Financial planning and beyond

Boardwalk along the ocean

Where are you today and where do you want to be tomorrow? We recognize that a lasting relationship starts by listening and understanding your priorities and concerns. We'll work together to look at the big picture, discuss your vision for the future and help you confidently pursue your life goals.

Why work with us?

We’re a boutique practice backed by the full resources of one of the world’s largest wealth management firms. Through our solution set and comprehensive planning process we can address both the asset and liability of your personal balance sheet. Located in The Hamptons and the UBS New York City headquarters, we have access to the firm’s thought leaders and decision makers. We can provide the confidence that comes from a team who truly cares about you and each generation of your family.

  • Rosemarie Dios Profile Photo

    Rosemarie Dios, CFP, CIMA, CSRIC

    Senior Vice President–Wealth Management

    Financial Advisor

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    • CA
    • CO
    • CT
    • FL
    • GA
    • IL
    • KS
    • MA
    • MD
    • MI
    • NC
    • NH
    • NJ
    • NM
    • NY
    • OR
    • PA
    • RI
    • SC
    • TN
    • VA
    • VT
    • WA
    • WI

    Rose joined UBS in 1985 and is a Certified Financial Planner™ professional based in The Hamptons and NYC. She has experience offering personalized goal oriented financial planning for individuals, artists and entrepreneurs through all market cycles. Rose holds the Certified Investment Management Analyst® designation, administered by the Investment Management Consultants Association® and taught in conjunction with The Wharton School, University of Pennsylvania. Rose also specializes in Socially Responsible Investing (SRI) and holds the CSRIC™ designation (Chartered Socially Responsible Investing Counselor).  

    Rose is committed to making a difference in her clients' lives, and in the lives of her UBS colleagues. Her team spirit, dedication and tireless work ethic have been recognized with the UBS Aspire award, which is presented each quarter to UBS employees who demonstrate the core principles of the firm - integrity, collaboration and challenge. Rose also received the East End Women's Network, Women of the Year in 2016, which is awarded to female business leaders on the East End of Long Island who show good character and leadership in both their professional life and in the community.

    Rose grew up in Connecticut and Long Island. She has a B.A. from Albertus Magnus College and a MFA in creative writing from Stonybrook University. Rose has four children and three grandchildren and she lives in Southampton with her husband John and their three dogs.

    Rose is a community leader and has served on many boards, including Southampton Hospital, Southampton Rotary and The Retreat. With her husband, John, she established the Have A Heart Community Trust - a highly regarded charity on the eastern end of Long Island. In her spare time she enjoys working out, traveling and studying millinery at FIT in NYC.

    • Forbes America’s Top Women Wealth Advisors, 2020, 2021, 2022The 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 Best-in-State Wealth Advisors, 2019, 2020, 2021, 2022The 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 Women Wealth Advisors, 2020, 2021, 2022The 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.

    • Albertus Magnus College, B.A.
    • Stonybrook University, MFA Creative Writing
    • Certified Investment Management Analyst®
    • CERTIFIED FINANCIAL PLANNER™
    • Chartered SRI Counselor℠
    • Wealth Advisor
    Financial planning
    Retirement planning
    Investing
    Sustainable investing
    Impact investing
    Multi-generational families
    Women investors
    Business owners
    8 Main Street
    Southampton, NY 11968
  • Gloria Dios Profile Photo

    Gloria Dios, CFP®, CSRIC

    Financial Advisor

    CERTIFIED FINANCIAL PLANNER™

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    • CA
    • CO
    • CT
    • FL
    • GA
    • IL
    • KS
    • MA
    • MD
    • MI
    • NC
    • NH
    • NJ
    • NM
    • NY
    • OR
    • PA
    • RI
    • SC
    • TN
    • VA
    • VT
    • WA
    • WI

    Gloria joined UBS in 2018 and is a Financial Advisor assisting clients with their personal financial planning. Gloria focuses on Socially Responsible Investing and using environmental, social and governance (ESG) research when investing which considers the positive or negative social and environmental effects of underlying investments while looking for opportunities to drive positive change. Gloria is a CERTIFIED FINANCIAL PLANNER™ and holds the CSRIC™ designation (Chartered Socially Responsible Investing Counselor). She also concentrates on financial education initiates for the team's female and next-generation client base. 

    Gloria holds her FINRA Series 7 and 66. Gloria graduated from New York University's Tisch School of the Arts, where she studied Film & TV and minored in business. Prior to joining UBS, she worked as a casting producer and editor for various reality TV shows. Growing up the daughter of two UBS financial advisors, she developed a passion for educating and helping others with financial literacy.

    Gloria lives between New York City and Southampton and is an active member of both communities. She is on the Southampton Village Business Revitalization committee and a board member for Heart of the Hamptons, a food pantry and general assistance nonprofit in Southampton. She also serves as a board member for Hearts to Homes, a non-profit that assists newly independent young adults who have aged out of foster care to furnish their new homes. In her free time she enjoys playing tennis, skiing around the world and working out.

      • New York University, Tisch School of the Arts, Film & TV, Business
      • CERTIFIED FINANCIAL PLANNER™
      • Chartered SRI Counselor℠
      Financial planning
      Retirement planning
      Investing
      Sustainable investing
      Impact investing
      Multi-generational families
      Women investors
      Business owners
      8 Main Street
      Southampton, NY 11968
    • Richard King Profile Photo

      Richard King

      Client Associate

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        Richard has been with UBS since 2004. He earned a B.A. degree in business administration from Long Island University. Richard focuses on enhancing the client experience, coordinates administrative responsibilities, educates clients on account services and facilitates operational processing. Richard lives in Hampton Bays in his leisure time, plays basketball, golf and tennis.

          • Long Island University, B.A. Business Administration
            8 Main Street
            Southampton, NY 11968
          • Kenji Yoshikawa Profile Photo

            Kenji Yoshikawa, CRPS, CEPA

            Senior Vice President–Wealth Management

            Financial Advisor

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            • AK
            • AL
            • AZ
            • CA
            • CO
            • CT
            • DC
            • DE
            • FL
            • GA
            • HI
            • IA
            • ID
            • IL
            • IN
            • KS
            • KY
            • LA
            • MA
            • MD
            • ME
            • MI
            • MN
            • MO
            • MS
            • MT
            • NC
            • ND
            • NH
            • NJ
            • NM
            • NV
            • NY
            • OH
            • OK
            • OR
            • PA
            • PR
            • RI
            • SC
            • TN
            • TX
            • UT
            • VA
            • VT
            • WA
            • WI
            • WY

            Before joining UBS Financial Services in 2005, Kenji spent 10 years travelling the globe gaining professional industry experience working with Fortune 500 companies on complex business management, transformation, and reengineering efforts. He incorporates this expertise today, as he specializes in corporate retirement benefits and business transition planning as a Partner of Katz Wealth Management.

            As a Chartered Retirement Plan Specialist (CRPS®) and Senior Retirement Plan Consultant (SRPC), Kenji has received extensive training in corporate retirement plan solutions, design, and implementation. He is a designated retirement consultant and focuses on pursuing clients’ stated objectives in developing retirement plans (i.e. 401(k), 403(b), defined-benefit, cash-balance, and executive benefit programs through the use of nonqualified deferred compensation plans). As an Endowment & Foundation Consultant (EFC), Kenji understands the distinct dynamics of advising non-profit clients on fiduciary/risk management and investment advisory services.

            In addition, as a Certified Exit Planning Advisor (CEPA®), he collaborates with clients on business exit planning – helping business owners seamlessly transition out of their business, on their own terms, while reflecting their financial goals.

            Backed by a team of 17 specialized investment professionals, we have the resources to provide clients with the highest caliber of service and advice.

            Credentials that build confidence Kenji received his B.S.B.A. from Ohio State University and maintains his Series 7 and 66 securities licenses as well as his life and health insurance license.

            Outside of UBS Kenji lives in New York City with his wife, Emily, and their two children, Eva and Daniel. Kenji is a board member of a culinary foundation in New York, an active member of the Asian-American community, and a competitive triathlete. He is also an active participant in the UBS Community Affairs & Corporate Responsibility program.

            • Barron’s Top 50 Private Wealth Advisory Teams, 2019, 2020The Barron's rating is awarded annually in March and is based on information from the prior year Q4.

            • Ohio State University, B.S.B.A.
            • Certified Exit Planning Advisor
            • Chartered Retirement Plans Specialist℠
            • Endowment & Foundation Consultant
            1285 Avenue Of The Americas
            New York, NY 10019

          Defining your priorities. Pursuing what matters.

          Our experience and structured planning process drives a comprehensive financial plan and customized investment strategies. Depending on where you are in your life and the priorities that matter most, our planning conversations may focus on liquidity management, your cash flow needs, asset replacement solutions such as insurance, estate planning strategies, or tax and legal structures such as trusts and philanthropic vehicles.

          Goals-based planning

          Professional investment management

          Sustainable investing

          Philanthropy

          Our Philosophy

          Sustainability matters

          Seek returns and drive change through sustainable investing

          Your values define you. But do your investments reflect who you are? As a global leader in sustainable investing, we can help your portfolio align with your principles, while seeking returns.

          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