Your financial world. And beyond.

Private Wealth Management

Successful families, entrepreneurs and executives choose The Ellis Group to oversee their financial world year after year. We are diligent and focused Private Wealth Advisors who not only care about what matters to you, but our meticulous process leaves no stone unturned when it comes to structuring a thoughtful plan and creating solutions to help you pursue your goals.

Start the conversation

David Ellis

Managing Director

Financial Advisor
View bio Industry recognition
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- IL
- IN
- KS
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NC
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- PR
- RI
- SC
- TN
- TX
- UT
- VA
- VT
- WA
- WI
With more than 30 years of experience in the financial services industry, David’s team provides dynamic asset management and wealth management services for individuals, families and organizations with substantial wealth. David holds the Series 7, 24, 63 and 65 securities licenses and as a non-practicing CPA brings comprehensive wealth planning insight to his practice.

Outside of the office, David is committed to supporting his community, serving on the boards of the Cincinnati Children’s Hospital Medical Center Foundation, the Blue Ash Protective Association and the Segoe Foundation. David earned his B.S. in accounting from Syracuse University and is Chairman Emeritus of Gradison.
- Barron's Top 1,000 Financial Advisors, 2009, 2010, 2011, 2012, 2013The Barron's rating is awarded annually in March and is based on information from the prior year Q3.
- Barron's Top 1,200 Financial Advisors, 2014, 2015, 2016, 2017, 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.
- Forbes America's Top Wealth Advisors, 2016, 2017, 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 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.
- Private Wealth Advisor
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Adam Cannon, CIMA®

Senior Vice President–Wealth Management

Financial Advisor
View bio Industry recognition
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- IL
- IN
- KS
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NC
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- PR
- RI
- SC
- TN
- TX
- UT
- VA
- VT
- WA
- WI
Adam brings more than 20 years of industry experience to his Private Wealth Advisor role. He joined The Ellis Group in 1997 and is a Certified Investment Management AnalystSM. As a member of the team, Adam focuses on portfolio construction and management, as well as investment manager due diligence. Adam also implements asset allocation strategies and manages the portfolio risk analysis for the team. He holds the Series 7, 63 and 65 securities licenses and attended the University of Cincinnati.
- 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.
- Private Wealth Advisor
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Keith Lum, CRPS®

First Vice President–Wealth Management

Financial Advisor
View bio Industry recognition
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- IL
- IN
- KS
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NC
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- PR
- RI
- SC
- TN
- TX
- UT
- VA
- VT
- WA
- WI
Keith joined The Ellis Group in 2006 with more than 20 years of financial services experience. As a member of the team, he brings extensive expertise in strategic financial planning and corporate retirement planning. Keith holds his Series 7 and 66 securities licenses and life, health and annuity licenses. A graduate of Purdue University with a B.A. in financial planning, Keith also earned his master’s degree in business from Xavier University.
- 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.
- Private Wealth Advisor
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Tony Bollin, CFP®, CDFA

Associate Director

Senior Wealth Strategy Associate
View bio
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- IL
- IN
- KS
- KY
- MA
- MD
- MI
- MN
- MO
- NC
- NH
- NJ
- NV
- NY
- OH
- OR
- PA
- RI
- SC
- TX
- UT
- VA
- VT
- WA
- WI
Tony joined The Ellis Group in 2005 and has over 10 years of industry experience. He is a Certified Financial Planner™ as well as a Certified Divorce Financial Analyst®, providing customized financial planning that encompasses investments, insurance planning, estate planning and retirement planning. Tony holds his Series 7 and 66 securities licenses and life, health, accident and annuity licenses. He earned his B.S. in finance from Miami University.
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Molly Ellis

Financial Advisor
View bio
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- IL
- IN
- KS
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NC
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- PR
- RI
- SC
- TN
- TX
- UT
- VA
- VT
- WA
- WI
Molly joined The Ellis Group in 2021. She is a Certified Financial Planner™ and holds Her Series 7 and 66 securities licenses, as well as her life, health, accident and annuity licenses. As a financial planner, she provides expertise in the following areas: retirement planning, cash flow analysis, insurance planning and multigenerational planning. Molly graduated from Miami University.
- CERTIFIED FINANCIAL PLANNER™
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Lisa M. Martin, CFP®

Associate Director

Team Administrator
View bio
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- IL
- IN
- KY
- MA
- MD
- MI
- MN
- MO
- NC
- NH
- NJ
- NY
- OH
- OR
- PA
- PR
- SC
- TX
- VT
- WA
- WI
Lisa joined The Ellis Group in 2010. She manages team administration and all aspects of clients' service and operational needs. She acquired her Certified Financial Planner™ designation in 2016 and holds her Series 7, 9, 10 and 66 securities licenses, as well as life, health, accident and annuity licenses. Lisa earned her B.S. in business administration from Xavier University and is a licensed notary public.
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236

M. Jackie Schuler

Authorized Officer

Senior Wealth Strategy Associate
View bio
- KY
- OH
Jackie has been with our firm since 1991. She worked in the Senior Registered Client Associate role from 1991-1995. In 1995, she began working as Senior Branch Office Administrator in our downtown Cincinnati office. She returned to the Senior Registered Client Service Associate role in 2002. Jackie provides administrative support for day-to-day operations. She has her Series 7, 63 and 65 licenses.
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Jennifer L. "Jenny" Dimmitt

Client Associate Senior
View bio
- KY
- OH
Jenny has been with our firm since 1996 and joined The Ellis Group in 2019. She earned her degree in finance and marketing from the University of Cincinnati. Jenny provides administrative support for day-to-day operations. She has her Series 7 and 66 licenses.
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Anne Mosher

Client Associate
View bio
- OH
Anne joined The Ellis Group in 2021. By helping with everyday operations and assisting clients, she supports the groups’ commitment to a detailed and cohesive experience. Currently she holds her Series 7 and 66 licenses. Anne earned her B.S. in Business Administration from Marquette University and began her financial career in Omaha, NE
8044 Montgomery Road
Cincinnati, OH 45236

David Ellis

Managing Director

Financial Advisor
View bio Industry recognition
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- IL
- IN
- KS
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NC
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- PR
- RI
- SC
- TN
- TX
- UT
- VA
- VT
- WA
- WI
With more than 30 years of experience in the financial services industry, David’s team provides dynamic asset management and wealth management services for individuals, families and organizations with substantial wealth. David holds the Series 7, 24, 63 and 65 securities licenses and as a non-practicing CPA brings comprehensive wealth planning insight to his practice.

Outside of the office, David is committed to supporting his community, serving on the boards of the Cincinnati Children’s Hospital Medical Center Foundation, the Blue Ash Protective Association and the Segoe Foundation. David earned his B.S. in accounting from Syracuse University and is Chairman Emeritus of Gradison.
- Barron's Top 1,000 Financial Advisors, 2009, 2010, 2011, 2012, 2013The Barron's rating is awarded annually in March and is based on information from the prior year Q3.
- Barron's Top 1,200 Financial Advisors, 2014, 2015, 2016, 2017, 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.
- Forbes America's Top Wealth Advisors, 2016, 2017, 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 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.
- Private Wealth Advisor
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Adam Cannon, CIMA®

Senior Vice President–Wealth Management

Financial Advisor
View bio Industry recognition
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- IL
- IN
- KS
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NC
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- PR
- RI
- SC
- TN
- TX
- UT
- VA
- VT
- WA
- WI
Adam brings more than 20 years of industry experience to his Private Wealth Advisor role. He joined The Ellis Group in 1997 and is a Certified Investment Management AnalystSM. As a member of the team, Adam focuses on portfolio construction and management, as well as investment manager due diligence. Adam also implements asset allocation strategies and manages the portfolio risk analysis for the team. He holds the Series 7, 63 and 65 securities licenses and attended the University of Cincinnati.
- 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.
- Private Wealth Advisor
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Keith Lum, CRPS®

First Vice President–Wealth Management

Financial Advisor
View bio Industry recognition
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- IL
- IN
- KS
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NC
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- PR
- RI
- SC
- TN
- TX
- UT
- VA
- VT
- WA
- WI
Keith joined The Ellis Group in 2006 with more than 20 years of financial services experience. As a member of the team, he brings extensive expertise in strategic financial planning and corporate retirement planning. Keith holds his Series 7 and 66 securities licenses and life, health and annuity licenses. A graduate of Purdue University with a B.A. in financial planning, Keith also earned his master’s degree in business from Xavier University.
- 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.
- Private Wealth Advisor
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Tony Bollin, CFP®, CDFA

Associate Director

Senior Wealth Strategy Associate
View bio
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- IL
- IN
- KS
- KY
- MA
- MD
- MI
- MN
- MO
- NC
- NH
- NJ
- NV
- NY
- OH
- OR
- PA
- RI
- SC
- TX
- UT
- VA
- VT
- WA
- WI
Tony joined The Ellis Group in 2005 and has over 10 years of industry experience. He is a Certified Financial Planner™ as well as a Certified Divorce Financial Analyst®, providing customized financial planning that encompasses investments, insurance planning, estate planning and retirement planning. Tony holds his Series 7 and 66 securities licenses and life, health, accident and annuity licenses. He earned his B.S. in finance from Miami University.
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Molly Ellis

Financial Advisor
View bio
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- IL
- IN
- KS
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NC
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- PR
- RI
- SC
- TN
- TX
- UT
- VA
- VT
- WA
- WI
Molly joined The Ellis Group in 2021. She is a Certified Financial Planner™ and holds Her Series 7 and 66 securities licenses, as well as her life, health, accident and annuity licenses. As a financial planner, she provides expertise in the following areas: retirement planning, cash flow analysis, insurance planning and multigenerational planning. Molly graduated from Miami University.
- CERTIFIED FINANCIAL PLANNER™
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Lisa M. Martin, CFP®

Associate Director

Team Administrator
View bio
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- IL
- IN
- KY
- MA
- MD
- MI
- MN
- MO
- NC
- NH
- NJ
- NY
- OH
- OR
- PA
- PR
- SC
- TX
- VT
- WA
- WI
Lisa joined The Ellis Group in 2010. She manages team administration and all aspects of clients' service and operational needs. She acquired her Certified Financial Planner™ designation in 2016 and holds her Series 7, 9, 10 and 66 securities licenses, as well as life, health, accident and annuity licenses. Lisa earned her B.S. in business administration from Xavier University and is a licensed notary public.
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
M. Jackie Schuler

Authorized Officer

Senior Wealth Strategy Associate
View bio
- KY
- OH
Jackie has been with our firm since 1991. She worked in the Senior Registered Client Associate role from 1991-1995. In 1995, she began working as Senior Branch Office Administrator in our downtown Cincinnati office. She returned to the Senior Registered Client Service Associate role in 2002. Jackie provides administrative support for day-to-day operations. She has her Series 7, 63 and 65 licenses.
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Jennifer L. "Jenny" Dimmitt

Client Associate Senior
View bio
- KY
- OH
Jenny has been with our firm since 1996 and joined The Ellis Group in 2019. She earned her degree in finance and marketing from the University of Cincinnati. Jenny provides administrative support for day-to-day operations. She has her Series 7 and 66 licenses.
8044 Montgomery Road
The Towers At Kenwood
Cincinnati, OH 45236
Anne Mosher

Client Associate
View bio
- OH
Anne joined The Ellis Group in 2021. By helping with everyday operations and assisting clients, she supports the groups’ commitment to a detailed and cohesive experience. Currently she holds her Series 7 and 66 licenses. Anne earned her B.S. in Business Administration from Marquette University and began her financial career in Omaha, NE
8044 Montgomery Road
Cincinnati, OH 45236

Private Wealth Management

As a team within the exclusive Private Wealth Management division at UBS, we connect you to the dynamic presence of one of the world‘s leading wealth managers. Private Wealth Advisors serve many of the firm‘s largest relationships, providing extensive reach and the distinct advantage of the firm‘s global perspective, insights and resources.

Life planning and transition

What is the best way to pass on your wealth as well as financial responsibility to the next generation? Will you be prepared if life changes suddenly? Our in-depth Planning process creates the framework for us to examine your life—your priorities today and the goals you have for tomorrow. From there, we develop a strategy to pursue your goals. This is an ongoing process—we continue to adjust and monitor your plan to help ensure your finances stay on track.

Prepare for a comfortable retirement

The closer you get to retirement age, the more important your planning strategy becomes. And the longer you spend in retirement, the greater the impact your decisions can have on your future. Your retirement could last 30 years or more. Our team works with many pre-retirees, steering them down the right path toward a comfortable income plan to support a lifestyle they can enjoy.

Pre- and post-sale planning for business owners and entrepreneurs

We help business owners, early-stage founders and their families minimize risk and optimize their future liquidity event. When you have invested so much time, energy and passion into building your business, stepping away from it can be one of the most difficult decisions you will ever make. Our early-stage involvement and planning conversations enable us to access all of the resources you need to support your business goals as well as long-term wealth preservation and tax planning concerns. We can also coordinate with our investment banking team for insight into structuring your transaction, appraisals and valuations.

Defining your estate planning strategy

We will work with you and your legal and tax advisors to integrate your vision and values into a clear and comprehensive estate planning strategy. Over time, we continue to assess it against your wealth preservation needs, current markets and an evolving tax landscape. Our focus is to help ensure the wealth you have created addresses your short- and long-term goals and your family commitments.

Teaching responsible financial stewardship

Our clients often come to us for insight into whether or not their wealth can have a positive impact on their children and future generations. Our team can work with you and your loved ones to begin important conversations about joint family assets, inheritance investing and the importance of becoming responsible stewards of family wealth.

Creating your philanthropic legacy

Are their social, educational or environmental causes that hold special meaning for you? We can help you clarify your thinking and then recommend a giving strategy that best reflects both your charitable and investment goals. In doing so, we’ll also offer you access to firm-wide resources that can help you transform philanthropic passions into a significant philanthropic legacy.

Moving through life’s transitions

What sets our team apart is the personal connection we often make with our clients when they need us. We go the extra mile to help you make the tough decisions about your assets, your interests and your future during difficult periods of major life change, including separation, divorce or loss of a loved one.

A culture of service

Each member of our experienced team has the insight to look beyond your portfolio, asking questions that get to the core issues—about life, family and legacy. we strive to connect with your children because individuals of any age can benefit from education and more informed financial decision-making.

Our goal is to be your single point of contact—problem-solvers who listen, provide answers and collaborate with your tax and legal professionals to help ensure we deliver, cohesive advice designed for your clients needs.

You have already accomplished much in your lifetime. We are committed to helping you preserve and protect all you have achieved and enhance value for generations to come. We do this by utilizing the deep global resources of our firm and our extended team of UBS experts in planning, estate and trust strategies and philanthropy.

Process-driven investment management

Over the last 30 years, we’ve learned from and navigated different types of market environments. With this understanding, we implement a clear and disciplined investment process to create your personalized portfolio.

Our portfolio strategies which are carefully structured after rigorous due diligence, seek to manage volatility and reduce unnecessary risk. We prudently execute and then monitor the solutions we’ve recommended. Most important, we are always focused on preserving your assets—now and for the long term.

Our investment process

Discovery meeting
Gathering information
Develop initial plan
Implement plan
Review

Legacy—Wealth for others

For needs that go beyond your own—to help you improve the lives of others

What will your legacy be?
It’s never too early to plan ahead. A Legacy strategy can help you gain more control over your financial future and what you leave behind, so you can move forward with confidence.

Learn more at ubs.com/wealthway.

Your financial world. And beyond.

David Ellis

Adam Cannon, CIMA®

Keith Lum, CRPS®

Tony Bollin, CFP®, CDFA

Molly Ellis

Lisa M. Martin, CFP®

M. Jackie Schuler

Jennifer L. "Jenny" Dimmitt

Anne Mosher

David Ellis

Adam Cannon, CIMA®

Keith Lum, CRPS®

Tony Bollin, CFP®, CDFA

Molly Ellis

Lisa M. Martin, CFP®

M. Jackie Schuler

Jennifer L. "Jenny" Dimmitt

Anne Mosher

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Education

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Private Wealth Management

Life planning and transition

A culture of service

Process-driven investment management

Legacy—Wealth for others

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