Insight for every stage of your business

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Mike joined UBS in 2002 after beginning his career in the technology sector where he started a branch of a Fortune 500 company that grew to be #2 of 24 in the nation. He then moved to Arthur Andersen where he ran the e-business consulting practice in Columbus, Ohio.

Mike is a Certified Exit Planning Advisor (CEPA) where he helps other entrepreneurs as they create, grow and eventually transition their businesses.

As a Certified Financial Planner (CFP®) Mike works directly with business owner families to implement multi-generational plans with customized investment, borrowing and risk management strategies.

Mike is a part of the 3 Point Legacy Advisors group where he currently manages portfolios for over 100 Captive Insurance Companies. The goal for these portfolios is to achieve growth while maintaining stability and liquidity to pay claims and expenses. The group considers liquidity needs, domicile requirements, Captive Manager preferences and growth objectives in the portfolio construction.

Mike is an industry recognized leader and was awarded Forbes/SHOOK Best-in-State Wealth Advisors, 2021. UBS was awarded “Bank of the Year” and Mike was personally named, “Banker of the Year” in the Captive Insurance industry by “Captive International” in 2021.

Current and former community work includes; Junior Achievement Board Chair, Moeller High School Alumni Board, Church Youth Group Leader, HOBY Leadership Program Director, Miami University Football Alumni Board, Dublin Youth Football League Board Secretary and the Ohio Captive Insurance Association.

His personal interests include working out, racquetball, yoga, and participating in a weekly bible study with six of his closest friends. Mike is also the Chapel Leader for the Columbus Clippers (Cleveland Guardians AAA) baseball team.

Mike and his wife Nicole have been married for roughly 30 years, have two adult children (Nathan and Madison), and reside in Dublin, Ohio.

• Forbes Best-in-State Wealth Advisors, 2021, 2022, 2023The Forbes rating is compiled by Shook Research and awarded annually in April based on information from a 12 month period ending June of the prior year.
• Forbes Best-in-State Wealth Management Teams, 2023The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.

• Senior Vice President–Wealth Management

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A leader in the wealth management industry for business owners and exceptional families. She has dedicated her career to advising business owners on their succession options, including Employee Stock Ownership Plans (ESOPs). Today, as a multi-credentialed member of The ESOP Group, Leslie continues to work closely with business owners and their families. With more than 30-years of expertise, she and her team are uniquely qualified to assist clients on all aspects of tax, estate and retirement planning, asset allocation, insurance solutions, lending and strategic philanthropy. Leslie advises a number of corporate client relationships as well, providing them with cash management, executive compensation and captive insurance company asset management.

Family Office Consultant (FOC)
While Leslie’s extensive ESOP, captive insurance company asset management and corporate experience has helped differentiate her within the industry, she has expanded her work with family offices that could benefit from her investment and planning insight. Leslie is among a select group of Financial Advisors who have earned the UBS business designation of Family Office Consultant (FOC). She has undergone rigorous training to strengthen her knowledge and proficiency to help manage the investment, business, passion and legacy needs of sophisticated, ultra-high net worth clients and their families. Leslie understands the complexities of intergenerational wealth and the challenges faced by exceptional clients. She aligns their specific needs to the full suite of UBS capabilities to help them pursue their most important goals.

• Barron’s Top 100 Private Wealth Management Teams, 2021, 2023The Barron's rating is awarded annually in March and is based on information from the prior year Q4.
• Barron's Top 1,200 Financial Advisors, 2018, 2019, 2020, 2021, 2022, 2023
  The Barron's rating is awarded annually in March and is based on information from the prior year Q3. 
• Barron's Top 100 Women Advisors, 2016, 2017, 2018, 2019, 2020, 2021, 2022The Barron's rating is awarded annually in June and is based on information from the Q1 of the award year.
• Forbes America’s Top Wealth Management Teams, 2022The Forbes rating is compiled by Shook Research and awarded annually in November based on information from a 12 month period ending in March of the award year.
• Forbes America’s Top Women Wealth Advisors, 2017, 2018, 2019, 2020, 2021, 2022, 2023The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.
• Forbes America's Top Wealth Advisors, 2021, 2022, 2023The Forbes rating is compiled by Shook Research and awarded annually in April based on information from a 12 month period ending June of the prior year.
• Forbes Best-in-State Wealth Advisors, 2018, 2019, 2020, 2021, 2022, 2023The Forbes rating is compiled by Shook Research and awarded annually in April based on information from a 12 month period ending June of the prior year.
• Forbes Best-in-State Wealth Management Teams, 2023The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.
• Forbes Best-in-State Women Wealth Advisors, 2020, 2021, 2022, 2023The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.

• Private Wealth Advisor

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• Vice President–Wealth Management

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Tom, the senior advisor with 3 Point Legacy Advisors has had a long career, 40+ years, in the financial services industry.  Starting at Gradison & Co. in 1981, McDonald & Co and KeyBank in the 1990’s and UBS in 2007.  While continuing to work with clients he’s held additional roles.  Branch Manager, 1998 – 2008, UBS Complex Sales Manager 2008 – 2011.  During that time, his driving goal when working with clients, is to always stay focused on their respective financial goals and objectives, while providing the highest level of personalized service. Working primarily with retirees and individual clients, he centers his business on the development and implementation of retirement, estate planning and wealth transfer strategies. 

Tom believes the first place to start when working with an financial advisor is with a plan. The UBS Financial Goal Analysis tool is the firm's flagship goals-based financial planning offering and can help you chart a course toward the future you envision. “To get to where you want to go, you need to have a plan”.

Tom is a registered with Certified Financial Planner Board of Standards, Inc. and holds the certification marks CFP®, Certified Financial Planner® and federally registered CFP® in the US, which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

Tom seeks to pass on his professional experience to others, and has in the past been involved with Xavier University, Professional Mentor Program. This program offers an innovative approach to mentoring by providing students with a practical application of networking skills, personal and professional growth, insight into the realities of their chosen career field and a “best professional friend.”

Tom and his wife Betsy, live in Pierce Township. They have 3 grown children and 1 grandchild.  Avid boaters and golfers, they love to spend time at their place on Lake Toxaway in western North Carolina.

CA Insurance License #4018221

• Forbes Best-in-State Wealth Management Teams, 2023The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.

• Senior Vice President–Wealth Management

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After graduating from Indiana University School of Law in 2014, Lucy began her career as an attorney, focusing her practice on families with complex multi-generational estate and tax planning needs. Lucy transitioned her skillset to wealth management in 2017, knowing she wanted the opportunity to have a more immediate impact on her client’s day-to-day financial lives.

Joining 3 Point Legacy Advisors in 2022, Lucy is intently focused on helping clients create, maintain and ultimately transition their wealth to the next generation. Lucy has a unique perspective in carrying both her law degree and the Chartered Financial Analyst® designation, which she utilizes daily in creating tailored solutions to complex planning issues. Much of Lucy’s time is spent serving the needs of the Team’s business owner clients, who often face unique challenges from a planning perspective.

Lucy enjoys being a builder of community. She currently sits on the board for several local institutions, including Welcome House, the Carnegie Center of Columbia Tusculum and Cincinnati Public Radio. She is also actively involved in the Junior League of Cincinnati, where she mentors new members and leads development initiatives.  In addition, Lucy was selected as a participant of C-Change 17 where she partnered with BLINK Cincinnati to create kits to increase the range of BLINK from a showcase of art to an immersive event for libraries, schools and neighborhoods to participate in STEM activities and creative output.

Lucy believes in starting every day with a run and ending every day with a good book.  In her free time, Lucy enjoys spending time with her husband, Kyle, her daughter, Cameron, and son, Jack, being outside and staying as active as possible.

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Mike started his career at UBS in 2008 after graduating with a degree in Finance and Management from the University of Kentucky. In his time with UBS Mike has achieved the Certified Financial Planner™ (CFP®) and the Certified Exit Planning Advisor (CEPA®) designations, and graduated with an MBA from Xavier University. After passing Level I, he is currently working on Level II of the Chartered Financial Analyst (CFA) curriculum.

Mike volunteers his time as a Board Member of CASA for Kids Northern Kentucky.
Mike and his wife, Maggie, live in Fort Thomas, Kentucky and have two kids, Michael IV (Mac) and Everette (Evie).

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Michael joined UBS in mid-2022 after spending 5 years with Fifth Third’s Private Bank where he led a team in advising their High Net Worth and Ultra-High Net Worth families on issues around portfolio management, income tax, and estate tax planning. He also led initiatives around educating and engaging the next generations within their client families.

Prior to his time at Fifth Third, Michael worked for The AYCO Company LP, a wholly owned subsidiary of Goldman Sachs, in NY. While at AYCO he provided executive wealth counselling on topics covering personal income taxation, portfolio construction, and complex wealth transition strategies to current, and retired C-suite executives of Fortune 500 companies.

Michael graduated from Franciscan University, in Stuebenville Ohio with a Bachelor's degree in Finance. In 2012 he earned his designation as a Certified Financial Planner (CFP®), and in 2020 his designation as a Certified Private Wealth Advisor (CPWA®). He also maintains his FINRA Series 7 and 66 licensing, as well as certifications in Life, Accident, and Health Insurance.

Michael currently lives in Northern Kentucky with his wife Kristina, and three children, Olivia, Cecilia, and Damian. He enjoys serving the community via home renovation groups for families in need, as well as working with mentally handicapped children. He is a graduate of the 2020 class of Cincy Next, the Cincinnati USA Regional Chambers Leadership Program. In his free time, he loves all things sports related, and spending time in the great outdoors with my family.

Ashley joined UBS in July of 2017. Prior to joining 3 Point Legacy Advisors, Ashley was Branch Manager and Retail Officer of a local bank for 7 years and has 10 years of experience in the financial industry. She helps manage client service, operational needs and provides administrative support primarily for our Captive Insurance Business.

Outside of work, Ashley enjoys RV traveling, boating, fitness, sports and the outdoors. She also enjoys volunteering with the Juvenile Diabetes Research Foundation.
Ashley lives in Union, Kentucky with her husband Chris, and their daughter Whitney.

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Megan began her career at UBS Financial Services in June of 2014 after graduating from Miami University where she earned her Bachelor's degree in Finance.  Megan provides our clients with operational and administrative support on a day-to-day basis. She holds her Series 7 and Series 66 licenses.

Outside of work, Megan enjoys playing volleyball, being outdoors and spending time with friends and family.  Megan and her husband Josh live in West Chester, Ohio with their son Weston.

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Kim began her career in the financial industry in 1998 when she joined Gradison-McDonald Investments. Kim supports our clients by servicing their administrative and operational needs. She also provides administrative support to our team in their daily business practices. Kim holds Series 7 and 66 securities licenses along with life, health and annuity licenses. Kim and her husband enjoy spending time with grandchildren and vacationing in Canada.

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Born and raised on the west side of Cincinnati, Amy began her career at Fifth Third Bank in 1999 as Plan Service Coordinator in Retirement Plan Services where she managed a recordkeeping team and worked on Trust and 401(k) conversions from bank acquisitions. She graduated from the College of Mount St. Joseph with a B.S.B.A in Management. Since joining UBS in 2005 she has obtained her 7, 66, Insurance license, CRPS®, and is a Notary. Amy has worked closely with private and corporate clients in servicing their accounts administratively. She is the team lead for operations and qualified plans. Amy lives in West Chester with her husband Chris and twin boys Greyson and Cole. She enjoys spending time with her family, going to concerts, and is a big Cincinnati sports fan – Go Bengals & Bearcats!