Helping simplify retirement plan complexity

In an evolving retirement plan landscape, plan sponsors need advice and guidance more than ever. Rita understands both the incentive value of a retirement plan and the commitment required to administer the plan and address fiduciary responsibilities. Investment reviews, daily plan administration, and participant support and education can be overwhelming. Combining the experience resources of UBS with her own knowledge, perspective and insights, Rita can help you create a stronger plan to help give your employees greater confidence in their retirement and their future.

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.

  • Rita 2023

    L. Rita Fiumara

    Senior Vice President–Investments

    Financial Advisor

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    • AR
    • AZ
    • CA
    • CO
    • DC
    • DE
    • FL
    • GA
    • IL
    • IN
    • KS
    • KY
    • LA
    • MA
    • MI
    • MN
    • MO
    • NC
    • NJ
    • NY
    • OH
    • OK
    • PA
    • SC
    • TX
    • UT
    • VA
    • WI

    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, 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 Top Women Wealth Advisors Best-in-State, 2022, 2023, 2024The 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, 2021, 2023The NAPA rating is awarded annually in October based on information from September of the award year.
    • PLANADVISER Top Retirement Plan Advisers, 2014, 2015, 2016, 2023, 2024The PLANADVISOR rating is awarded in Q1 based on information from Q1 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
    Education planning
    Retirement planning
    Asset allocation
    Institutional consulting
    Retirement Plan consulting
    401(k) plan services
    Executive compensation
    Sustainable investing
    One North Wacker Drive
    Suite 3200
    Chicago, IL 60606
    rita.fiumara@ubs.com
    L. Rita Fiumara
    One North Wacker Drive,Chicago,IL,60606
  • Samuel

    Samuel A. Moroni, CRPS

    Senior Wealth Strategy Associate

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    • CA
    • CO
    • FL
    • GA
    • IL
    • IN
    • KY
    • LA
    • 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
      samuel.moroni@ubs.com
      Samuel A. Moroni, CRPS
      One North Wacker Drive,Chicago,IL,60606
    • Vince Fiumara 2023

      Vince Fiumara

      Client Associate

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      • IL

            One North Wacker Drive
            Chicago, IL 60606
            vincenzo.fiumara@ubs.com
            Vince Fiumara
            One North Wacker Drive,Chicago,IL,60606
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