A plan for today, tomorrow and generations to come

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Tom is a credentialed UBS Wealth Advisor and has over 35 years of experience in the financial services industry. During his career he has maintained a concentrated focus on providing sophisticated wealth management solutions to select entrepreneurs both after a liquidity event and during the business growth phase. Tom also maintains wealth advisory relationships with high level corporate executives and successful families with multi-generational wealth.

Client relationships begin with a financial planning process including a review of business succession and strategy, philanthropy and investment planning. The implementation includes asset allocation, investment management, investment consulting and detailed financial projections. Tom also has over ten years of corporate financing experience with both private and corporate banks. He began his wealth management career in 1996 and is in his 9th year with UBS.

Tom's professional credentials include a CIMA® (Certified Investment Analyst), and a CRPS® (Certified Retirement Plan Specialist). Tom holds a B.A. in Economics from Rutgers University. In his spare time, he is active in open water and masters swimming, golf, and spending time with his wife of 30+ years along with his three adult children and new granddaughter. Tom resides in Corona Del Mar but enjoys spending time at his home in New England.

Tom holds FINRA Series 7 and 63 & 65 securities licenses and is a licensed California insurance agent CA License #0B94488

• 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.
• Forbes Best-in-State Wealth Management Teams, 2023, 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.

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Nick is a Senior Portfolio Manager at UBS and has served families with wealth management solutions for close to 20 years. He is a graduate of California State University Fullerton where he earned his degree in Business Administration with an emphasis in Finance and a concentration in Investments and Financial Planning.

Nick maintains wealth advisory relationships with successful families and businesses with multi-generational wealth. 

Nick resides in Orange County. In his spare time, he enjoys golfing, traveling and spending time with his wife, Nila, and two daughters, Mia and Eva.

Nick holds FINRA Series 7 and 63 & 65 securities licenses and is a licensed California insurance agent CA License #0H89023

• Forbes Best-in-State Wealth Advisors, 2019, 2020, 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, 2023, 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.

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Tyler joined UBS after working as a data analyst at a New York securities litigation firm, where he applied econometric models to analyze client damages in class action lawsuits and helped develop mathematical models to identify potential securities claims. He was born and raised in Irvine, CA, and received his B.S. in Mathematics/Economics from the University of California, Los Angeles.

Tyler holds FINRA Series 7 and 63 & 65 securities licenses and is a licensed California insurance agent CA License #0J21985

• Forbes Best-in-State Wealth Management Teams, 2023, 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.

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Dan is Certified Financial Planner (CFP®), a Chartered Retirement Plan Consultant (CRPC®) and a Chartered Financial Consultant (ChFC®), and is in his seventh year as a financial professional having previously worked with boutique financial planning firms in Boston and Irvine California.  Dan has a focus in providing comprehensive financial planning and advisory services to high net worth individuals and entrepreneurs.

Dan often begins a relationship with a detailed financial plan utilizing UBS’ financial planning teams.  This process involves retirement planning and detailed analysis of growing, protecting and organizing a client's wealth.  His practice includes a focus on asset allocation and generational planning as part of his ongoing relationships.

Dan has an A.B. from Harvard College where he was a four year letter winner for Harvard’s Division 1 Water Polo Team and received NCAA All Academic Recognition in each of the four years.  He was also Captain of Team USA Water Polo in the 2012 Junior Pan American Games.

Dan grew up locally and currently lives in Newport Beach, having attended Newport Harbor High School and enjoys spending time with his fiancé, Lauren, as well as his family.  He also loves sports, hiking and the beach.

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Heather is an experienced Wealth Management professional with 18 years of industry experience. She holds the Series 7 and 66 licenses, and enjoys helping high net worth families with their operational requirements. Away from the office, Heather is a mom of two girls, ages 2.5 and 5, and happily married to her husband, Don, of nine years.

Heather is a licensed California insurance agent CA Insurance License #0H78105

Thuy has serviced clients for over 10 years. She manages daily operational and administrative functions. Her focus is to simplify the lives of the families that she works with. Thuy graduated from California State University of Fullerton with a degree in Business Administration with a concentration in Finance. She enjoys travelling with her husband and two daughters.

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Nila has over 13 years of experience in this industry. She is currently working part-time to help support the team as an analyst.

Nila has an MBA in Finance from the University of La Verne. In her spare time, she enjoys spending time and traveling with her husband, Nick, their daughters, Mia and Eva, and their family dog, Sir Finn.

• Business Development Specialist