Helping entrepreneurs and their families thrive

Private Wealth Management

Total wealth management for entrepreneurs 

 

Our New York-based team advises a select group of exceptional business builders and their families, supporting them with out-of-the box thinking and total wealth advice for every stage of their life.  Because we started out as entrepreneurs ourselves (see how partner Emily  Rubin, transformed her family business www.forbes.com/top-wealth-advisors), we bring an experienced perspective and level of understanding of the complex opportunities and challenges that come at each stage of your personal and business life, from launch through exit and beyond. 

We will work with you to help answer your most important questions, such as:

  • I am planning to exit my business. How do I avoid big mistakes and get it right? (Read our Forbes article: "8 Fatal Mistakes When Selling Your Business And How To Avoid Them")
  • My life is over-complicated. How can I simplify so I can focus on my priorities and passions?
  • I feel I have already paid enough taxes. How can I net the most when I cash out my business?
  • I want to have as little financial worry as possible. How do I develop a comprehensive plan for my lifetime financial goals?

"Entrepreneurs seek us out because they have learned how our deep focus on their specific needs combined with our having been in their shoes as entrepreneurs ourselves has enabled us to guide other entrepreneurs and their families through the important financial decisions they faced. Though brilliant, they don’t have the passion or expertise to manage their wealth with the intensity they applied to building their businesses.”
—Ken Shapiro, Private Wealth Advisor, Family Office Consultant

See case studies of how we've helped other entrepreneurs  

 

The big picture

Proprietary planning strategies for entrepreneurs

Our advice and guidance is based on a clearly defined planning process that is designed to keep pace with your changing perspective on wealth, your family’s lifestyle and your financial priorities. We help you see how all aspects of your financial life are interrelated and how each decision can affect your entire wealth picture.

Read our report on Planning for the sale of a closely held business

Entrepreneur’s Total Wealth Optimization Process (ETOP)

Strategies-for-Life’s-Liquidity (SELL) Process

Wealth, from your point of view

Personalized client service process

Tailored investment process

Specialized solutions for sophisticated clients

How our team works with entrepreneurs

We understand that entrepreneurs are different than most other people. They offer a fresh approach or a new solution that the rest of us never knew we needed. We get it because we started out as entrepreneurs ourselves.

Our team offers a comprehensive approach to wealth management, whether you‘re looking to manage existing liquid assets you have already accumulated, are still building capital and growing your business, are selling your current business, or transferring wealth. By working exclusively with entrepreneurs, CEOs and their families, we have honed the process for helping you make thoughtful, informed decisions about reaching your personal and business goals.

  • Exceptional advice and support at every step
  • Comprehensive coordination of your entire financial life
  • A commitment to multigenerational planning
  • Emily Kramer Rubin

    Emily Kramer Rubin, FOC, CFP, CEPA, CRPC, CIMA

    Managing Director–Wealth Management

    Private Wealth Advisor

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    • AZ
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    • DC
    • DE
    • FL
    • GA
    • HI
    • IL
    • KY
    • LA
    • MA
    • MD
    • ME
    • MI
    • MO
    • NC
    • NH
    • NJ
    • NM
    • NY
    • OH
    • OK
    • OR
    • PA
    • RI
    • SC
    • TX
    • UT
    • VA
    • VT
    • WA

    Emily's highly focused and detailed-oriented approach to wealth management enables her to gain a deep understanding of her clients' personal, professional and family needs. She leaves no stone unturned and works tirelessly to find the right solutions for our clients. Her dedication and personal touch help her build strong relationships with the different generations of each family to bring continuity to their long-term objectives.  She has been featured on several financial news televisions shows, including CNBC and Bloomberg.

    Emily entered the financial services industry with UBS in 2002. At UBS she successfully expanded and transitioned her family business and has since merged with the Entrepreneurs Group, bringing her unique insight and experience to our team and clients. Prior to UBS, she worked as a management consultant at McKinsey and Company, where she advised senior executives facing complex business challenges. Emily has the distinction of being a Family Office Consultant and part of UBS’ prestigious Private Wealth Management division.

    Always striving to increase her knowledge base and enhance her value to clients, Emily has earned her Certified Financial Planner™ (CFP®), Certified Exit Planning Advisor (CEPA®), Certified Investment Management Analyst (CIMA®) and Chartered Retirement Planning Counselor (CRPC®) designations. She has an M.B.A. from Dartmouth College's Amos Tuck School of Business and a Bachelor's degree from The University of Pennsylvania's Wharton School of Business. Emily lives in Greenwich, CT with her husband, Steven, and their two children, Ryan and Alexandra. She is an active member of her community and enjoys a good round of golf.

    • Barron's Top 1,200 Financial Advisors, 2020, 2021, 2022
      The Barron's rating is awarded annually in March and is based on information from the prior year Q3. 
    • Barron's Top 100 Women Advisors, 2017, 2018, 2019, 2021, 2022The Barron's rating is awarded annually in June and is based on information from the Q1 of the award year. The rating is based on quantitative factors and is not necessarily related to the quality of the investment advice.
    • Forbes America’s Top Women Wealth Advisors, 2017, 2018, 2019, 2020, 2021, 2022The Forbes rating is awarded annually between February and May and is based on information from September of the prior year to September of the award year. 
    • Forbes America's Top Wealth Advisors, 2017, 2018, 2019, 2020, 2021, 2022The Forbes rating is awarded annually in August or September and is based on information from March of the prior year to March of the award year. 
    • Forbes Best-in-State Wealth Advisors, 2018, 2019, 2020, 2021, 2022The Forbes rating is awarded annually in January or February and is based on information from June of the prior year to June of the award year. 
    • Forbes Best-in-State Women Wealth Advisors, 2020, 2021, 2022The Forbes rating is awarded annually between February and May and is based on information from September of the prior year to September of the award year.
    • Working Mother Magazine/SHOOK Top Wealth Advisor Moms, 2017, 2018, 2019, 2020, 2021The Working Mother Magazine/SHOOK rating is awarded annually in October and is based on information from March of the prior year to March of the award year. 

    • Dartmouth College, Amos Tuck School of Business, M.B.A.
    • Wharton School of Business, University of Pennsylvania, B.S.
    • Private Wealth Advisor
    • Certified Exit Planning Advisor
    • CERTIFIED FINANCIAL PLANNER™
    • Chartered Retirement Planning Counselor℠
    • Certified Investment Management Analyst®
    299 Park Avenue
    New York, NY 10171
  • Kenneth Shapiro

    Kenneth J. Shapiro, FOC, CRPC

    Senior Vice President–Wealth Management

    Private Wealth Advisor

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    • CA
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    • CT
    • DC
    • DE
    • FL
    • KY
    • MA
    • MD
    • ME
    • MI
    • NC
    • NH
    • NJ
    • NM
    • NY
    • OH
    • OK
    • PA
    • RI
    • SC
    • TX
    • UT
    • VA
    • VT
    • WA

    With over a decade of experience advising ultra high net worth entrepreneurs and their families, Ken is one of  just 300 advisors at UBS, out of 6,700 total, selected to be part of our prestigious Private Wealth Management Group. All the advisors in this group are exclusively focused on working with UBS's wealthiest families. Ken focuses his practice on a select number of sophisticated clients, enabling him to dedicate more time to delivering the service and expertise that managing substantial wealth demands. He is a passionate and creative problem solver, and provides critical insight and solutions for his clients’ complex wealth management needs. 

    Prior to starting his career in private wealth management, utilizing his entrepreneurial abilities, Ken was in his clients’ shoes as a successful serial entrepreneur who took public and/or sold various businesses he co-founded before joining UBS in 2009 after seven years at Merrill Lynch. Ken received his M.B.A. from The Wharton School of the University of Pennsylvania and a B.A. from Brown University.  This background gives us unique insight into many of the challenges and risks our clients face, and enables us to provide value-added solutions that help in our pursuit to preserve and conservatively grow their wealth.

    Ken lives in Westport, CT, with his wife, Patricia, and their two children, Alex and Andre. He enjoys travel, Brazil, speaking Portuguese and spending time with his family. Additionally, Ken coaches youth soccer and basketball and supports the American Cancer Society, Crohn’s and Colitis Foundation and Swim Across America. He is the founder of the Strategic Advisory Board and co-founder of the Media & Technology Advisory Group.

    • Forbes Best-in-State Wealth Advisors, 2019, 2020, 2021, 2022The Forbes rating is awarded annually in January or February and is based on information from June of the prior year to June of the award year. 

    • Wharton School of Business, University of Pennsylvania, M.B.A.
    • Brown University, B.A.
    • Private Wealth Advisor
    • Chartered Retirement Planning Counselor℠
    • Certified Investment Management Analyst®
    299 Park Avenue
    New York, NY 10171
  • Thomas Livaccari

    Thomas Livaccari, FOC, CFP, CRPC

    Senior Vice President–Wealth Management

    Private Wealth Advisor

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    • AR
    • AZ
    • CA
    • CO
    • CT
    • DC
    • DE
    • FL
    • KY
    • MA
    • MD
    • ME
    • MI
    • NC
    • NH
    • NJ
    • NM
    • NY
    • OH
    • OK
    • PA
    • RI
    • SC
    • TX
    • UT
    • VA
    • VT
    • WA

    Tom began his career in wealth management in 2002 with the mission of bringing a different perspective to managing the financial affairs of ultra high net worth clients. Chosen to be part of UBS's Private Wealth Management Group, an elite group of 300 advisors out of the 6,700 at the firm, Tom focuses on providing clients with holistic financial planning, sound advice and an investment strategy tailored to fit the specific objectives of each client.

    Tom began his career as an accountant and later a technology consultant at Arthur Anderson. He later co-founded and helped build one of the world’s first end-to-end internet consulting firms and was part of the senior management team that took public and then sold the business to a major telecom company. Tom's background in accounting, consulting and as an entrepreneur, gives him a unique perspective on the needs of clients and their families.

    Tom has an M.S. in accounting from the NYU Stern School of Business and a B.S. in finance from Boston College's Carroll School of Management. Tom lives in New Rochelle with his wife, Elizabeth, and their two daughters, Anna and Christina. He enjoys skiing, triathlons, sailing and coaching travel soccer. Tom supports the New Rochelle Fund for Educational Excellence, Boys & Girls Club of New Rochelle and Swim Across America. He is a board member of the Boston College National Alumni Association, former President of St. Augustine Church, former board member of Larchmont Shore Club and co-founder of the Media & Technology Advisory Group.

    • Forbes Best-in-State Wealth Advisors, 2020, 2021, 2022The Forbes rating is awarded annually in January or February and is based on information from June of the prior year to June of the award year. 

    • Stern School of Business, NYU, M.S.
    • Boston College School of Management, B.S.
    • Private Wealth Advisor
    • CERTIFIED FINANCIAL PLANNER™
    • Chartered Retirement Planning Counselor℠
    299 Park Avenue
    New York, NY 10171
  • Todd W. Ives

    Todd W. Ives, CFP, CEPA, CRPC

    Senior Wealth Strategy Associate

    CERTIFIED FINANCIAL PLANNER™

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    • AZ
    • CA
    • CO
    • CT
    • DC
    • DE
    • FL
    • GA
    • IL
    • IN
    • KY
    • MA
    • MD
    • ME
    • MI
    • NC
    • NH
    • NJ
    • NM
    • NY
    • OH
    • OK
    • OR
    • PA
    • SC
    • TX
    • VA
    • VT

    Todd has several areas of focus for the team: financial planning, investment analysis and client management. Each client that wants a financial plan goes through in-depth goal setting, asset location, allocation, income, expense, estate and insurance analysis process that allows us to model how the future may play out for them and their families. This initiates more meaningful conversations about the future, what clients assets can do for them and keeps market movements in perspective of life goals.

    Each client also has unique investments tailored to their needs, goals and risk appetite. Todd reviews all investments, meets with portfolio managers performing the team's due diligence, and risk assessment through the Aladdin software. The team continuously reviews all investments and doesn't subscribe to a single investment philosophy of all active or all passive. The right mix of investments for each client provides a balanced risk-adjusted return that lets clients sleep well at night.

    Todd meets with clients regularly to review their portfolios, financial plans and any potential issues that may arise. Todd holds Series 7, 31 and 66 securities licenses, as well as CERTIFIED FINANCIAL PLANNER™ (CFP®) and Chartered Retirement Planning Counselor (CRPC®) designations. He graduated from Bucknell University with a degree in Business Administration. He is also an avid supporter of his local NY sports teams, the Yankees and the Giants.

      • Bucknell University, B.A., business administration
      • CERTIFIED FINANCIAL PLANNER™
      • Certified Exit Planning Advisor
      • Chartered Retirement Planning Counselor℠
      299 Park Avenue
      New York, NY 10171
    • Kevin Elmore

      Kevin Elmore, CEPA

      Wealth Strategy Associate

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      • AR
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      • DC
      • DE
      • FL
      • KY
      • MA
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      • ME
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      • NC
      • NH
      • NJ
      • NM
      • NY
      • OK
      • PA
      • RI
      • SC
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      • UT
      • VA
      • VT
      • WA

      Kevin is a Wealth Strategy Associate and manages all operational duties for The Livaccari Shapiro Group.  Kevin joined UBS PaineWebber in 2002, and most recently served as the Operations Manager and Associate Director for the 299 Park Avenue office. Prior to this role, he worked in various capacities including Investment Associate and Senior Registered Client Service Associate.

      Prior to UBS, Kevin was an Assistant Vice President at ING Furman Selz Capital Management LLC. His principal function was to support a team of portfolio managers who managed money on a discretionary basis. Kevin has his Series 7, Series 66 and has passed the General Securities Sales Supervisor Series Options Module Series 9, General Securities Sales Supervisor General Module Examination Series 10 and National Commodity Futures Exam (Series 3).

      Kevin earned a Bachelor of Music from Indiana University at Bloomington and a Master of Music from DePaul University, Lincoln Park. Kevin currently resides in New Jersey with his wife Diane and their sons Jimmy and Jaden.  An accomplished oboist, and published poet, in his free time Kevin enjoys practicing martial arts with his children and competing in Triathlons.

        • Indiana University, Bloomington , B.A., music
        • DePaul University, M.A., music
        • Certified Exit Planning Advisor
        100 Overlook Center
        Suite 100
        Princeton, NJ 08540
      • Samantha Wagner

        Samantha Wagner

        Client Associate

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        • AR
        • AZ
        • CA
        • CO
        • CT
        • DC
        • DE
        • FL
        • KY
        • MA
        • MD
        • ME
        • MI
        • NC
        • NH
        • NJ
        • NM
        • NY
        • OK
        • PA
        • RI
        • SC
        • TX
        • UT
        • VA
        • VT
        • WA

        Samantha is a Client Service Associate with The Entrepreneurs Group at UBS Private Wealth Management. Samantha is a primary point of contact for clients for all service and day-to-day operational needs as well as managing the new client onboarding process. Prior to UBS, Samantha was a Junior Talent Consultant at Careers for Women, an HR consulting & recruiting firm. While at CFW, Samantha worked closely with senior executive clients advising them on recruiting opportunities.  She also planned and executed events and led the company's social media marketing campaign efforts, areas that she will also undertake for The Entrepreneurs Group. 

        Samantha is a Boston College class of 2018 graduate, where she received a B.A. in Political Science and Management & Leadership. Originally from Pacific Grove, CA, Samantha is now almost a year in to living in New York City. Samantha's enjoys traveling, going on runs throughout New York, playing tennis, and spending time with friends and family.

         

          • Boston College, B.A., political science and management & leadership
            299 Park Avenue
            New York, NY 10171
          • David Leibell

            Executive Director

            Advanced Planning/Family Office Solutions Group

            David serves as a Senior Wealth Strategist in Private Wealth, splitting his time between New York and Stamford. David focuses on comprehensive strategies to assist UBS clients with their complex financial needs such as preservation, transfer and management of wealth. He serves as an internal resource for UBS clients on all issues related to tax, estate planning, philanthropy, family business succession and wealth planning.

            Education
            After receiving a B.A. from Trinity College, David continued to earn a J.D. from Fordham Law School and an LL.M. in taxation from New York University.

            Professional History

            Prior to joining UBS, David worked at Wiggin and Dana where he was a partner in the Private Client Services Department focusing on the representation of wealthy individuals and families, along with business succession and charitable planning. Prior to Wiggin and Dana, he was a partner in the Private Clients Group at Cummings & Lockwood.

            Affiliations

            David is on the advisory boards of the Central Park Conservancy, the Fairfield County Community Foundation and AmeriCares, as well as a former member of the Estates and Gifts Committee of the New York City Bar.

            Publications and Speeches

            David has authored over one hundred articles on charitable, estate and tax planning and given several hundred lectures and webinars to lawyer and non-lawyer audiences throughout the United States. He serves as the Chairperson of the Family Business Committee for Trusts and Estates Magazine and was previously the Chairperson of the Charitable Giving Committee for Trusts and Estates Magazine for eight years. While practicing, he was listed in The Best Lawyers in America for two practice areas – Trusts and Estates and Charities/Non-Profits, as well as Connecticut Super Lawyers.
          • Christine Cronin

            Managing Director

            Head of Tailored Lending East

            Global Wealth Management Americas Banking Group

            Christine Cronin leads the Tailored Lending Team, East team and focuses on marketing and structuring of tailored lending solutions for high net worth and ultra-high net worth clients.


            Professional History

            Christine is a Managing Director within the Tailored Lending Unit within Global Wealth Management reporting to Anthony D'Andrea where she partners with Steve Marotta in developing the tailored lending business. Christine has in excess of 22 years of experience in the financial services of which 21 were spent in the private bank lending business. Christine joined UBS from Credit Suisse where she served as a Regional Lending Specialist for 5 ½ years. Prior to Credit Suisse she held roles within the Private Bank at Goldman Sachs, Bank of America and Deutsche Bank.
             

            Education

            Christine earned her Bachelor of Science degree in Economics-Finance from Bentley University and her MBA in Investment Management from Pace University.


            Licenses and Certifications

            Series 7
            Series 24
            Series 66
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            Judy Spalthoff

            Head of Family and Philanthropy Advisory

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            Oliver Henderson

            Managing Director, OneBank Coverage

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            Jennifer Van Nest

            Executive Director

            Equity derivatives specialist

          The proof is in our numbers

          $3 billion

          Assets under management

          10 person

          seasoned team


          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