Thoughtful advice one family at a time

Raleigh PWM’s mission is to help provide integrated solutions to all aspects of your wealth management—delivered with the highest level of service and integrity. We pride ourselves in helping our clients navigate and streamline the complexities that substantial wealth brings. We take a genuine interest in our clients and their families, and it is our fiduciary responsibility to provide you with objective advice and guidance with absolute candor. What drives you drives us: your values and goals, your desire to maintain your lifestyle in the next phase of your life and the wishes and dreams you have for your family. We strive to get it right one family at a time.

We know, one size doesn’t fit all, and our team incorporates our ideas into a custom portfolio tailored to your specific priorities and objectives. Every family is unique, and our process is centered around understanding what is most important to you and then delivering thoughtful guidance and solutions within the context of a customized wealth management plan.

Team photo update

The proof is in our numbers

10 person

seasoned team

As of 04/28/2023

$1.8 Billion

Assets under management

213

Collective years of experience


Learn more about our team's capabilities

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.

Guiding founders and business owners

Guiding founders and business owners

Advice for business owners

Advice for business owners

Advising corporate executives

Advising corporate executives

Delivering opportunity through collaboration

UBS Private Wealth Management
Specialized centers of excellence provide you and your family with the expertise that is most relevant to your wealth and goals. Their insights focus on broad themes and trends as well as successful tactical ideas and strategies.

Delivering opportunity through collaboration

Wealth planning across generations

Wealth Planning

Wealth planning across generations

Your family’s enduring legacy

family legacy

Your family’s enduring legacy

Family Advisory & Philanthropy Services

Family Advisory & Philanthropy Services

Wealth Planning

Our team has experience helping families create a plan to pass on both their wealth and their values to their children with the goal of sustaining wealth over generations.

Understanding the family dynamics that can accompany multigenerational wealth, we are experienced in working with you and your family to develop a strategic plan to guide your decisions.

Our approach helps foster family communication and provide education across generations to help define and support your long-term vision.

family legacy

With an understanding of the family dynamics that can accompany multigenerational wealth, we are experienced in working with you and your family to develop a strategic plan to guide your decisions.

Our approach helps foster family communication and provide education across generations to help define and pursue your generational wealth objectives.

Advice and solutions to help families flourish for generations, including intentional communication and decision-making, intergenerational wealth transitions, family governance, philanthropic legacies and more. The independent UBS Optimus Foundation funds high-impact programs in health, education, child protection and the environment.

Learn more

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.

  • Mike

    Mike Lappin, CIMA, CPWA

    Managing Director–Wealth Management

    Private Wealth Advisor

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    • AL
    • AR
    • AZ
    • CA
    • CO
    • CT
    • DC
    • DE
    • FL
    • GA
    • IL
    • KS
    • MA
    • MD
    • MI
    • MN
    • MO
    • NC
    • NJ
    • NV
    • NY
    • OH
    • PA
    • SC
    • TN
    • TX
    • UT
    • VA
    • VT
    • WA
    • WI

    Mike’s commitment to personal service and portfolio management has garnered national recognition. With 30 years of experience, Mike has found success by being thoughtful and clear with everything he does, but most importantly, he has distinguished himself by having a fierce work-ethic for his clients. His tenacity, formed from years of playing professional hockey, has translated into profound confidence in leading his team and his clients through all aspects of the market cycles. Making a point never to fall to the extremes, he offers a pragmatic approach to wealth management.

    Before coming to UBS, Mike served as a Wealth Management Advisor for Merrill Lynch. He conducted professional training programs on a national level at Merrill Lynch for new and veteran Financial Advisors. Mike traveled throughout Merrill Lynch speaking on Business Management, Team Development and Wealth Management for the affluent.

    Mike has three kids and lives in Morrisville, NC with his wife, Allison. His passion is off-shore fishing.

    • Barron's Top 1,200 Financial Advisors, 2014, 2015, 2016, 2017, 2018, 2019, 2022, 2023, 2024
      The Barron's rating is awarded annually in March and is based on information from the prior year Q3. 
    • 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.

    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

    • St. Lawrence University
    • Wharton, University of Pennsylvania
    • Private Wealth Advisor
    • Certified Investment Management Analyst®
    3700 Glenwood Avenue
    Suite 300
    Raleigh, NC 27612
    michael.lappin@ubs.com
    Mike Lappin, CIMA, CPWA
    3700 Glenwood Avenue,Raleigh,NC,27612
  • Bill Smith

    William "Bill" Smith

    Financial Advisor

    Private Wealth Advisor

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    • AL
    • AR
    • AZ
    • CA
    • CO
    • CT
    • DC
    • DE
    • FL
    • GA
    • IL
    • KS
    • MA
    • MD
    • MI
    • MN
    • NC
    • NJ
    • NV
    • NY
    • OH
    • PA
    • SC
    • TN
    • TX
    • UT
    • VA
    • WA
    • WI

    Over the last 27 years, Bill has helped many successful entrepreneurs and families pursue their business transition, liquidity planning and other related wealth management goals. Today, as a lead Advisor with Raleigh PWM, Bill continues to work with entrepreneurs on their early-stage and exit planning goals and the estate planning strategies they need to help protect the proceeds from their sale. Bill has made a name for himself catering to ultra-high-net-worth clients in Raleigh and is steeped in experience for managing complex family dynamics. Bill brings to Raleigh PWM an edge in working with Family Office Solutions to leverage the products and services that are optimal for each family’s situation.

    Bill is a member of the UNC Chapel Hill golf team while in college, after graduation he played professional golf for four years. Bill has continued his work with the golf program at his alma mater, serving as the Chairman of the UNC Executive Cup multiple times. He was also a founding member of the 1928 Society (which supports both men's and women's golf programs).

    While Bill loves his work, he is also passionate about spending time with his wife, Jennifer, and their three kids. He and his family enjoy hiking, tennis and golf.

    • Barron's Top 1,200 Financial Advisors, 2021, 2022, 2023, 2024
      The Barron's rating is awarded annually in March and is based on information from the prior year Q3. 
    • Forbes Best-in-State Wealth Advisors, 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.

    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

    • UNC Chapel Hill, B.S., Business Administration
    • Private Wealth Advisor
    • Wealth Advisor
    3700 Glenwood Avenue
    Suite 300
    Raleigh, NC 27612
    bill.smith@ubs.com
    William "Bill" Smith
    3700 Glenwood Avenue,Raleigh,NC,27612
  • Tim Lappin

    Tim Lappin, CEPA®

    Financial Advisor

    Certified Exit Planning Advisor

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    • AL
    • AR
    • AZ
    • CA
    • CO
    • CT
    • DC
    • DE
    • FL
    • GA
    • IL
    • KS
    • MA
    • MD
    • MN
    • NC
    • NJ
    • NV
    • NY
    • OH
    • PA
    • SC
    • TN
    • TX
    • UT
    • VA
    • WA
    • WI

    Tim began his career in 2018 as an analyst for Brown Gibbons Lang, a private middle-market investment bank located in Chicago. Tim’s ultimate passion was to combine his financial and emotional intelligence to provide wealth management services for business owners and their families in a multi-generational context. Tim brings to the team new perspectives and insightful guidance for catering to business owners.

    Tim graduated with honors from Brown University was awarded the ECAC Hockey All Academic during each of his four years at Brown. During his senior year he was the ECAC nominee for Men's Ice Hockey Player of the Year. His discipline and consistency contributed to his successes both on and off the ice.

    Tim lives in Knightdale, NC with his wife, Alexis and his son, Thomas. He is an avid golfer and continues to play hockey on a men’s league team.

      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

      • Brown University
      • The University of Chicago
      • Certified Exit Planning Advisor
      3700 Glenwood Avenue
      Suite 300
      Raleigh, NC 27612
      tim.lappin@ubs.com
      Tim Lappin, CEPA®
      3700 Glenwood Avenue,Raleigh,NC,27612
    • Dan Geiger

      Dan Geiger, CFP®

      Wealth Strategy Associate

      CERTIFIED FINANCIAL PLANNER™

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      • AL
      • AZ
      • CA
      • CO
      • CT
      • DC
      • DE
      • FL
      • GA
      • IL
      • KS
      • MA
      • MD
      • MN
      • NC
      • NJ
      • NV
      • NY
      • OH
      • PA
      • SC
      • TN
      • TX
      • VA
      • VT
      • WA
      • WI

      Since 2019, Dan has held numerous roles within UBS, allowing him to learn the wealth management business from the ground up. Prior to joining Raleigh PWM, he began his career at the UBS Wealth Advice Center in Charlotte, NC. During this time, Dan quickly excelled from leading operational and compliance initiatives as a Client Service Associate to becoming one of the top Financial Advisors on the platform. Dan has broad experience in retirement planning, portfolio construction, tax optimization, and estate planning.

      Dan partners with business owners and first-generation wealth creators by applying a disciplined approach to goal-driven wealth planning and through developing long term, meaningful relationships. He is a zealous advocate for entrepreneurs in the local business community.

      A native of North Carolina, Dan was born and raised in Cary, attended Cardinal Gibbons High School in Raleigh and graduated with honors from the Poole College of Management at North Carolina State University. Dan resides in Apex with his wife, Rebecca and his daughter, Ellie. He loves spending time with his family, and enjoying the outdoors at Smith Mountain Lake and Morehead City.  

        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

        • North Carolina State University
        • CERTIFIED FINANCIAL PLANNER™
        3700 Glenwood Avenue
        Suite 300
        Raleigh, NC 27612
        dan.geiger@ubs.com
        Dan Geiger, CFP®
        3700 Glenwood Avenue,Raleigh,NC,27612
      • Jon

        Jon Stephenson, CIMA®

        Senior Wealth Strategy Associate

        Certified Investment Management Consultant

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        • AL
        • AZ
        • CA
        • CO
        • CT
        • DC
        • DE
        • FL
        • GA
        • IL
        • IN
        • KS
        • MA
        • MD
        • MI
        • MN
        • MO
        • MT
        • NC
        • NJ
        • NV
        • NY
        • OH
        • OK
        • OR
        • PA
        • SC
        • TN
        • TX
        • UT
        • VA
        • VT
        • WA
        • WI

        Jon joined the team in 2006. He spent six years with the team at Merrill Lynch and transitioned to UBS with the team in 2012.Through the years he has developed a love for analytics and trading, and he brings these strengths to Raleigh PWM. Jon handles the team’s trading, client performance reporting, asset allocation analysis, fund and manager research and designs and administers 10b5-1 plans.

        Jon graduated with honors in 2004 from Wofford College with a B.A., in business economics. While at Wofford he was also a three-year captain of the men’s golf team and a two-time Academic All-America and All-Conference selection.

        He lives in Smithfield, NC with his wife, Elyse and their three children. He also likes to keep his golf game in shape and play the guitar.

          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

          • Wofford College
          • Certified Investment Management Consultant
          3700 Glenwood Avenue
          Suite 300
          Raleigh, NC 27612
          jon.stephenson@ubs.com
          Jon Stephenson, CIMA®
          3700 Glenwood Avenue,Raleigh,NC,27612
        • alexis

          Alexis Blanks

          Director

          Market Director

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          • AL
          • AR
          • AZ
          • CA
          • CO
          • CT
          • DC
          • DE
          • FL
          • GA
          • IL
          • KS
          • MA
          • MD
          • MI
          • MN
          • NC
          • NJ
          • NV
          • NY
          • OH
          • PA
          • SC
          • TN
          • TX
          • UT
          • VA
          • WA
          • WI

          Alexis is the Market Director for the Raleigh and Chapel Hill, NC offices at UBS.  She has spent the last 12 years of her career developing her leadership capabilities in various roles at the firm.  Prior to joining UBS, Alexis was a member of a financial advisory team at Morgan Stanley working with the advisors to develop and implement investment strategies. With over 16 years of industry experience, Alexis has developed a deep appreciation for financial planning and professional guidance. She has spent much of her career managing large businesses and is passionate about building relationships, coaching, and helping advisory teams deliver exceptional results for their clients.

          Alexis oversees the day-to-day operations of the team leading our organizational and business functions. She is dedicated to providing personalized, comprehensive financial solutions for our clients and helping them achieve their goals.

          Alexis graduated from the University of North Carolina at Chapel Hill with a B.A. in public policy and a B.A. in sociology.  Growing up Alexis had a successful tennis career and enjoyed coaching in her free time.  She lives in New Hill, NC with her boyfriend Evan.  They enjoy travelling, mountain biking, boating, and exploring the great outdoors.

            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

            • UNC Chapel Hill, B.A., Public Policy & Sociology
              3700 Glenwood Avenue
              Suite 300
              Raleigh, NC 27612
              alexis.blanks@ubs.com
              Alexis Blanks
              3700 Glenwood Avenue,Raleigh,NC,27612
            • Janice

              Janice Sanderson

              Team Administrator

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              • AL
              • AZ
              • CA
              • CO
              • CT
              • DC
              • DE
              • FL
              • GA
              • IL
              • KS
              • MA
              • MD
              • MN
              • NC
              • NJ
              • NV
              • NY
              • OH
              • PA
              • SC
              • TN
              • TX
              • VA
              • VT
              • WA
              • WI

              Janice has been with the team since its inception in 1995 and has been a staple in our team’s success story. In an increasingly impersonal world, exacerbated by the 2020 pandemic, high-quality client service is often a secondary concern, but for Janice, it is her primary focus.

              She is highly specialized in client care as she boasts a wonderful career of 33 years. Before the group transitioned to UBS Financial Services Inc., she worked with Mike at Merrill Lynch, where she started her career dedicated to taking care of clients.

               Janice’s day-to-day responsibilities include account administration, business operations and client services. She has a genuine interest in our clients’ daily lives. Janice strives to give our clients an experience unlike anywhere else using her intelligence, humility, sense of humor and caring nature. Her loyalty to the group is appreciated by the entire team and Janice will continue to be an important driver to the future successes of the group.

              Janice lives in Apex, NC with her husband, Reed, and her two cats, Tabby and Cali. She enjoys cooking, sewing and crafts.

                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

                • Florida International University
                  3700 Glenwood Avenue
                  Suite 300
                  Raleigh, NC 27612
                  janice.sanderson@ubs.com
                  Janice Sanderson
                  3700 Glenwood Avenue,Raleigh,NC,27612
                • Elizabeth

                  Elizabeth Alexander

                  Client Associate

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                  • AL
                  • AZ
                  • CA
                  • CO
                  • CT
                  • DC
                  • DE
                  • FL
                  • GA
                  • IL
                  • KS
                  • MA
                  • MD
                  • MN
                  • NC
                  • NJ
                  • NV
                  • NY
                  • OH
                  • PA
                  • SC
                  • TN
                  • TX
                  • VA
                  • VT
                  • WA
                  • WI

                  Prior to Elizabeth joining the team in 2016, she came with seven years of industry experience at Credit Suisse as an operations analyst. Elizabeth learned the financial and technical skills required to provide clients with quick and efficient cash management solutions, and general operations of account maintenance.

                  She handles client service needs in a comprehensive manner and is fully dedicated to client satisfaction. In such a rapidly changing technological landscape, Elizabeth is integral in providing seamless experiences for our clients. From online services, wire transfers and all personal banking matters, Elizabeth is keen on keeping the clients happy.

                  She currently resides in Apex, NC with her husband, Mark and their two children. Elizabeth loves spending her free time traveling and taking her kids to national parks.

                    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

                    • East Carolina University
                      3700 Glenwood Avenue
                      Suite 300
                      Raleigh, NC 27612
                      elizabeth.alexander@ubs.com
                      Elizabeth Alexander
                      3700 Glenwood Avenue,Raleigh,NC,27612
                    • Cindy

                      Cynthia "Cindy" Edwards

                      Team Administrator

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                      • CO
                      • CT
                      • NC
                      • TX
                      • VA

                      Cindy began her career in the financial services industry in 1983 and joined UBS in 2009.  Prior to joining UBS, Cindy spent 19 years building her career at US Trust specializing in trusts, estates, and investment management. Additionally, Cindy has 7 years of banking and operations experience working at Bank of America and its predecessors.

                      Through her extensive experience, Cindy has developed a great understanding of the wealth management landscape and is passionate about providing clients with best-in-class service. Cindy focuses deepening client relationships, maintaining client communication, enacting investment proposals and managing the operational aspects of the team. She has been vital in the growth of the business and will continue to be an important player moving forward.

                      She lives in Raleigh, NC with her husband Allen. They are very proud of their two children and two grandchildren. Cindy and her family love spending time together on their boat, especially at the coast. She also enjoys reading, gardening, traveling and cooking.

                        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

                            3700 Glenwood Avenue
                            Suite 300
                            Raleigh, NC 27612
                            cindy.edwards@ubs.com
                            Cynthia "Cindy" Edwards
                            3700 Glenwood Avenue,Raleigh,NC,27612
                          • kim

                            Kimberly "Kim" Blaes

                            Wealth Strategy Associate

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                            • CT
                            • NC

                            Kim began her career in the financial services industry in 1998 and joined UBS in 2015. Prior to joining UBS Kim spent 6 years at US Trust/Bank of America working as a performance analyst specializing in performance reporting and investment management.

                            Kim is dedicated to helping clients find their way through the planning process and simplifying complex situations into a solvable, predictable outcomes to achieve their life goals. In addition to focusing on planning, Kim is also involved in the investment allocation strategy and review process for the team.

                            She lives in Raleigh, NC with her husband Jonathan and their two daughters. Kim and her family enjoy spending time at the beach, travelling and hiking. Kim also enjoys reading and exercising outdoors.

                              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

                              • Siena College, B.S. Finance
                                3700 Glenwood Avenue
                                Suite 300
                                Raleigh, NC 27612
                                kimberly.blaes@ubs.com
                                Kimberly "Kim" Blaes
                                3700 Glenwood Avenue,Raleigh,NC,27612

                              A leader in wealth management

                              Backed by the strength of our parent company, UBS AG

                              $5.8+ trn

                              UBS Group invested assets
                              As of 03/31/2024

                              Financial strength

                              Driving confidence.
                              A-  Standard & Poor’s
                              A  Fitch
                              A3
                                Moody’s


                              UBS AG, long-term senior secured debt rating. As of 03/31/2024

                              #1

                              for High Net-Worth clients

                              Euromoney Private Banking and Wealth Management Survey (peer review), 2015-2022

                              Insights