Experience

Makes all the difference

The Focus of Our Relationship

– Multigenerational planning –

Every client receives a financial plan, which will help set their path to retirement, through retirement and on to the next generation. The plan will be updated at least once per year.

– Proactive client contact –

We offer a 12/4/2 model: 12 contacts a year, including four quarterly reviews and two in-person meetings.

– Rapid response –

It’s our goal to respond to any question or issue you might have in one hour. We will provide a resolution within 24 hours or give you clear timeline for its resolution.

Edward Caufield

Executive Director

For more than 30 years, Ed has been committed to providing comprehensive wealth management through every kind of market cycle. Many of his clients have been with him his entire career, valuing his commitment to developing steady, trusted relationships that span generations. Courteous and responsive, Ed is appreciated by his clients for his knowledge, experience and understanding.

 Before entering the financial services industry, Ed built a successful marine biology research business against considerable odds. He brings this tenacity to his career as a financial advisor. Ed first joined Shearson American Express in 1984 where he was promoted to Fixed Income Specialist. In 1991 he joined PaineWebber as a Financial Advisor, which later became UBS.

 A graduate of Rutgers University with a B.S. in biology, Ed went on to earn his M.B.A. in financial management from Pace University. He holds the Series 3, 7, 8, 63 and 65 securities licenses, as well as NY life and health insurance licenses. Ed has served on the boards of several non-profit organizations and is an active supporter of the Orient community on Long Island. He and his wife, Janice, have raised four children and happily await the arrival of their sixth grandchild.

Registered States:
  • CA
  • CO
  • CT
  • FL
  • GA
  • HI
  • LA
  • MA
  • MD
  • MI
  • NC
  • NJ
  • NY
  • OR
  • PA
  • TX

Education

  • Rutgers University, B.S. Biology
  • Pace University, M.B.A. Financial Management

Our advice is comprehensive. We help diverse clients in a broad range of areas, including:

Exit planning
Custom portfolios
Sustainable investing
Women investors
58 South Service Road
Suite 310
Melville, NY 11747

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Christopher "Chris" Caufield

Vice President–Wealth Management

Since beginning his financial services career in 1999, Chris has been instilling a high level of confidence in his clients through rigorous financial planning, customized investment management and committed service. He does this by getting to know each client’s needs, wishes and concerns on a deep level. Chris primarily handles the maintenance of individual client portfolios, trade executions, investment research and monitoring. 

Before entering the financial services industry, Chris was a hydro-geologist and he brings this scientific acumen to investment analysis, portfolio design and financial planning. He has spent his entire financial services career with UBS and predecessor firm PaineWebber. Chris holds the Series 7, 31, 63 and 65 securities licenses as well as his NY life insurance licenses. 

Chris is a graduate of Hunter College with a B.A. in geology. He coaches PTO basketball and volunteers with both Boy Scouts and Girl Scouts programs as well as his local Historical Society for Sound Beach on Long Island where he lives with his family. Chris and his wife, Morgan, have a daughter and a son.

Registered States:
  • CO
  • FL
  • GA
  • HI
  • LA
  • MD
  • NJ
  • NY
  • OR
  • PA

Education

  • Hunter College, B.A. Geology
58 South Service Road
Suite 310
Melville, NY 11747

Email Me

Kenneth "Ken" Caufield

Account Vice President

Senior Wealth Strategy Associate

Ken is a second-generation Financial Advisor, joining his father and his uncle in the practice in 2010. As the lead financial planner, Ken stays on top of all current planning trends and focuses on multigenerational strategies, specifically as they relate to clients’ children and grandchildren. Appreciated for his common-sense approach, Ken makes sure clients understand and fully agree with all recommendations before putting their plan into action.

Prior to joining the family team, Ken worked as a Branch Analyst in UBS’s Garden City office. This position gave him invaluable experience working with top advisors in the development of financial plans, researching mutual funds, building custom portfolios and analyzing money managers. Ken holds the Series 7 and 66 securities licenses as well as his NY life and health insurance licenses.

Ken is a graduate of Lake Forest College with a B.A. in business administration. He lives in Long Island City and enjoys the outdoors, hiking, snowboarding, exploring and traveling.

Registered States:
  • CO
  • CT
  • FL
  • NC
  • NJ
  • NY
  • PA

Education

  • Lake Forest College, B.A. Business Administration
58 South Service Road
Suite 310
Melville, NY 11747

Email Me