$3 billion
Assets under management
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:
"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
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
Our team’s proprietary Entrepreneur’s Total Wealth Optimization Process (ETOP) helps provide successful entrepreneurs and their families with comprehensive advice and solutions regarding pre- and post-exit business transition issues they face. Through ETOP, our mission is to help you make the smartest decisions—both before and after you exit your business—so you can spend more time doing what you love.
We help you to maximize:
We will coordinate with your other trusted advisors and bring together all the resources you may need. We’ll help make sure that you can maximally benefit from all your hard work.
Strategies-for-Life’s-Liquidity (SELL) Process and multigenerational planning
As anyone who has ever built a business knows, you have to start with a plan. The same is true of your personal finances.
When it comes to understanding how much money is actually needed to pursue lifetime goals, many entrepreneurs in the process of selling a business may not have all the answers. That’s why we utilize our Strategies-for-Life’s-Liquidity (SELL) Process to understand your current financial picture in light of how various possible liquidity scenarios may affect funding the future you envision.
We can help to implement a multigenerational plan that addresses your family’s needs, ranging from income to wealth transfer and preservation, to philanthropic pursuits. If people and causes are important to you, they are important to us.
What’s really important to you—today and for the long term? Our approach starts with questions and discussions that can help you organize your financial life into three key dimensions: Liquidity—to help provide cash flow for short-term expenses, Longevity—for longer-term needs and Legacy—for needs that go beyond your own.
Time frames may vary. Strategies are subject to individual client goals, objectives and suitability. This approach is not a promise or guarantee that wealth, or any financial results, can or will be achieved. All investments involve the risk of loss, including the risk of loss of the entire investment.
How will we work together?
Our team’s individualized attention aims to provide a level of confidence that is invaluable. We are accountable to you, and work diligently on your behalf. By offering high-touch service, our goal is to develop the kind of trust and efficiency to help simplify your financial life and build long-lasting relationships.
Communication is at the center of everything we do.
Beginning with our collaborative planning process, we implement a schedule of meetings and conversations over the course of each year in order to keep your plan on course. This includes 12 monthly recurring appointments annually with four comprehensive quarterly portfolio reviews. When inquiries, opportunities and challenges arise, we are accountable and consistently aim to provide a one-hour response to inquiries and a 24-hour resolution to most issues.
We have developed strong relationships with a wide array of experts, both inside and outside of UBS. We’ll help you build a team of accountants and attorneys, or work with your existing network, leading the effort to develop one integrated approach and strategy. We have the experience and the network to address the complexities of your advanced planning needs.
Is my investment strategy helping me meet my goals?
Once we have a comprehensive financial plan in place, we match your investment strategy to your goals. This alignment and focus on your goals can help you avoid costly, emotionally driven behavioral mistakes that have the potential to impact your best-laid plans.
Through our process, asset allocation is determined based on your goals and their timing rather than solely by age, risk tolerance or the type of asset. We practice a balanced, open architecture investment strategy and believe that research, diversification and risk monitoring are the foundation to creating a financial plan customized to help you pursue your goals.
We offer our clients:
What global resources can I engage?
UBS’s extensive history of working with affluent families provides our team with insights and understanding into the complexities of wealth. With direct access to the global resources and open platform of UBS Private Wealth Management, our team offers timely perspectives, customized investment management and a fully integrated suite of solutions.
We leverage our experience and UBS specialists to help advise on all financial matters including:
A partner for your life vision
Watch the video above to learn how the UBS Family Office Solutions Group brings an integrated approach to address your life's needs.
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.
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.
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.
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.
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.
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.
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.
Executive Director
Advanced Planning/Family Office Solutions Group
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.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.
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.
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.
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.
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.
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.
Executive Director
Advanced Planning/Family Office Solutions Group
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.Eligibility is based on quantitative factors and is not necessarily related to the quality of the investment advice. For more information on third party rating methodologies, please visit ubs.com/us/en/designation-disclosures
Eligibility is based on quantitative factors and is not necessarily related to the quality of the investment advice. For more information on third party rating methodologies, please visit ubs.com/us/en/designation-disclosures
$3 billion
Assets under management
10 person
seasoned team
$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
Harnessing Entrepreneurial ADHD to maximize success
A conversation about the joys and challenges of being an entrepreneur with Ron Gonen
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