Your benefits plan

Simplifying and optimizing plan complexity

As Institutional Consultants, we take the time to fully understand your organization, leadership, employees and culture. With our comprehensive platform of industry-leading corporate services and solutions, we provide a proven process that can help deliver a customized benefits plan. Talk to us about how our experience, resources and industry longevity can contribute to your company’s success today and in the future.

Boardroom

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.

  • Robert Vaughan

    Robert Vaughan, CRPS

    First Vice President–Wealth Management

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    • CA
    • DE
    • FL
    • GA
    • IL
    • LA
    • NJ
    • NV
    • NY
    • OH
    • OK
    • OR
    • TX
    • VA
    • WI

    Robert has more than 7 years of experience working with institutions. Prior to joining his partner, Jon, in Houston, he was part of UBS Institutional Consulting Group program management in Weehawken, New Jersey where he worked with 135 Institutional Consultants with over $45 billion in assets under management.  

    As a Senior Retirement Plan Consultant, he serves a variety of cities, unions, non-profits, corporations, hospitals and insurance companies.  Robert graduated from Baruch College in New York City with a Masters in Finance, and later earned the designation of Chartered Retirement Plan Specialist (CRPS®). Through the Center for Fiduciary Studies at the Katz Graduate School of Business, University of Pittsburgh, Robert achieved the Accredited Investment Fiduciary (AIF®) designation.

    Robert serves as a lead consultant on the team and attends Investment Committee meetings and quarterly performance reviews.  Robert works with clients to develop and implement participant education strategies, conduct fee and benchmarking reviews and provides plan merger and Voluntary Correction Program assistance.

    • PLANADVISER Top Retirement Plan Advisers, 2021, 2022The PLANADVISOR rating is awarded in Q1 based on information from January of the award year.

    • Baruch College, Masters in Finance
    • Chartered Retirement Plans Specialist℠
    • Retirement Plan Consultant
    1780 Hughes Landing Blvd
    3 Hughes Landing, Suite 200
    The Woodlands, TX 77380
  • Brenda Paulson

    Brenda Paulson

    Client Associate

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    • IL
    • TX

    Brenda is the team's Senior Client Service Associate and has over 14 years of experience in the institutional retirement plans arena. Brenda performs day to day operations for institutional accounts, coordinates monthly cash flow requirements for clients and interfaces with clients' staff, auditors, accountants, attorneys and other professionals.

          1780 Hughes Landing Blvd
          3 Hughes Landing, Suite 200
          The Woodlands, TX 77380
        • Josh Heard

          Joshua Heard

          Senior Wealth Strategy Associate

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          • TX

                1780 Hughes Landing Blvd
                3 Hughes Landing, Suite 200
                The Woodlands, TX 77380
              • Michael Griffin

                Head of Workplace Wealth Solutions Sales

                Mike’s current role encompasses the Retirement Plan Consulting, Equity Plans, Institutional Consulting and Financial Wellness businesses. Located in Charlotte, NC, He joined us from Merrill Lynch, where he was the Head of Institutional Client Acquisition within their Institutional Retirement Group.

                Mike brings over 25 years of retirement and financial industry experience with him. At Merrill Lynch, Mike held several leadership roles.  Prior to his latest role at Merrill Lynch, Mike also served as the Head of Retirement Sales; Market Head for the Bloomfield Hills, MI Market; served as a Branch Manager in Destin, FL and was a retirement specialist in Birmingham, AL.  Prior to Merrill Lynch, Mike served as an attorney specializing in ERISA law. 

              • Dan Renz

                National Client Engagement Director, Retirement Plan Consulting

                Dan is responsible for driving strategies that help advisors deepen relationships with Retirement Plan Consulting clients across the country. He develops engagement plans to help advisors deliver the full value that UBS can offer to clients.

                Dan has 25 years of experience in Wealth Management and Financial Services.  He has been a Financial Advisor, Branch Manager and Market Executive at Merrill Lynch while also serving as the Midwest Market Integration Executive for Bank of America, US Trust, the Private Banking Investment Group and Merrill Lynch.  While at Merrill Lynch he recruited over $2.5 billion dollars of assets under management to the firm, led the Buckeye Complex training program to 100% tracking status for new FA’s and worked with senior leaders to assist in the creation and national rollout of the Merrill Lynch Optimal Practice Model.

                When not working, Dan enjoys spending time with his wife, daughter, and son.  He is an avid community volunteer, reader and runner and can often be found exploring new trails in his spare time.

              • Joseph Sholler

                Sales Manager, Workplace Wealth Solutions

                Joe Sholler is an Executive Director with the UBS Workplace Wealth Services Business Development Team. He has 20 years of experience in financial services. He has worked in a number of roles including as a UBS Financial Advisor, Equity Compensation Call Center Manager and as a Strategic Relationship Manager where he focused on Equity Plan advisory clients in Fortune 500 segment.

                Joe graduated from the University of Wisconsin at Madison with a double major in International Relations – American Foreign Policy, and Political Science. He is currently the President of a New York City based scholarship fund that provides need based scholarships to minority students from New York City to attend UW Madison. Joe also is the past Chairman of the Wisconsin Alumni Association National Advisory Council and a past President of the New York City UW Alumni chapter.

                Joe has the Series 7, Series 66 and the CEP designations. He is an active member of multiple NASPP and GEO chapters.  He also sits on the Rutgers Center for Employee Ownership Advisory Board.

              • Thomas Cooke, CFA

                Investment Associate

                Tom’s primary focus is to support the investment governance processes for all UBS retirement plan advisory programs, including Retirement Plan Consulting Services. 

                Tom has over seven years of experience in the retirement plan industry. Formerly, he was an investment advisor and relationship manager serving 65+ defined contribution and defined benefit plan clients at USI Insurance Services. In this role, he was responsible for delivering investment consulting services to plan investment committees and he worked with USI’s investment research division and broader investment consulting group to formulate and deliver sound advice to defined contribution plan clients regarding their plan investment menus.

              • Neil Patel

                Retirement Plan Advisor

                Neil joins us from Merrill Lynch, where he was the Performance Manager focused on reinvestment opportunities for the Northeast region.

                With over 10 years of retirement and financial industry experience, Neil brings a wealth of knowledge and leadership to our team. At Merrill Lynch, Neil held several positions of responsibility, including IRA Product Manager, Business Support Manager for Institutional Retirement Team rolling out the internal institutional designation program, and Program Manager for the Retirement and Personal Wealth Solutions Group.

                Neil is a graduate of Rutgers University and holds the C(k)P and CPFA designations. Neil and his wife Kirtana have a baby boy: Kiaan

                 

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                Lisa Brown

                Retirement Plan Sales

                Lisa joined UBS in late 2021. In her current role, Lisa identifies and responds to new business opportunities by applying a consultative sales approach that is aligned to the key principles of strategic retirement plan management. From first meetings to plan implementation, Lisa proactively manages and anticipates the needs of new clients and prospects by providing support throughout the process. She also interfaces with internal partners to strengthen the overall client experience with UBS.

                Prior to her current role, Lisa was a VP Retirement Plan Consultant for Stanley Benefit Services and Fund Direct Advisors.  In addition, she has worked for such firms as MassMutual, Transamerica and John Hancock as a Retirement Plan Specialist applying her skillset in helping businesses with their retirement plan needs.   

                Lisa started her career working directly for a mutual fund company, Enterprise Group of Funds now owned by Goldman Sachs in the late 90’s.  Here she focused on investments in addition to helping business owners set up retirement plans for their employees.

              Defining your priorities. Pursuing what matters.

              Our experience and structured planning process drives a comprehensive financial plan and customized investment strategies. Depending on where you are in your life and the priorities that matter most, our planning conversations may focus on liquidity management, your cash flow needs, asset replacement solutions such as insurance, estate planning strategies, or tax and legal structures such as trusts and philanthropic vehicles.

              The Year Ahead - Sustainable Investing

              Retirement planning

              Retirement planning

              Multigenerational planning

              Multigenerational planning

              Legacy—Wealth for others

              For needs that go beyond your own—to help you improve the lives of others

              What will your legacy be?
              It’s never too early to plan ahead. A Legacy strategy can help you gain more control over your financial future and what you leave behind, so you can move forward with confidence.

              Learn more at ubs.com/wealthway.

              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