Let's move forward. Together.

$1.5+ Billion

Assets under management

As of 02/01/2025

30+

Years in business as a team

6 person

seasoned team

We make a real impact in the lives of our clients by guiding them through major life events and helping them preserve and pass on their wealth. Our customized approach focuses on thoughtful financial planning and wealth management that looks beyond your investments and encompasses all aspects of your financial life.

Connect with us

Connecting you to our resources

House View Monthly

Jason Draho, Head of Asset Allocation, CIO Americas, James Dobson, CIO Equity Strategist, US Energy and Utilities, and Shane Lieberman, Senior Governmental Affairs Advisor, Governmental Affairs US, discussed the current US fiscal landscape and ongoing market and economic uncertainty at the midpoint of 2025. CIO’s outlook for the second half of the year was also covered.

July 02, 2025

Maximize your potential wealth

Creating a legacy for your family’s future

Estate planning strategies

Advice for business owners & entrepreneurs

The unique needs of athletes and entertainers

Philanthropy

What are the causes you are passionate about? Whatever your objectives, we can help you explore new and innovative ways to make a positive impact on the world. Through our network and the UBS Family Advisory and Philanthropy Services, we’ll work with you and family members to help provide education on philanthropy, practical solutions and tax-efficient investment strategies for creating a meaningful and lasting legacy.

Ready to sell your business?

The five hallmarks of a successful sale

Move forward with confidence in possibly the biggest venture of your life. We can help advise and orchestrate your entire team of experts throughout the sale process and beyond.

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Pursuing your goals with a financial team

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.

Denis G. Roy, CFP, CIMA

Senior Vice President–Wealth Management

Private Wealth Advisor
View bio Industry recognition
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- ID
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NH
- NM
- NV
- NY
- OH
- OR
- TN
- TX
- VA
- WA
- WI
- WY
The focus of Denis' practice is working with Family Stewards as a consultant and advisor for their long term Wealth Management. Helping clients to achieve their goals begins with cash flow, planning to educate their children, and preparing for retirement. This process involves growing of wealth, the protection of assets from taxes, creditors and predators, and the ultimate distribution of those assets to the people they love and to the causes they cherish.

Denis' team The Farallon Group works with private business owners to get them the ideas and information they need to make smart decisions about their wealth. Denis' clients appreciate having a trusted advisor to help them integrate their business and family wealth with their family dynamics. He brings a "boutique experience" combined with the resources of a premier global investment securities firm to provide clients with the comprehensive services they deserve while maintaining focus on the individual.

Originally from Maine, Denis now lives in Mill Valley with his wife, Susie. He graduated from Dartmouth College, where he was a member of the Men’s Ice Hockey team. He enjoys playing tennis and spending time with his grandchildren.
- Forbes Best-in-State Wealth Advisors, 2022, 2023, 2024, 2025The 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.
- UBS Wealth Management President’s Council, 2024UBS Financial Services Inc. Councils are a distinction held by UBS Financial Advisors based on criteria including evaluation of compliance with firm rules, standards & policies and revenue. Council membership is not representative of any one client's experience and is not indicative of the advisor’s future performance.
- Private Wealth Advisor
555 California Street
32nd/ 34th /46th Floor
San Francisco, CA 94104

denis.roy@ubs.com

Denis G. Roy, CFP, CIMA

555 California Street,San Francisco,CA,94104
Michael Grosse, CFP

Senior Vice President–Wealth Management

Portfolio Manager
View bio
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- ID
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NH
- NM
- NV
- NY
- OH
- OR
- TN
- TX
- VA
- WA
- WI
- WY
As a Financial Advisor, Michael's goal is to help clients to articulate and to understand their financial goals by providing a roadmap to achieve them. The Farallon Group specializes in helping private business owners manage the financial challenges of their businesses and their families. Michael focuses on research and asset allocation, while maintaining consistent client contact in order to manage reactions to market fluctuations. He believes the benefits of an individually-driven personal relationship combined with the resources of a premier global investment firm serve to provide our clients with the comprehensive services they deserve.

Michael graduated from University of California Berkeley with degrees in Economics and American Literature. He is originally from Texas and now lives in San Francisco with his wife, Sue, and their two teenage children. In his free time, he enjoys playing the drums in a local band.
- Portfolio Manager
555 California Street
32nd/ 34th /46th Floor
San Francisco, CA 94104

michael.grosse@ubs.com

Michael Grosse, CFP

555 California Street,San Francisco,CA,94104
Patrick "Pat" Downs, CPWA

First Vice President–Wealth Management

Financial Advisor
View bio
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- IA
- ID
- IL
- IN
- KS
- KY
- LA
- MA
- MD
- ME
- MI
- MN
- MO
- MS
- MT
- NC
- ND
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- RI
- SC
- SD
- TN
- TX
- UT
- VA
- VT
- WA
- WI
- WV
- WY
Pat was born and raised in the San Francisco Bay Area, attended St. Ignatius, and is a longtime member of The Olympic Club. He graduated in 2007 from Denison University in Ohio, where he played on the Football team. Pat now lives in Novato with his wife, Kelle, and their two daughters, Lily and Mary. Pat learned the value of service from his family and sits on the Board of Directors for Oakland Lacrosse Club.

Pat joined The Farallon Group in September 2024 after 13 years with Morgan Stanley. He began his career at Capitas Financial in 2007, where he gained the valuable perspective that families need a team of trusted advisors to grow and protect what is important to them.
555 California Street
32nd/ 34th /46th Floor
San Francisco, CA 94104

patrick.downs@ubs.com

Patrick "Pat" Downs, CPWA

555 California Street,San Francisco,CA,94104
Ryan Yamaguchi

Senior Wealth Strategy Associate
View bio
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- IA
- ID
- IN
- KY
- LA
- MA
- MD
- ME
- MI
- MN
- MO
- MT
- NC
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- TN
- TX
- UT
- VA
- WA
- WI
- WY
Ryan provides a critical role in The Farallon Group by developing tailored wealth management plans and strategies for our clients. He focuses on research and analysis of portfolio performance reports, interpreting them for potential change and making informed recommendations based on his findings.

Ryan graduated from UC Santa Barbara with a degree in Business Economics and currently lives in the East Bay.
555 California Street
32nd/ 34th /46th Floor
San Francisco, CA 94104

ryan.s.yamaguchi@ubs.com

Ryan Yamaguchi

555 California Street,San Francisco,CA,94104
Victoria "Tory" Hargrove

Senior Registered Client Associate
View bio
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- IA
- ID
- IL
- IN
- KY
- LA
- MA
- MD
- ME
- MI
- MN
- MO
- MT
- NC
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- TN
- TX
- UT
- VA
- WA
- WI
- WY
Tory provides operational and administrative support to The Farallon Group. She actively assists in the input of orders and data, organizes logistics for the team events and marketing materials, helps to identify service opportunities for clients and maintains management systems with up to date client information. She interfaces with clients directly to ensure their service needs and requests are appropriately met.

Tory was born and raised in the Bay Area and graduated from UC Berkeley. She currently lives in Napa County and has two adult children. In her free time, she likes to sing and road bike.
555 California Street
32nd/ 34th /46th Floor
San Francisco, CA 94104

victoria.hargrove@ubs.com

Victoria "Tory" Hargrove

555 California Street,San Francisco,CA,94104
McKenzie Cooke

Senior Registered Client Associate
View bio
- AL
- AR
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- ID
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NH
- NJ
- NM
- NV
- NY
- OH
- OR
- TN
- TX
- VA
- VI
- WA
- WI
- WY
McKenzie joined The Farallon Group in September 2024 after three years with Morgan Stanley. She is dedicated to delivering a seamless client experience, ensuring requests are handled efficiently from start to finish. She manages account openings, processes transactions, and responds promptly to inquiries. In addition to client-facing work, she contributes to refining the team’s service approach and streamlining workflows to enhance productivity.

McKenzie was born and raised in Mill Valley and now lives in San Francisco. She graduated from Yale University with a degree in Psychology and was a member of the Women's Volleyball team. McKenzie is an avid dog-lover and enjoys discovering new things to do in the Bay Area in her free time.
555 California Street
32nd/ 34th /46th Floor
San Francisco, CA 94104

mckenzie.cooke@ubs.com

McKenzie Cooke

555 California Street,San Francisco,CA,94104

David Rosenthal

Executive Director

Wealth Planning Strategist – Wealth Planning & Trust Consulting Team

View bio

David is a Wealth Planning Strategist in our San Francisco and Pacific Northwest markets. In this capacity, David is responsible for providing Financial Advisors and their high-net-worth clients with unbiased, product neutral, advanced planning strategies, design and implementation. As an advanced financial planner, he provides expertise in the following areas:
− Estate and multi-generational planning
− Retirement income and cash flow analysis
− Business continuity and succession planning
− Retirement plans and employee benefits
− Risk and liability management planning
− Charitable giving strategies
− Executive compensation and benefit strategies
− Special Needs & Disability Planning

Professional History
Prior to joining UBS in 2006, David's 35 years in the financial services industry include tenures at Mellon Bank, Wachovia Securities and Merrill Lynch.

Education
David holds a B.A in Psychology from Duquesne University and a J.D. from Taft University School of Law. He has also completed the Applied Behavioral Finance certificate program through the Investments & Wealth Institute and is a member of the Academy of Special Needs Planners & the San Francisco Estate Planning Council.

Designations Held
Accredited Estate Planner (AEP®)
Certified Financial Planner (CFP®)
Certified Private Wealth Advisor (CPWA®)
Chartered Life Underwriter (CLU®)
Chartered Financial Consultant (ChFC®)
Chartered Advisor in Philanthropy (CAP®)
Chartered Special Needs Consultant (ChSNC®)
Chartered Retirement Planning Counselor (CRPC®)
Chartered Retirement Plans Specialist (CRPS®)
Certified Investment Management Analyst (CIMA®)
Certified Investment Management Consultant (CIMC®)
Certified Exit Planning Advisor (CEPA®)
Stephen Dohler

Senior Wealth Management Banker, UBS Bank USA

View bio

Current role and areas of expertise

Stephen joined UBS Financial Services, Inc. in 1999 and was one of the original UBS Bank USA employees when the bank established in 2003. He is currently a Senior Wealth Management Banker covering the San Francisco & UBS International Pacific Markets

Stephen has an extensive background in relationship banking. He is focused on providing Financial Advisors and their clients a variety of cash management resources along with banking solutions that may complement their overall wealth management objectives

Professional history

Stephen began his career in financial services in 1999. His various roles included Underwriting and heading-up the Banking Solutions Sales Desk. Stephen has spent the bulk of his career partnering with Financial Advisors and their high-net-worth clients to provide lending solutions.

Education and personal information

In Stephen’s role as a Senior Wealth Management Banker his NMLS # is 1226605. He holds his Series 7 and 66 securities licenses along with a BS in Business Administration from The Towson University.

Senior Wealth Management Bankers are employees of UBS Bank USA. UBS Bank USA is a subsidiary of UBS Group AG. UBS Bank USA, Member FDIC, NMLS No. 947868.Equal Housing Lender.
Heather George

Executive Director

Senior Strategist, Family Advisory and Philanthropy Services Americas

View bio
Frederick Beck III

Executive Director

Western Region Alternative Investments Consultant

View bio

Fred is the Alternative Investments Consultant supporting the western region and is based in San Francisco, CA. He joined UBS in 2025 and has over 20 years of industry experience.

Prior to joining UBS, Fred was an Executive Director within Morgan Stanley’s Investment Management Division where he was responsible for raising capital for the Pacific Coast territory. Previously, he was a Senior Vice President at Brookfield Asset Management where he was responsible for alternative investment business development in the wealth advisory channel for the west coast. From ‘04-‘18, he held the position of Executive Director in the Alternative Investment Group at Morgan Stanley Wealth Management, where he was responsible for fundraising activities involving proprietary and third-party managers across various asset classes and strategies. He holds the Series 7 and 63 registrations.

Fred was born in Ithaca, NY and earned his B.A. in Management from Gettysburg College in 2002 where he also played football. He previously served on the Board of Trustees of the Salisbury School and is member of the Olympic Club. He resides in Marin County with his wife and two daughters. In his spare time, Fred continues to play ice hockey, golf and recently took up cycling.
Shinda Bickham

Executive Director

Portfolio Advisory Group Senior Strategist

View bio

Shinda is a Senior Portfolio Strategist within the Portfolio Advisory Group and currently leads the team’s Northwest and Mountain West regions. In this capacity, he is responsible for articulating the UBS house view on asset classes and financial markets and delivering tailored, comprehensive, and research-driven investments guidance to the firm’s ultra-high net worth (UHNW) advisors and their clients. Shinda’s areas of specialization include asset allocation/portfolio construction, manager research and selection, and derivatives-based portfolio hedging solutions.

Professional History
Shinda has been working in the financial services industry for over 25 years, and before joining UBS he spent 9+ years at BlackRock where he both led portfolio management teams and held several key assignments as lead PM in both EMEA and the Americas, including the firm’s derivatives-based solutions and foreign exchange hedging efforts as well as its systematic macro factor and style factor suite of funds - books with over £60BB and $30BB in AUM, respectively. Shinda covers all asset classes in both public and private markets and works with the firm’s largest and most sophisticated UHNW and institutional clients. He is based in San Francisco splits time between Seattle and the San Francisco Bay Area.

Education
Shinda received his B.A. in Economics from the University of California,
Berkeley and holds his Series 7, 65 & 66 licenses.
Mark McMillan

Executive Director

Regional Sales Director

View bio

Mark McMillan became the UBS Asset Management Regional Director for the California Region in July 2005. In this capacity, he oversees the business development and client servicing for UBS Asset Management investment solutions, with a focus on delivering all of the capabilities and solutions of UBS Asset Management to Global Wealth Management in California.

Starting in 1994, Mark began his career in San Francisco as a marketing specialist at G.T. Global Mutual Funds, pioneers in emerging market investing. He then joined the San Francisco boutique investment bank, Robertson Stephens, where he was a member of the team that built Robertson Stephens mutual funds. Following the acquisition of Robertson Stephens by Bank of America, Mark was given responsibility for the BofA Offshore family of Funds and worked closely with the Bank of America Private Bank and its international clients. Mark is active in the Los Angeles community and volunteers at Chrysalis in downtown Los Angeles, where he teaches courses on preparing low income and re-entry individuals key skills to secure jobs and economic independence.

Denis G. Roy, CFP, CIMA

Senior Vice President–Wealth Management

Private Wealth Advisor
View bio Industry recognition
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- ID
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NH
- NM
- NV
- NY
- OH
- OR
- TN
- TX
- VA
- WA
- WI
- WY
The focus of Denis' practice is working with Family Stewards as a consultant and advisor for their long term Wealth Management. Helping clients to achieve their goals begins with cash flow, planning to educate their children, and preparing for retirement. This process involves growing of wealth, the protection of assets from taxes, creditors and predators, and the ultimate distribution of those assets to the people they love and to the causes they cherish.

Denis' team The Farallon Group works with private business owners to get them the ideas and information they need to make smart decisions about their wealth. Denis' clients appreciate having a trusted advisor to help them integrate their business and family wealth with their family dynamics. He brings a "boutique experience" combined with the resources of a premier global investment securities firm to provide clients with the comprehensive services they deserve while maintaining focus on the individual.

Originally from Maine, Denis now lives in Mill Valley with his wife, Susie. He graduated from Dartmouth College, where he was a member of the Men’s Ice Hockey team. He enjoys playing tennis and spending time with his grandchildren.
- Forbes Best-in-State Wealth Advisors, 2022, 2023, 2024, 2025The 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.
- UBS Wealth Management President’s Council, 2024UBS Financial Services Inc. Councils are a distinction held by UBS Financial Advisors based on criteria including evaluation of compliance with firm rules, standards & policies and revenue. Council membership is not representative of any one client's experience and is not indicative of the advisor’s future performance.
- Private Wealth Advisor
555 California Street
32nd/ 34th /46th Floor
San Francisco, CA 94104

denis.roy@ubs.com

Denis G. Roy, CFP, CIMA

555 California Street,San Francisco,CA,94104
Michael Grosse, CFP

Senior Vice President–Wealth Management

Portfolio Manager
View bio
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- ID
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NH
- NM
- NV
- NY
- OH
- OR
- TN
- TX
- VA
- WA
- WI
- WY
As a Financial Advisor, Michael's goal is to help clients to articulate and to understand their financial goals by providing a roadmap to achieve them. The Farallon Group specializes in helping private business owners manage the financial challenges of their businesses and their families. Michael focuses on research and asset allocation, while maintaining consistent client contact in order to manage reactions to market fluctuations. He believes the benefits of an individually-driven personal relationship combined with the resources of a premier global investment firm serve to provide our clients with the comprehensive services they deserve.

Michael graduated from University of California Berkeley with degrees in Economics and American Literature. He is originally from Texas and now lives in San Francisco with his wife, Sue, and their two teenage children. In his free time, he enjoys playing the drums in a local band.
- Portfolio Manager
555 California Street
32nd/ 34th /46th Floor
San Francisco, CA 94104

michael.grosse@ubs.com

Michael Grosse, CFP

555 California Street,San Francisco,CA,94104
Patrick "Pat" Downs, CPWA

First Vice President–Wealth Management

Financial Advisor
View bio
- AK
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- IA
- ID
- IL
- IN
- KS
- KY
- LA
- MA
- MD
- ME
- MI
- MN
- MO
- MS
- MT
- NC
- ND
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- RI
- SC
- SD
- TN
- TX
- UT
- VA
- VT
- WA
- WI
- WV
- WY
Pat was born and raised in the San Francisco Bay Area, attended St. Ignatius, and is a longtime member of The Olympic Club. He graduated in 2007 from Denison University in Ohio, where he played on the Football team. Pat now lives in Novato with his wife, Kelle, and their two daughters, Lily and Mary. Pat learned the value of service from his family and sits on the Board of Directors for Oakland Lacrosse Club.

Pat joined The Farallon Group in September 2024 after 13 years with Morgan Stanley. He began his career at Capitas Financial in 2007, where he gained the valuable perspective that families need a team of trusted advisors to grow and protect what is important to them.
555 California Street
32nd/ 34th /46th Floor
San Francisco, CA 94104

patrick.downs@ubs.com

Patrick "Pat" Downs, CPWA

555 California Street,San Francisco,CA,94104
Ryan Yamaguchi

Senior Wealth Strategy Associate
View bio
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- IA
- ID
- IN
- KY
- LA
- MA
- MD
- ME
- MI
- MN
- MO
- MT
- NC
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- TN
- TX
- UT
- VA
- WA
- WI
- WY
Ryan provides a critical role in The Farallon Group by developing tailored wealth management plans and strategies for our clients. He focuses on research and analysis of portfolio performance reports, interpreting them for potential change and making informed recommendations based on his findings.

Ryan graduated from UC Santa Barbara with a degree in Business Economics and currently lives in the East Bay.
555 California Street
32nd/ 34th /46th Floor
San Francisco, CA 94104

ryan.s.yamaguchi@ubs.com

Ryan Yamaguchi

555 California Street,San Francisco,CA,94104
Victoria "Tory" Hargrove

Senior Registered Client Associate
View bio
- AL
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- IA
- ID
- IL
- IN
- KY
- LA
- MA
- MD
- ME
- MI
- MN
- MO
- MT
- NC
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- TN
- TX
- UT
- VA
- WA
- WI
- WY
Tory provides operational and administrative support to The Farallon Group. She actively assists in the input of orders and data, organizes logistics for the team events and marketing materials, helps to identify service opportunities for clients and maintains management systems with up to date client information. She interfaces with clients directly to ensure their service needs and requests are appropriately met.

Tory was born and raised in the Bay Area and graduated from UC Berkeley. She currently lives in Napa County and has two adult children. In her free time, she likes to sing and road bike.
555 California Street
32nd/ 34th /46th Floor
San Francisco, CA 94104

victoria.hargrove@ubs.com

Victoria "Tory" Hargrove

555 California Street,San Francisco,CA,94104
McKenzie Cooke

Senior Registered Client Associate
View bio
- AL
- AR
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- HI
- ID
- KY
- MA
- MD
- ME
- MI
- MN
- MO
- NH
- NJ
- NM
- NV
- NY
- OH
- OR
- TN
- TX
- VA
- VI
- WA
- WI
- WY
McKenzie joined The Farallon Group in September 2024 after three years with Morgan Stanley. She is dedicated to delivering a seamless client experience, ensuring requests are handled efficiently from start to finish. She manages account openings, processes transactions, and responds promptly to inquiries. In addition to client-facing work, she contributes to refining the team’s service approach and streamlining workflows to enhance productivity.

McKenzie was born and raised in Mill Valley and now lives in San Francisco. She graduated from Yale University with a degree in Psychology and was a member of the Women's Volleyball team. McKenzie is an avid dog-lover and enjoys discovering new things to do in the Bay Area in her free time.
555 California Street
32nd/ 34th /46th Floor
San Francisco, CA 94104

mckenzie.cooke@ubs.com

McKenzie Cooke

555 California Street,San Francisco,CA,94104

David Rosenthal

Executive Director

Wealth Planning Strategist – Wealth Planning & Trust Consulting Team

View bio

David is a Wealth Planning Strategist in our San Francisco and Pacific Northwest markets. In this capacity, David is responsible for providing Financial Advisors and their high-net-worth clients with unbiased, product neutral, advanced planning strategies, design and implementation. As an advanced financial planner, he provides expertise in the following areas:
− Estate and multi-generational planning
− Retirement income and cash flow analysis
− Business continuity and succession planning
− Retirement plans and employee benefits
− Risk and liability management planning
− Charitable giving strategies
− Executive compensation and benefit strategies
− Special Needs & Disability Planning

Professional History
Prior to joining UBS in 2006, David's 35 years in the financial services industry include tenures at Mellon Bank, Wachovia Securities and Merrill Lynch.

Education
David holds a B.A in Psychology from Duquesne University and a J.D. from Taft University School of Law. He has also completed the Applied Behavioral Finance certificate program through the Investments & Wealth Institute and is a member of the Academy of Special Needs Planners & the San Francisco Estate Planning Council.

Designations Held
Accredited Estate Planner (AEP®)
Certified Financial Planner (CFP®)
Certified Private Wealth Advisor (CPWA®)
Chartered Life Underwriter (CLU®)
Chartered Financial Consultant (ChFC®)
Chartered Advisor in Philanthropy (CAP®)
Chartered Special Needs Consultant (ChSNC®)
Chartered Retirement Planning Counselor (CRPC®)
Chartered Retirement Plans Specialist (CRPS®)
Certified Investment Management Analyst (CIMA®)
Certified Investment Management Consultant (CIMC®)
Certified Exit Planning Advisor (CEPA®)
Stephen Dohler

Senior Wealth Management Banker, UBS Bank USA

View bio

Current role and areas of expertise

Stephen joined UBS Financial Services, Inc. in 1999 and was one of the original UBS Bank USA employees when the bank established in 2003. He is currently a Senior Wealth Management Banker covering the San Francisco & UBS International Pacific Markets

Stephen has an extensive background in relationship banking. He is focused on providing Financial Advisors and their clients a variety of cash management resources along with banking solutions that may complement their overall wealth management objectives

Professional history

Stephen began his career in financial services in 1999. His various roles included Underwriting and heading-up the Banking Solutions Sales Desk. Stephen has spent the bulk of his career partnering with Financial Advisors and their high-net-worth clients to provide lending solutions.

Education and personal information

In Stephen’s role as a Senior Wealth Management Banker his NMLS # is 1226605. He holds his Series 7 and 66 securities licenses along with a BS in Business Administration from The Towson University.

Senior Wealth Management Bankers are employees of UBS Bank USA. UBS Bank USA is a subsidiary of UBS Group AG. UBS Bank USA, Member FDIC, NMLS No. 947868.Equal Housing Lender.
Heather George

Executive Director

Senior Strategist, Family Advisory and Philanthropy Services Americas

View bio
Frederick Beck III

Executive Director

Western Region Alternative Investments Consultant

View bio

Fred is the Alternative Investments Consultant supporting the western region and is based in San Francisco, CA. He joined UBS in 2025 and has over 20 years of industry experience.

Prior to joining UBS, Fred was an Executive Director within Morgan Stanley’s Investment Management Division where he was responsible for raising capital for the Pacific Coast territory. Previously, he was a Senior Vice President at Brookfield Asset Management where he was responsible for alternative investment business development in the wealth advisory channel for the west coast. From ‘04-‘18, he held the position of Executive Director in the Alternative Investment Group at Morgan Stanley Wealth Management, where he was responsible for fundraising activities involving proprietary and third-party managers across various asset classes and strategies. He holds the Series 7 and 63 registrations.

Fred was born in Ithaca, NY and earned his B.A. in Management from Gettysburg College in 2002 where he also played football. He previously served on the Board of Trustees of the Salisbury School and is member of the Olympic Club. He resides in Marin County with his wife and two daughters. In his spare time, Fred continues to play ice hockey, golf and recently took up cycling.
Shinda Bickham

Executive Director

Portfolio Advisory Group Senior Strategist

View bio

Shinda is a Senior Portfolio Strategist within the Portfolio Advisory Group and currently leads the team’s Northwest and Mountain West regions. In this capacity, he is responsible for articulating the UBS house view on asset classes and financial markets and delivering tailored, comprehensive, and research-driven investments guidance to the firm’s ultra-high net worth (UHNW) advisors and their clients. Shinda’s areas of specialization include asset allocation/portfolio construction, manager research and selection, and derivatives-based portfolio hedging solutions.

Professional History
Shinda has been working in the financial services industry for over 25 years, and before joining UBS he spent 9+ years at BlackRock where he both led portfolio management teams and held several key assignments as lead PM in both EMEA and the Americas, including the firm’s derivatives-based solutions and foreign exchange hedging efforts as well as its systematic macro factor and style factor suite of funds - books with over £60BB and $30BB in AUM, respectively. Shinda covers all asset classes in both public and private markets and works with the firm’s largest and most sophisticated UHNW and institutional clients. He is based in San Francisco splits time between Seattle and the San Francisco Bay Area.

Education
Shinda received his B.A. in Economics from the University of California,
Berkeley and holds his Series 7, 65 & 66 licenses.
Mark McMillan

Executive Director

Regional Sales Director

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Mark McMillan became the UBS Asset Management Regional Director for the California Region in July 2005. In this capacity, he oversees the business development and client servicing for UBS Asset Management investment solutions, with a focus on delivering all of the capabilities and solutions of UBS Asset Management to Global Wealth Management in California.

Starting in 1994, Mark began his career in San Francisco as a marketing specialist at G.T. Global Mutual Funds, pioneers in emerging market investing. He then joined the San Francisco boutique investment bank, Robertson Stephens, where he was a member of the team that built Robertson Stephens mutual funds. Following the acquisition of Robertson Stephens by Bank of America, Mark was given responsibility for the BofA Offshore family of Funds and worked closely with the Bank of America Private Bank and its international clients. Mark is active in the Los Angeles community and volunteers at Chrysalis in downtown Los Angeles, where he teaches courses on preparing low income and re-entry individuals key skills to secure jobs and economic independence.

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