Experienced planning for your foundation and endowment

Richmond Institutional Consulting Group

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.

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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.

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    Thomas Phillips

    Senior Vice President–Wealth Management

    Financial Advisor

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    • AL
    • CA
    • CO
    • CT
    • FL
    • GA
    • KY
    • MA
    • MD
    • MS
    • NC
    • NY
    • OH
    • OR
    • SC
    • TX
    • VA
    • WA

    Mr. Phillips, team leader for the Richmond Institutional Consulting Group, has over 35 years of investment experience with UBS Financial Services Inc. (formerly PaineWebber Inc.)  He is an investment advisor representative (Series 66) and a registered principal with the Financial Industry Regulatory Authority (FINRA) (Series 8).  Mr. Phillips is one of a select group of 95 Institutional Consultants at UBS Financial Services Inc.  He is an active member of the Investment Management Consultants Association (IMCA) and has served on its certification committee.  In addition, he is an active member of the Chartered Financial Analyst Society of Virginia (CFA Virginia) and its international affiliate, the CFA Institute.  He also belongs to the Central Virginia Employee Benefits Council (CVEBC) and is an associate member of the Virginia Society of Certified Public Accountants (VSCPA).

     Mr. Phillips received a B.S. degree in economics from Virginia Tech and a master's degree in business from Virginia Commonwealth University (VCU).  He is past president of the VCU School of Business Alumni Board and currently serves on the VCU Business School Finance Advisory Council.  In addition, he is a graduate of the New York Institute of Finance's Resident Investment Training Program and has earned the designation of Certified Investment Management Analyst (CIMA) from the University of Pennsylvania's Wharton Graduate School of Finance.  He completed the CFA Institute’s 37th annual Investment Management Workshop at the Harvard Business School in July, 2005.  He earned his designation of Accredited Investment Fiduciary (AIF) and Accredited Investment Fiduciary Analyst (AIFA) from the Center for Fiduciary Studies, a division of the University of Pittsburgh’s Joseph M. Katz Graduate School of Business. Most recently (May, 2014), Mr. Phillips completed the Advanced Investment Strategist Certificate in Portfolio Risk Management from the Investment Management Consultants Association (IMCA).

     

      • Virginia Tech, B.S. Degree in Economics
      • Virginia Commonwealth University (VCU), Master's Degree in Business
      • Certified Investment Management Analyst®
      951 East Byrd St.
      Riverfront Plaza East, Suite 520
      Richmond, VA 23219
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      Kenneth Janes, AAMS, CRPC

      Senior Vice President–Wealth Management

      Financial Advisor

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      • AL
      • CA
      • CO
      • CT
      • FL
      • GA
      • KY
      • MD
      • MS
      • NC
      • NY
      • OH
      • OR
      • PA
      • SC
      • TX
      • VA
      • WA

      Mr. Janes joined UBS Financial Services, Inc. in December of 2007 from Keller Williams Realty.  Prior to moving to the Richmond area, he held several supervisory and management positions in manufacturing companies located in Harrisonburg, Virginia.  He was also a safety director at those companies handling safety trainings and inspection audits.  He received his B.S. degree in Organizational Management and Development from Eastern Mennonite University, completed the MINI MBA Program at the University of Richmond and completed the Certificate in Financial Planning (CIFP) Program at Virginia Commonwealth University.  Most recently, he was awarded the designations of Accredited Asset Management Specialist (AAMS) and the Chartered Retirement Planning Counselor (CRPC) from the College for Financial Planning. He is a registered representative with the Financial Industry Regulatory Authority (Series 7), and he is an investment advisor representative (Series 66) with the Securities and Exchange Commission, as well as a licensed insurance agent with the Commonwealth of Virginia.  He also belongs to the Central Virginia Employee Benefits Council (CVEBC) and the Financial Planning Association of Richmond (FPAR).  Mr. Janes was born in Prince Georges County, Maryland, lived in Harrisonburg, Virginia for a number of years and moved to Richmond in October 2005.

        • Eastern Mennonite University, B.S. Degree in Organizational Management and Development
        • University of Richmond
        • Virginia Commonwealth University
        • College for Financial Planning
        • Accredited Asset Management Specialist℠
        • Chartered Retirement Planning Counselor℠
        • Wealth Advisor
        951 East Byrd St.
        Riverfront Plaza East, Suite 520
        Richmond, VA 23219
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        Bernard Gravely

        Wealth Strategy Associate

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        • VA

        Mr. Gravely has over 19 years of experience in the investment industry having returned to UBS Financial Services Inc. (formerly PaineWebber Inc.) after completing a successful career in the U. S. government with the Social Security Administration.  His final position with the Social Security Administration was as district manager for a ten county area in Central Virginia.  He received his B.S. degree in business administration from Virginia Tech and is a graduate of the New York Institute of Finance's Resident Investment Training Program.  Mr. Gravely is an investment advisor representative (Series 66) as well as a licensed insurance agent with the Commonwealth of Virginia.  He has completed UBS’s Advanced Consulting and Education Program and its Investment Management Consultant (IMC) program.  He also serves as an adjunct instructor in investments and financial planning for The University of Richmond’s School of Continuing Studies.  In May 2006, he earned the designation of Certified Senior Consultant (CSC) from the Institute of Business & Finance.  He was born in Danville, Virginia and moved to Richmond in 1967.

          • Virginia Tech, B.S. Degree in Business Administration
          • New York Institute of Finance's Resident Investment Training Program
            951 East Byrd St.
            Riverfront Plaza East, Suite 520
            Richmond, VA 23219
          •  Megan Weldon Waters

            Megan Weldon Waters, AAMS, CMFC

            Financial Advisor

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            • AL
            • CA
            • CO
            • CT
            • FL
            • GA
            • KY
            • MD
            • MS
            • NC
            • NY
            • OH
            • SC
            • TX
            • VA
            • WA

            Mrs. Waters joined UBS Financial Services, Inc. in January of 2008 from Wachovia Securities.  She graduated with a B.S. degree in economics from the Honors College at the College of Charleston in May 2006.  Shortly after graduating, she began her career as an operations specialist working with the equity trading desk at Wachovia Securities in Richmond.  Mrs. Waters began working with the Richmond Institutional Consulting Group as a Senior Client Service Associate in January 2008.  She began her current role as a Senior Wealth Strategy Associate in July 2015.  She has been awarded the designation of Accredited Asset Management Specialist (AAMS) from the College for Financial Planning and is a registered representative with the Financial Industry Regulatory Authority (Series 7), and she is an investment advisor representative (Series 66) with the Securities and Exchange Commission.  Mrs. Waters was born in Williamsburg, Virginia and has lived in Richmond since the summer of 2006.

              • Honors College at the College of Charleston, B.S. Degree in Economics
              • Accredited Asset Management Specialist℠
              • Chartered Mutual Fund Counselor℠
              951 East Byrd St.
              Riverfront Plaza East, Suite 520
              Richmond, VA 23219
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              James Brooks, CRPC

              Senior Client Associate

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              • VA
              • WV

              Mr. Brooks joined UBS Financial Services, Inc. in February 2008 as Assistant Operations Manager from Wachovia Securities.  He has over 25 years of experience in the financial services industry, specializing in trust services and back-office operations which include 13 years with Mellon Bank in Philadelphia.  Mr. Brooks received an Associate in Applied Sciences degree from the Community College of Philadelphia with a major in accounting and is a graduate of the Pennsylvania Bankers Association Trust School.  Mr. Brooks is currently working as a Senior Registered Client Service Associate.  He has been awarded the designation of Chartered Retirement Plan Counselor (CRPC) from the College for Financial Planning and is a registered representative with the Financial Industry Regulatory Authority (Series 7), and he is an investment advisor representative (Series 66) with the Securities and Exchange Commission.  He was born in Leonardtown, MD, grew up in Philadelphia, PA, and has resided in the Richmond area since 2005.

                • Community College of Philadelphia , Associate in Applied Sciences and Major in Accounting
                • Pennsylvania Bankers Association Trust School
                • Chartered Retirement Planning Counselor℠
                951 East Byrd St.
                Riverfront Plaza East, Suite 520
                Richmond, VA 23219
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                Claudia Phillips

                Client Associate

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                  Mrs. Phillips has over 25 years of experience in the investment industry, all of which have been with UBS Financial Services Inc. (formerly PaineWebber Inc.)  During that time she has specialized in long range tracking and organization of client account data.  She attended Mary Washington College and later graduated from Virginia Commonwealth University with an associate of arts degree with an emphasis in math and science.  Mrs. Phillips has done graduate work at Shenandoah University and has completed UBS’s Investment Consulting Services MASTERS 100 training program.  She was born in Danville, Virginia and has resided in Richmond since 1968.

                    • Mary Washington College
                    • Virginia Commonwealth University, Associate of Arts Degree with an emphasis in Math and Science
                      951 East Byrd St.
                      Riverfront Plaza East, Suite 520
                      Richmond, VA 23219

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                    Learn more at ubs.com/wealthway.

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