Experience

Through education and empowerment, Dan helps provide the infrastructure for his clients to take control of their financial lives, often for the first time. Financial planning and investment management are central to his long term, collaborative approach.

Dan strives to truly understand his clients – what motivates them, what they want for their family, and what they want for their community. And as a Certified Divorce Financial Analyst®, he helps clients and their attorneys navigate the financial impact of divorce before, during and after a case is resolved.

Dan is an active member of the Beverly Hills Bar Association, serving on the family law section executive committee. He is also a member of the board of directors at the Harriett Buhai Center for Family Law, a cornerstone of family law and domestic violence assistance for low-income people in California.

Prior to joining UBS in 2009, Dan practiced law at Los Angeles-area firms in a wide variety of disciplines including trust and estates, corporate litigation, family law, and liability defense, though he does not perform this function at UBS.

Born and raised in Los Angeles, Dan earned a B.A. in sociology from the University of California, Santa Cruz and a J.D. from the University of California, Hastings College of the Law. He holds his Series 7 and 66 securities licenses and is a member in good standing of the California Bar Association.

Kelly Rote believes that the key to her clients’ long-term success is their having financial confidence, which she prioritizes through education in an approachable way. A Wall Street veteran and investor at heart, she spent the first 15 years of her career managing investment strategies and composing portfolios. Then she discovered her passion for encouraging women to take charge of their financial wellness while she was working as a trader in New York City.

In 2020, Kelly returned to Los Angeles, where she now utilizes her deep knowledge of markets and strategic insights to develop financial solutions for her clients. Her mission is to help clients achieve their financial goals and understand why they have specific investments in their portfolios. She believes that helping her clients achieve this understanding fosters a financial confidence that many experience for the first time and this empowers them to truly feel in control of their financial lives.

Kelly holds a B.B.A. in finance and international business from James Madison University's College of Business, where she continues to serve as a mentor to students. She has also earned her Series 3, 7, 63 and 66 securities licenses. She serves on the Visionary Women Gen V board, is a member of the NVAK Collective Council and is a supporter of LACMA. She also enjoys tennis, Pilates, hiking and running. In 2018, she traveled to Lewa, Kenya with a UBS team to run in the Safaricom Marathon to benefit wildlife conservation and education efforts. She lives in Brentwood.

Katie joined UBS in 2011. With over 20 years in the financial services industry, Katie brings a depth of experience to every client she works with. She leads the team's operations and service mission, making sure client needs are handled efficiently and effectively.

Katie is key to the team's growth and success. Her responsibilities across the group include trading (equities, fixed income, and options), performance reporting, portfolio implementation, disbursements and reconciliations, account opening and maintenance, and lending. The comprehensive service Katie provides our clients in each of these areas is unparalleled.

She takes particular pride in working on complicated issues, from helping family members organize and understand their balance sheet, working with trustees to establish and update accounts after major life events, or executing multi-leg options trades.

Prior to joining UBS, Katie was responsible for portfolio accounting and client reporting in the Operations Department of a Registered Investment Advisor for four years. Previously, she was the Director of Operations in a commodity brokerage firm for eight years.

Katie holds FINRA Series 7 and 66 securities license and earned a B.A. in Political Science from the University of Michigan.