Experience

Makes all the difference

Keith Apton, CEPA

Managing Director–Wealth Management

Private Wealth Advisor

Keith has over 21 years of experience in the financial services industry, with an extensive background in corporate finance. As the founding partner of The Capital ESOP Group at UBS, he heads the team's private wealth practice, in which he works to determine client needs and match them with the proper resources of UBS, a leading global bank. Keith focuses on solutions encompassing asset allocation, wealth and liability management, and tax and estate planning in order to create tailored financial plans for his clients. Prior to joining UBS in 2009, Keith was a financial advisor at Morgan Stanley, where he was an integral member of the team handling all of the firm's ESOP transactions. Keith is an author and nationally recognized leader on ESOPs and Internal Revenue Code § 1042 rollovers.

In 2014, Keith was given the prestigious opportunity to sit on the UBS Capital Markets Advisory Committee. As an active member in the ESOP community, Keith's total participation in ESOP transactions has exceeded $2.5 billion in transaction value across various sectors and industries.

Keith is a member of both the National Center for Employee Ownership and the finance committee for the ESOP Association. He coauthored the book Selling Your Business to an ESOP, now in its ninth edition. After becoming a Certified Exit Planning Advisor® (CEPA®) in 2018, he was asked to teach and became an instructor for the Exit Planning Institute. Additionally, Keith frequently speaks at national conferences on topics including ESOPs, § 1042 rollovers and business succession planning.

Keith previously sat on the board of Patriot Farmers of America, a nonprofit teaching entrepreneurship and sustainability to veterans who are seeking a future in farming. Outside the office, he enjoys traveling, fly-fishing, reading and spending time at his family farm in Virginia. More than anything, he simply loves being a dad. Keith lives in Washington, DC with his wife, Kathryn, and their daughters, Lyla and Sutton.

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

Recognized as an industry leader:

  • Barron's Top 1,000 Financial Advisors, 2012, 2013The Barron's rating is awarded annually in March and is based on information from the prior year Q3. 
  • Barron's Top 1,200 Financial Advisors, 2014, 2015, 2016, 2017, 2018, 2019, 2020, 2021, 2022
    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, 2021, 2022The 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, 2022The 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.
  • On Wall Street – Top 40 Advisors Under 40, 2016, 2017The Financial Planning rating is awarded annually in January or February and is based on information from October to December of the award year.

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

Credentials

  • Private Wealth Advisor
1501 K Street North West
Suite 1100
Washington, DC 20005

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