One commitment. All of UBS.

As Financial Advisors and Endowment & Foundation Consultants, we bring a deep understanding of the needs and challenges your organization faces today. That's why you can be confident that we will take the time to fully understand your organization’s philanthropic mission, unique financial circumstances and the long-term funding goals that will inform the plan we design for today and tomorrow.

We're ready to listen.

Connecting you to the deep resources of UBS

By seeing the big picture, we provide access to the global platforms and the financial and intellectual strengths of UBS’s experts in Wealth Management, Asset Management and our Private and Investment Banks.

Institutional consulting

Advice for business owners and entrepreneurs

A way forward

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.}

Pursuing your goals together

Our mission is to provide quality strategies customized to your needs. Our goal is to be your primary source of financial advice. To this end, we concentrate our efforts on developing long-term relationships through a commitment to quality client service.

Diane Johnston

Senior Vice President–Wealth Management

Endowment & Foundation Consultant
View bio
- CA
- CT
- DE
- FL
- GA
- IL
- KS
- MA
- MI
- MO
- NC
- NJ
- NY
- OH
- OR
- PA
- RI
- SC
- TN
- VA
- WY
I am a navigator! I navigate complex situations to pilot deal structures to help business owners monetize and also solve for asset allocation and investment fiduciary duties for small institutional plans (ERISA plans or E&F). My clients take care of so many people that they often don’t have time to take care of themselves. That’s where I step in to help them with their wealth. Often that includes plans that fall under ERISA or Endowments and Foundations, and I help with employee and donor education.

For over two decades, I have brought sophisticated solutions to complex investors to position them for optimal outcomes. I help to uncover unique beliefs and goals to form a financial road map not only for specific circumstances, but for dreams and ambitions, all while using an institutional skill set and toolbox.

Challenges that business owners face today are all too real. From regulatory and tax concerns to remaining passionate about a business or mission that may face outsized obstacles; being winged and ready is more important now than ever. The more an owner can pre-experience financial decisions and conditions, the better connected to their wealth creation’s success they will be.

Endowments and foundations, and ERISA plans, face their own unique set of circumstances that have only increased as headwinds blow harder. Unfortunately, limited time and resources can make for missed market opportunities and governance missteps. As a seasoned finance leader, I identify the roadblocks to success and curb them by bringing alternative solutions to navigate choppy conditions.

I live on Long Island with my husband, Doug, and am the proud mother of four young men. I enjoy racing and cruising with my family on our sailboat, and am learning to transition away from being a distant runner and finding new sports. I also like to stroke my artistic side as much as possible through writing, painting and sketching.
- Sewanee: The University of the South, B.A., Economics
- Mendoza College of Business at the University of Notre Dame, Executive Certificate in Business Administration
- Endowment & Foundation Consultant
- Series 7, 24, 31, 55, 63, 66
- Certified Investment Management Analyst®
Exit planning

Asset allocation

Alternative investments

Entrepreneurs

Impact investing

Business succession

Institutional consulting

Retirement Plan consulting

One Jericho Plaza
Suite 205
Jericho, NY 11753
Ellen Spathis

Wealth Strategy Associate
View bio
- AZ
- CT
- FL
- MI
- NJ
- NY
- SC
- TX
Ellen has over 21 years of experience in the financial services industry. Ellen’s background is in retirement planning and investment consulting, with experience at Taft-Hartley Defined Benefit Funds and Health & Welfare Funds. She also worked with Morgan Stanley and Marcum Wealth, an independent advisory firm. She began her career at Goldman Sachs & Company in private wealth management.

Ellen’s primary focus is on client relationships, assisting with account inquiries, account opening and maintenance, and effective communication to provide relevant information in a timely manner. She provides support to the team and implements an overall positive client experience.

Ellen earned a BBA in International Business and MBA in Finance from Hofstra University. She currently holds her Series 7, Series 6, Series 63 and Series 66 licenses, and has a certification in the Essentials of Investment Consulting Certificate Program from the Investment Management Consultants Association. Ellen and her husband and family reside in Plainview.
One Jericho Plaza
Jericho, NY 11753

Diane Johnston

Senior Vice President–Wealth Management

Endowment & Foundation Consultant
View bio
- CA
- CT
- DE
- FL
- GA
- IL
- KS
- MA
- MI
- MO
- NC
- NJ
- NY
- OH
- OR
- PA
- RI
- SC
- TN
- VA
- WY
I am a navigator! I navigate complex situations to pilot deal structures to help business owners monetize and also solve for asset allocation and investment fiduciary duties for small institutional plans (ERISA plans or E&F). My clients take care of so many people that they often don’t have time to take care of themselves. That’s where I step in to help them with their wealth. Often that includes plans that fall under ERISA or Endowments and Foundations, and I help with employee and donor education.

For over two decades, I have brought sophisticated solutions to complex investors to position them for optimal outcomes. I help to uncover unique beliefs and goals to form a financial road map not only for specific circumstances, but for dreams and ambitions, all while using an institutional skill set and toolbox.

Challenges that business owners face today are all too real. From regulatory and tax concerns to remaining passionate about a business or mission that may face outsized obstacles; being winged and ready is more important now than ever. The more an owner can pre-experience financial decisions and conditions, the better connected to their wealth creation’s success they will be.

Endowments and foundations, and ERISA plans, face their own unique set of circumstances that have only increased as headwinds blow harder. Unfortunately, limited time and resources can make for missed market opportunities and governance missteps. As a seasoned finance leader, I identify the roadblocks to success and curb them by bringing alternative solutions to navigate choppy conditions.

I live on Long Island with my husband, Doug, and am the proud mother of four young men. I enjoy racing and cruising with my family on our sailboat, and am learning to transition away from being a distant runner and finding new sports. I also like to stroke my artistic side as much as possible through writing, painting and sketching.
- Sewanee: The University of the South, B.A., Economics
- Mendoza College of Business at the University of Notre Dame, Executive Certificate in Business Administration
- Endowment & Foundation Consultant
- Series 7, 24, 31, 55, 63, 66
- Certified Investment Management Analyst®
Exit planning

Asset allocation

Alternative investments

Entrepreneurs

Impact investing

Business succession

Institutional consulting

Retirement Plan consulting

One Jericho Plaza
Suite 205
Jericho, NY 11753
Ellen Spathis

Wealth Strategy Associate
View bio
- AZ
- CT
- FL
- MI
- NJ
- NY
- SC
- TX
Ellen has over 21 years of experience in the financial services industry. Ellen’s background is in retirement planning and investment consulting, with experience at Taft-Hartley Defined Benefit Funds and Health & Welfare Funds. She also worked with Morgan Stanley and Marcum Wealth, an independent advisory firm. She began her career at Goldman Sachs & Company in private wealth management.

Ellen’s primary focus is on client relationships, assisting with account inquiries, account opening and maintenance, and effective communication to provide relevant information in a timely manner. She provides support to the team and implements an overall positive client experience.

Ellen earned a BBA in International Business and MBA in Finance from Hofstra University. She currently holds her Series 7, Series 6, Series 63 and Series 66 licenses, and has a certification in the Essentials of Investment Consulting Certificate Program from the Investment Management Consultants Association. Ellen and her husband and family reside in Plainview.
One Jericho Plaza
Jericho, NY 11753

Year Ahead 2023

A year of inflections

Following one of the toughest years in history for investors, CIO sets its sights on the Year Ahead. Entering what we expect to be a “Year of Inflections,” uncertainty remains high. But for investors with the ability to look through short-term noise, the difficulties of 2022 should make way for longer-term opportunities. Navigating these anticipated inflection points in 2023 will be key to investment success.

Learn more

Backed by the strength of UBS

A global leader in wealth management

Serving Business Owners

Euromoney Private Banking and Wealth Management Survey, 2020

ESG/Impact Investing

Euromoney Private Banking and Wealth Management Survey, 2015-2022

3.3 million

Vulnerable children
reached by the UBS Optimus
Foundation in 2019²

²https://www.ubs.com/global/en/ubs-society/philanthropy/optimus-foundation/driving-change.html

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