 and 65 licenses
- B.A., business administration, East Tennessee State University
- M.B.A., Webster University
Life
- Jay is a former officer in the U.S. Marine Corps. and Naval Aviator.
- He enjoys time with his family, his friends and golf.
- Private Wealth Advisor
- Senior Portfolio Manager
- Chartered Financial Analyst®
888 San Clemente Drive
Suite 300
Newport Beach, CA 92660
Danielle Barabino

Senior Wealth Strategy Associate
View bio
- AL
- AZ
- CA
- CO
- DC
- FL
- GA
- IA
- IL
- IN
- KS
- KY
- LA
- MA
- MD
- MI
- MN
- MS
- NC
- NH
- NJ
- NV
- NY
- OK
- OR
- PA
- SC
- TN
- TX
- UT
- VA
- WA
Danielle Barabino is a Senior Wealth Strategy Associate at UBS. She supports Financial Advisor Jay Baumgardner’s practice by servicing his clientele of high-net-worth individuals, affluent families and corporations, and providing operational and sales assistance across his multiple lines of business. Danielle enjoys the challenges of helping Jay develop tailored strategies designed to pursue the diverse needs and goals of his clients. She relies on her interpersonal skills to help manage their expectations, and to navigate systems, resources, and departments within the firm to streamline the administrative and operations processes. She also applies her analytical knowledge and team building skills to her role in Jay’s practice. Danielle joined UBS in 2016 after serving as a Client Associate for J.P. Morgan Securities. She graduated from the University of California, Irvine in 2015 with a Bachelor of Science degree in Mathematics while playing collegiate water polo.
888 San Clemente Drive
Suite 300
Newport Beach, CA 92660
Kelli Baumgardner

Senior Wealth Strategy Associate
View bio
- AL
- AZ
- CA
- CO
- DC
- FL
- GA
- IA
- ID
- IL
- IN
- KS
- KY
- LA
- MA
- MD
- MI
- MN
- MS
- NC
- NH
- NJ
- NV
- NY
- OK
- OR
- PA
- SC
- TN
- TX
- UT
- VA
- WA
- WI
Kelli began her career at UBS PWM in Century City in 2018. She is responsible for investment proposals, asset allocations and helping strategize clients’ needs for their unique lifestyles. She’s also the point of contact for our next generation clients. Kelli graduated from the University of California, Irvine in 2018 with a Bachelor of the Arts degree in Economics.
888 San Clemente Drive
Suite 300
Newport Beach, CA 92660
Antoine Lena

Senior Wealth Strategy Associate
View bio
- AL
- AZ
- CA
- CO
- CT
- DC
- FL
- GA
- HI
- ID
- IL
- IN
- KS
- KY
- MA
- MI
- MS
- NC
- NH
- NJ
- NV
- NY
- OK
- PA
- SC
- TN
- TX
- UT
- VA
- WA
- WI
Antoine is a Registered Client Service Associate at UBS since October 2018. He joined the Baumgardner team in February 2018 as an Intern. Antoine is now supporting the team's practice by servicing their clientele of high-net-worth individuals. He assists with customizing portfolios for the team's clients. Antoine earned his bachelor degree in Economics and his master degree in Financial Mathematics from the University of California, Irvine. Antoine developed his work ethic, attention to detail and teamwork skills as a NCAA Division 1 water-polo player at UC Irvine.
888 San Clemente Drive
Suite 300
Newport Beach, CA 92660

Backed by the strength of UBS

A global leader in wealth management

^$2.8 trillion

In invested assets globally
As of 06/30/2022

51 countries

Our global footprint

Global leader

UBS is a world-leading wealth manager

Insights

Start the conversation

Are you a UBS Client?

Leave this empty:

Your goal. Your plan. Your future.

How we invest

How we plan

UBS Private Wealth Management

Legacy—Wealth for others

Jay Baumgardner III, CFA

Danielle Barabino

Kelli Baumgardner

Antoine Lena