Impact Financial Group

• AK
• AL
• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• HI
• ID
• IL
• IN
• KS
• LA
• MA
• MD
• MI
• MO
• MT
• NC
• NH
• NJ
• NM
• NV
• NY
• OH
• OR
• PA
• RI
• TN
• TX
• UT
• VA
• WA
• WI
• WV
• WY

With over 20 years of experience in the financial services industry, Justin applies his extensive experience in the derivatives markets to the portfolio design process.  Focusing on pre-liquidity planning, he believes that careful planning precedes portfolio construction and manager analysis.  Prior to joining UBS, Justin served as a Vice President with Bear Stearns in New York City and with the Private Client division of CIBC Oppenheimer.

Justin earned a B.S. in business administration with a concentration in finance from Cal Poly State University, San Luis Obispo.  He attended New York University's School of Professional Studies, focusing on international finance and financial planning.  He is a graduate of Columbia University's ACPM Program earning the Certified Portfolio Manager designation. 

A native of San Luis Obispo, California, Justin and his family manage a working cattle ranch and avocado grove on the central coast.  As a licensed pilot, Justin volunteers with Angel Flight West as a Command Pilot and is also a member of the board.  The organization arranges free, non-emergency air travel for children and adults with serious medical conditions and other compelling needs.

Justin is a career-path mentor to military veterans as part of American Corporate Partners, which aims to ease the transition from the military to the civilian workforce. ACP is the only nonprofit organization engaged in national corporate career counseling for our returning military.

• Barron’s Top 100 Private Wealth Management Teams, 2021, 2022The Barron's rating is awarded annually in April based on information from the prior year Q4.
• Forbes Best-in-State Wealth Advisors, 2019, 2020, 2021, 2022, 2023, 2024The 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.
• Forbes Best-in-State Wealth Management Teams, 2024The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.

• Cal Poly State University, San Luis Obispo, B.S. in Business Administration with a Concentration in Finance
• New York University's School of Professional Studies, International Finance and Financial Planning

• Certified Portfolio Manager®
• Senior Portfolio Manager
• Private Wealth Advisor

• AK
• AZ
• CA
• CO
• CT
• DE
• FL
• GA
• HI
• ID
• IL
• IN
• LA
• MA
• MD
• MI
• MT
• NJ
• NV
• NY
• OH
• OR
• PA
• RI
• TN
• TX
• WA

Roger Wacker has over 44 years of wealth management experience working across the globe.

As a Private Wealth Advisor, Roger draws upon his vast experience and knowledge to offer customized wealth management advice and personalized service to his ultra-high net worth clients and their families and foundations. He works closely with his clients to develop investment strategies tailored to their needs. This ensures that he has a thorough understanding of their objectives, and that they have realistic expectations and an understanding of the risks and rewards inherent in their investments.

In 2015, Roger rejoined UBS as a Managing Director and Senior Portfolio Manager after serving as a Managing Director and Senior Relationship Manager in the Private Banking North America business of Credit Suisse. During his previous tenure at UBS, he was the Chief Investment Officer and head of the UBS Middle Eastern Group, where he managed assets in excess of CHF $11B. Then, after managing UBS’s West Coast Region for nearly a decade, Roger joined Julius Baer to head their North American Private Bank. He was key to UBS' acquisition of Julius Baer.

Roger earned a Swiss Banking Diploma and a Swiss Commercial Diploma. He is fluent in German, French and Swiss-German.

Roger serves on the Global Leadership Council for the Mayo Clinic, and on the Board of Directors for the Providence St. John's Health Center, where he is also a Trustee for the PSJHC Foundation and the John Wayne Cancer Institute. In addition, he is a Trustee for the California Institute of the Arts, serving on multiple committees, and is Chairman Emeritus of the Swiss-American Chamber of Commerce. Roger is also a former captain in the Swiss Army.

• Barron’s Top 100 Private Wealth Management Teams, 2021, 2022The Barron's rating is awarded annually in April based on information from the prior year Q4.
• Barron's Top 1,200 Financial Advisors, 2019, 2020, 2021
  The Barron's rating is awarded annually in March and is based on information from the prior year Q3. 
• Forbes America's Top Wealth Advisors, 2020The 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.
• Forbes America's Top Wealth Advisors, 2017, 2019The 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.
• Forbes Best-in-State Wealth Advisors, 2018, 2019, 2020, 2021, 2022, 2023, 2024The 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.
• Forbes Best-in-State Wealth Management Teams, 2024The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.

• Senior Portfolio Manager
• Private Wealth Advisor

• AK
• AL
• AZ
• CA
• CO
• CT
• DE
• FL
• GA
• HI
• ID
• IL
• IN
• LA
• MA
• MD
• ME
• NC
• NJ
• NM
• NV
• NY
• OH
• OR
• PA
• RI
• TN
• TX
• UT
• WA

Stefan Lendi was a Relationship Manager in the Private Banking North America business of Credit Suisse before rejoining UBS in 2015.

From 2006 to 2011, Stefan was a Managing Director at Deutsche Bank Private Wealth Management and also worked at UBS Wealth Management, Los Angeles as an Executive Director. Prior to that, he worked in the New York, Buenos Aires, Geneva and Zurich offices for Swiss Bank Corporation.

Stefan is fluent in German, English, Spanish, and French. He currently serves on the Board of Directors for Return to Zero: H.O.P.E. and the board of directors of the Swiss American Chamber of Commerce.

Stefan earned a B.A. from the Swiss Business School in Switzerland and the professional designation in Personal Financial Planning from UCLA.

• Barron’s Top 100 Private Wealth Management TeamsThe Barron's rating is awarded annually in April based on information from the prior year Q4.

• Swiss Business School, B.A.
• UCLA, Professional Designation in Personal Financial Planning

• Private Wealth Advisor

• AK
• AL
• AZ
• CA
• CO
• CT
• DE
• FL
• GA
• HI
• ID
• IL
• IN
• LA
• MA
• MD
• NC
• NJ
• NM
• NV
• NY
• OH
• OR
• PA
• RI
• TN
• TX
• UT
• WA

Formerly a Relationship Manager in the Private Banking North America business of Credit Suisse, Heinz rejoined UBS in 2015.

From 2006 to 2011 Heinz was a Managing Director at Deutsche Bank Private Wealth Management and an Executive Director at UBS for the 13 years prior. He also worked as a Private Banker for Swiss Bank Corporation in Switzerland, New York, Miami and the Bahamas.

Heinz earned a Federal Bank Employee Diploma from the University of Berne, Switzerland (equivalent to U.S. master’s degree), and a Federal Diploma of Commercial Banking Profession (equivalent to U.S. bachelor’s degree) from the Commercial School of Biel, Switzerland.

Heinz also holds a California insurance license and is fluent in German, English, Spanish, and French and serves on the board of directors of the Swiss American Chamber of Commerce.

• Barron’s Top 100 Private Wealth Management TeamsThe Barron's rating is awarded annually in April based on information from the prior year Q4.

• University of Berne, Switzerland, Federal Bank Employee Diploma
• Commercial School of Biel, Switzerland, Federal Diploma of Commercial Banking Profession

• Senior Portfolio Manager
• Private Wealth Advisor

• CA
• CO
• CT
• FL
• GA
• MA
• MI
• NJ
• NV
• NY
• OH
• PA
• TN
• TX

Kelly Rote is an investment professional who has spent a majority of her career in capital markets, both on the buy and sell side, focusing on global macro investment strategies. Throughout her career she has been involved with managing investment strategies & outlooks, portfolio composition, and actioning client trades & mandates efficiently.   

Born and raised in Virginia Beach, Kelly started her career in 2007 as a trader at Payden & Rygel in Los Angeles. She then went to work at a private equity firm before moving to New York City In 2011. There she spent 9 years within the institutional fixed income sales & trading division at both Barclays and UBS, which she joined in 2016. During that time she covered a number of west coast asset managers and eagerly awaited her permanent return to Los Angeles. She is passionate about financial empowerment and her goal is to utilize her deep knowledge of markets and strategic insights when developing financial solutions for her clients in an approachable way.

Kelly holds a B.B.A. in both Finance and International Business from James Madison University's College of Business, where she continues to serves as a mentor to students, as well as FINRA Series 3, 7, 63 and 66 securities licenses. She lives in Brentwood and enjoys tennis, Pilates and especially running— she traveled to Lewa, Kenya with a UBS Team to run in the Safaricom Marathon to benefit wildlife conservation and education efforts.  

• Barron’s Top 100 Private Wealth Management TeamsThe Barron's rating is awarded annually in April based on information from the prior year Q4.

• AK
• AL
• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• HI
• IA
• ID
• IL
• IN
• KS
• LA
• MA
• MD
• ME
• MI
• MN
• MO
• MS
• MT
• NC
• NH
• NJ
• NM
• NV
• NY
• OH
• OK
• OR
• PA
• RI
• SC
• TN
• TX
• UT
• VA
• VT
• WA
• WI
• WV

Maria is a Senior Wealth Strategy Associate. She brings over 20 years of financial industry experience to the team, encompassing all aspects of client servicing for high-net worth families including trading, restricted Stock transactions, lending and liquidity needs.

Maria has also worked for Bank Julius Baer and Credit Suisse in Los Angeles, as well as in Lugano, Switzerland.

Maria grew up in Los Angeles and earned her B.A. in Sociology from the University of California, Santa Barbara. She holds FINRA Series 7, 66, 9 and 10 securities licenses, and is fluent in Italian.

Maria and her husband have two children. Maria sits on the Board of Haven Academy of the Arts, an Arts Education Program that seeks to develop character and life skills in youth through the performing arts.

• University of California, Santa Barbara, B.A. Sociology

• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• ID
• IL
• KS
• MA
• MD
• MI
• MT
• NJ
• NV
• NY
• OH
• PA
• RI
• TN
• TX
• UT
• VA
• WA
• WY

Peter is a Senior Wealth Strategy Associate with over 7 years of experience in the financial
services industry, Peter supports lead advisors in the construction and implementation of wealth
strategies for families and institutions. He also looks to drive new business opportunities by
cultivating relationships with key advisors and strategic partners. Peter thrives on listening and
communicating with clients as they pursue their long-term financial goals. Prior to joining UBS, Peter served as a Wealth Advisor with Monograph Wealth Advisors and as a Director
with First Republic Private Wealth Management.

Peter earned a B.Sc. from the United States Military Academy (USMA), West Point and is a
former U.S. Army Engineer Officer. He earned his Personal Financial Planning certificate from
the UCLA Extension school and is a Certified Financial Professional®. Peter holds FINRA Series
7 and 66 securities licenses and his Insurance License.

Peter was born and raised in London until attending USMA and currently resides in Seal
Beach, CA with his wife Brittany and their two daughters, Olivia and Poppy.

• CERTIFIED FINANCIAL PLANNER®

• AK
• AL
• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• HI
• IA
• ID
• IL
• IN
• KS
• LA
• MA
• MD
• MI
• MO
• NC
• NJ
• NM
• NV
• NY
• OH
• OR
• PA
• RI
• TN
• TX
• UT
• VA
• WA
• WI
• WV
• WY

Christine joined UBS in 2008 and the team in 2013.  She currently serves as the Team Administrator, leading the daily operations of the team and ensuring service excellence for our clients.

Covering a wide range of client and team needs, Christine helps manage both individual relationships and our practice. She is passionate about client service and does all she can to help make a client's life easier by maintaining a proactive, diligent, and detailed oriented approach.

On any given day, Christine will be inputting trades, preparing and reviewing materials for client meetings, supervising client service associates and other team members, managing the team workflow, and monitoring all client and Financial Advisor requests.

Christine takes pride in educating new clients on account services and capabilities and oversees the on-boarding process for new clients. As the effective team COO, she provides additional support to Financial Advisors and acts as the lead service provider for high priority relationships.

Christine holds FINRA Series 7, 31 and 66 securities license and earned a B.S. in Economics from the University of San Diego. Previously, she worked at Morgan Stanley and in the residential mortgage industry.

Christine lives in Pasadena along with her husband, two children, and labradoodle.

• University of San Diego, B.S. Economics

• AK
• AZ
• CA
• CO
• CT
• DE
• FL
• GA
• ID
• IL
• IN
• LA
• MA
• MD
• ME
• MI
• MT
• NC
• NH
• NJ
• NM
• NV
• NY
• OH
• OR
• PA
• RI
• SC
• TN
• TX
• UT
• WA
• WY

Roxanne Kroll is an Associate Director and serves as Team Administrator.

Building upon her 17 years of financial services industry experience, as well as professional sales and marketing experience with international firms, Roxanne is responsible for coordinating all client and sponsorship events, preparing client communications and managing customer relations for ultra-high net worth clients. In addition, she oversees meeting preparation and provides marketing support for the team.

Prior to rejoining UBS Private Wealth Management in 2015, Roxanne worked for Credit Suisse Private Banking, UBS Private Bank, Bank Julius Baer Private Banking, Swissair and Sabena Belgian World Airlines. Roxanne holds FINRA Series 7 and 66 securities licenses.

Roxanne graduated cum laude with a B.A. from Wayne State University in Detroit, MI and has served as Executive Director for the Swiss-American Chamber of Commerce, Los Angeles Chapter and is active in various charitable organizations.

• Wayne State University, B.A., cum laude

• AK
• AZ
• CA
• CO
• CT
• DE
• FL
• GA
• HI
• ID
• IL
• IN
• LA
• MA
• MD
• ME
• MI
• MT
• NC
• NH
• NJ
• NM
• NV
• OH
• OR
• PA
• RI
• SC
• TN
• TX
• UT
• WA

Patrick is a Senior Client Service Associate and helps the team both onboard new clients and manage existing client relationships.

He is responsible for operational and administrative duties including trading, reporting and information gathering.

Patrick also supports the Financial Advisors with their offshore clientele booked in Switzerland, using his in-depth knowledge of international investment markets and financial products to enhance the client experience.

Patrick earned a B.A. in Banking and Finance from Academy of St. Gallen in Switzerland. He worked for several national and international banks in Switzerland for 18 years before joining Credit Suisse Private Bank in Los Angeles in June 2014. He joined UBS Private Wealth Management in November 2015 and holds FINRA Series 7 and 66 securities licenses.

Born and raised in St. Gallen, Switzerland, Patrick is fluent in Swiss-German and German and has proficiency in French. He currently lives in the South Bay with his wife and three children.

• Academy of St. Gallen, B.A. Banking and Finance

Brittany is a Client Service Associate, joining the UBS Private Wealth office in Century City in 2016, and the team in January 2020.

Brittany assists with account maintenance, client requests, implementation of asset allocations and helps support the day to day operations of the team.

She takes pride in educating new clients on account services and capabilities and oversees the on-boarding process for new clients. Brittany provides additional support to Financial Advisors and acts as the lead service provider for high priority relationships.

Brittany received a Bachelor of Arts in Business Management from the Fashion Institute of Design and Merchandising in Los Angeles, and then graduated with a Juris Doctorate from Chapman University School of Law in 2015. Brittany passed the California Bar Exam in 2016, however does not perform this function at UBS.

Brittany currently resides in Seal Beach with her husband and two daughters.

• Fashion Institute of Design and Merchandising, B.A. Business Management
• Chapman University School of Law, Juris Doctorate