Building relationships with founders and senior executives

With complicated equity award packages—as well as potentially complex tax consequences—executives and other insiders need specialized advice. Our team has deep experience providing integrated financial guidance for company founders, public and private executives and business owners.

Our high-touch service is tailored to the individual needs of each client. We help ensure anytime access and provide a host of concierge services. In addition, we offer customized communication and reviews arranged around your busy schedules.

• Impact of stock options (ISOs, NQSOs), RSUs, Founders Stock and QSBS
• Restricted stock sales ,10B5-1, Section 16
• Pre-IPO planning
• M & A planning
• 401(k) benefit and compensation plan management
• Income and estate tax planning and strategies
• Concentrated stock management and diversification
• Banking and lending services
• Wealth transfer and philanthropic planning

Solutions for the full cycle of business needs

We address the full cycle of business needs from strategic business financing to discretionary portfolio management to succession and exit strategies.

Whether you're building capital and growing your business, selling your company, looking to manage existing liquid assets, or transferring wealth, we have a honed process for helping you make smart, informed financial decisions. Working closely with our UBS Boutique Banking Network, we provide access to investment banking services regardless of the size of the transaction.

Pre-liquidity planning. Our process begins with critical pre-liquidity planning all the way through execution and closing. Prior to the transaction, we help you develop a personalized strategy to maximize the value of this event so you can confidently pursue your life goals post-sale.

Post-liquidity wealth management. To help inform our recommendations about deal structure, valuation opportunities and tax considerations, we’ll coordinate with our network of both third-party and UBS experts in:

• M&A advisory services
• Private equity and debt financing
• Risk management
• Estate planning strategies
• Tax management

Integrated services for clients who work with hedge funds 

We work with hedge fund industry professionals like you to provide tactical guidance on your current and evolving personal wealth challenges in ways that complement the investments and risks of your firm. With institutional level access to resource and the concierge service you expect, our team offers the seamless integration of UBS Investment Bank and UBS Wealth Management.

Whether you're looking to access liquidity, reassess short-term cash flow, execute a particular investment strategy or build a tax-efficient wealth transfer plan, our team can provide highly tailored solutions for your most complex needs. We have specific skill in handling IRA custody for employees and clients of hedge funds.

Prime brokerage services across the fund lifecycle. Seamless support from UBS's experienced, proactive service team offering global coverage.

• Reporting and technology
• Risk management
• Margin models
• Custody, clearing and settlement

Coordinating services for each generation

Many families with significant wealth demand a broad array of family office services. Whether providing those services directly or coordinating with your family office, we can help bridge the generations within a family in order to deliver a structure that is focused on preserving wealth, seizing opportunity and creating continuity.

UBS Global Family Office
We provide access to a highly specialized team that seamlessly integrates comprehensive wealth management with institutional-level services and business opportunities for UHNW families and their family offices.

Services include:

• Coordination between UBS Wealth Management and UBS Investment Bank
• Direct access to UBS bankers, traders, specialists and sales teams
• Tailored client portfolios to meet specific investment objectives
• Family advisory services, including governance frameworks
• Financing and advisory solutions for real estate, art collections, aircraft, hedge fund portfolios, securities backed lending and more

Stewards of your wealth

Our disciplined process begins with a complete understanding of your priorities, provides execution and delivers tangible results. We work prudently to help ensure your security by maintaining a keen awareness of risk tolerance and a strict adherence to asset diversification.

Asset allocation focused on mitigating risk

By listening and aligning with your objectives, we focus on asset allocation strategies that allow for sensible growth and help mitigate risk. As we implement your investment strategy, we communicate regularly and track performance, rebalancing and making adjustments for life changes and economic conditions.

Custom investment solutions from an open architecture. We look for investment managers that we believe have the highest potential to outperform their benchmarks and peers.

Tactical investment opportunities. We source, vet and monitor money managers through our disciplined process, ensuring we develop customized strategies based on highly focused research. We incorporate alternative investments such as hedge funds, private equity and real estate into portfolios where appropriate.

Risk management. As we implement your investment strategy, we communicate regularly and track performance, rebalancing and making adjustments for life changes and economic conditions.

Comprehensive planning for every phase of life

Our team's extensive private wealth background provides an experienced perspective on both financial and estate planning strategies. Through our comprehensive planning process, we help prioritize your goals, establish your proper asset allocation, manage risk, and assess estate and charitable planning strategies.

When planning your estate or building your legacy, our team will work with you and family members to provide education on philanthropy and strategies for the next generation. We can help you care for future generations and charitable organizations with the least possible tax impact and expense.