Helping simplify retirement plan complexity

• AR
• CA
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• GA
• IL
• IN
• KS
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• MA
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Since 1996, Rita has been helping to empower retirement plan sponsors with insight and best practices to meet their fiduciary responsibilities while supporting employees’ retirement planning goals. As a Senior Retirement Plan Consultant, Rita considers herself an educator as well as an advocate. By integrating plan feature consulting with employee education, she has helped sponsors build effective communication programs that have driven overall plan participation. Rita also advises her clients on competitive cost structures, investment committee priorities and decision-making, and organizing key fiduciary documents.

Outside of UBS, Rita is an active spokesperson in her professional community. She is often a featured guest speaker on ERISA topics at industry conferences and events, including those of the Chicago Bar Association, Financial Executives International, the SPARK National Conference, the PLANSPONSOR National Conference and the CPA® Society.

California Insurance License Number: 0K23021

• Barron's Top 100 Women Advisors, 2018The Barron's rating is awarded annually in June and is based on information from the Q1 of the award year.
• Forbes America’s Top Women Wealth Advisors, 2021The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.
• Forbes Best-in-State 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 Women Wealth Advisors, 2021, 2022, 2023The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.
• NAPA Top Women Advisors, 2017, 2020, 2021The NAPA rating is awarded annually in September based on information from June to August of the award year.
• PLANADVISER Top Retirement Plan Advisers, 2014, 2015, 2016The PLANADVISOR rating is awarded in Q1 based on information from January of the award year.

• University of South Florida, B.A. Finance
• Illinois Institute of Technology, Stuart School of Business, M.S. Business Administration

• Certified Investment Management Analyst®
• Chartered Retirement Plans Specialist℠
• Institutional Consultant, UBS Institutional Consulting Program

One North Wacker Drive
Suite 3200
Chicago, IL 60606

• CA
• CO
• FL
• GA
• IL
• IN
• KY
• MA
• MN
• NY
• OH
• OK
• TX
• VA

Sam joined the UBS Retirement Plan Consulting Group in 2007 and has spent the past 12 years working with employer sponsored retirement plans such as 401(k), 403(b), Non-Qualified Deferred Compensation, Cash Balance, Money Purchase and Pension Plans. Sam brings a human element to helping participants become financially aware of their short and long term investment goals. He specializes in working with plan sponsors to design and implement targeted employee education & communication campaigns that empower plan participants of all age groups, whether they're just starting their first savings plan, or nearing retirement.

Sam's holistic retirement educational programs are centered around financial wellness which includes: social security maximization, Health Savings Accounts (HSA) and paying down student loans. Sam prides himself in working with employees in developing personal financial planning strategies that meet the needs of both their short and long term goals. Furthermore, Sam's assistance in building a financial goal analysis report provides participants with an integrated view of financial outcomes which allows participants to understand their options and provide suggestions on how to pursue the future they envision.

Sam's expertise also includes an adept knowledge of the investment management fiduciary process based on qualified plan DOL and ERISA rules. Sam also partners with his team to deliver quarterly investment reporting to Investment Committees along with annual fee benchmark reporting, and has been an advocate of applying plan design optimization solutions to assist in overcoming behavioral finance challenges to improve retirement savings outcomes. 

• University of Dayton, B.S. Finance

• Certified Investment Management Consultant
• Chartered Retirement Plans Specialist℠

One North Wacker Drive
Chicago, IL 60606

• IL
• WI

Joe is the newest addition to the UBS Retirement Consulting team. Prior to joining Rita and Sam at UBS, Joe spent the past 3 years working as a client relationship manager in servicing 32 employer sponsored retirement plans.  Joe brings plan sponsors experience in managing projects surrounding payroll integration and various operational day to day activity in utilizing his experience and resources in partnering with client HR teams.  Joe's experience in being directly responsible for assisting plan sponsors with day to day administration distinguishes our team in having additional experience in working with client's record-keepers.  

Joe is responsible for servings as an intermediary between HR team members and Retirement Plan Providers to ensure set  deadlines are met, efficient processes are established and operational task items are completed on a timely basis. Joe will also serve as an additional resource that participants can reach out to for any questions pertaining to their retirement account.

Joe earned a bachelor Arts degree in Communications and Electronic Media from the University of Wisconsin Whitewater.  Joe is FINRA registered and currently holds his series 6, 7, and 66 license. 

• University of Wisconsin, B.A. Communications and Electronic Media

• Chartered Retirement Plans Specialist℠

One North Wacker Drive
Chicago, IL 60606

• IL

One North Wacker Drive
Chicago, IL 60606