Experience

Carter joined UBS in 2010, and brings to the team more than 17 years of experience advising both Institutional and Individual clients. He launched his career in 1999 in Menlo Park at what was then the largest advisory team at Smith Barney after serving six years as an officer in the U.S. Navy.  Prior to joining UBS, he successfully help build and then sold a  Private Wealth and Investment Banking firm where he gained unique insights to all aspects of financial markets and structures.

The majority of the team's clients are executives and founders in Silicon Valley, as well as successful multi-generational family businesses. Carter brings his years of Institutional and Private Wealth experience, and Kate's consultative insight, to craft comprehensive and customized investment strategies for each client. Carter believes in thoroughly explaining each element of a recommendation, so that his clients not only know what they own, but why.

Carter obtained a B.A in Economics from the University of Pennsylvania, and also has earned the Chartered Financial Analyst professional designation. He and his wife Kirsten have three children, who have helped them become experts in everything from water polo strategy to local drone regulations. Carter also sits on the Board of Trustees of the Los Gatos Art Museum, and has Chaired the Alumni Interview Program for Penn in Silicon Valley for more than 7 years.

Kate joined UBS in 2016 bringing more than nine years of Financial Planning and Wealth Advisory specialist experience with her to the team. With a thoughtful and consultative approach, Kate offers highly personalized service to clients who are primarily executives and entrepreneurs. She dives deeply into a client's dreams and aspirations to discover what they want their wealth to do for them, the causes that inspire them and the people who matter most in their lives. Kate has helped her business owners devise effective tax and succession planning strategies ranging from innovative buy-sell agreements, GRATs and Grantor Trusts, to engineering levered ESOPs in order to maximize selling price while minimizing taxation.

Kate is also one of a select group of UBS Advisors who has earned the Endowment & Foundation Consultant Designation. With this distinction Kate is able to formally provide fiduciary advice to large not for profit organizations. This includes Investment Policy planning assistance, asset allocation studies and analysis, manager searches, and portfolio evaluation and review.

Kate earned a B.A. in Business Economics from the University of California, Santa Cruz. She and her husband Shaun are avid boaters and enjoy spending time with family on the Santa Cruz beaches near their home. She volunteers with numerous local community organizations, including the American Cancer Society, Catholic Charities, and is a member of the Junior League of Palo Alto Mid Peninsula.