Planning focused. Innovation driven.

Private Wealth Management

Soteira Wealth Management Team Photo

Helping you plan for what matters

At Soteria Wealth Management, we are focused on your success.
Whether you are a business executive looking for a holistic financial plan or a multigenerational family looking to shape your legacy, our highly experienced team stands ready to offer you seasoned insights for your investment plan, and much more. As a team that is part of Private Wealth Management, we understand and respect the level of success that you have achieved and are fully focused on better understanding your needs and goals, so that we can help grow and safeguard your wealth. With our planning-based approach, we work closely with you to craft a comprehensive financial roadmap that aligns with what you expect and hope to achieve with your wealth, now and in the years to come.

Our deep knowledge and connection to experts both within and outside UBS allows us to address your most important goals and to handle the most intricate details of your financial life, with uncompromising service and an unwavering attention to detail. Ultimately, our goal is to free you up to focus on what’s most important to you, your business and your family.

The value of a Family Office Consultant (FOC)
In addition to being members of the elite UBS Private Wealth Management division, Nicholas Pepe and Michael James are among a select group of advisors who have earned the Family Office Consultant (FOC) UBS business designation. They have undergone training to strengthen their knowledge and proficiency to help manage the investment, business and legacy needs of sophisticated, ultra-high net worth (UHNW) clients and their families. Understanding the complexities of intergenerational wealth and the challenges their clients face, Nick and Mike, as PWAs and FOCs, align specific needs to the full suite of UBS capabilities.

Our approach

Our disciplined planning
Planning lies at the heart of everything we do for clients. Whether you are a business owner seeking to thoughtfully navigate an expansion or a sale, or a multigenerational family looking to craft a lasting legacy, we work with you to create a plan that aligns with your unique circumstances and goals. Your financial plan then drives all our decisions and solutions—from your asset allocation to your family’s charitable giving.
 
Our investment acumen
We provide advice and guidance on so much more than traditional investments. Our deep experience with sophisticated investment solutions and institutional-level products, combined with our ability to connect you to UBS’s investment bank and institutional experts, means that we can consider a wide range of instruments and investments, including alternative investments. Above all, our aim is to help ensure that we seek to manage volatility, mitigate taxes and ensure that your portfolio is aligned with your comfort level and goals.

Our exceptional clients

Our team is dedicated to working with successful individuals, executives and entrepreneurs, as well as multigenerational families. We strive to act as a single touchpoint for all your wealth management needs, connecting you to experts inside our firm or externally—all with the goal of providing you with greater confidence and helping you chart a clear path forward.

We are privileged to work with:

Families across generations

Entrepreneurs and business owners

Financial and healthcare executives

Professional athletes

The proof is in our numbers

$2 billion

Assets under management

As of 03/31/2022

150

Client relationships

11 person

seasoned team


Our team has the resources and experience to build highly customized, comprehensive solutions

Our consultative process helps our clients clarify their current financial situation, identify challenges and create a comprehensive plan. We collaborate with our clients’ other trusted advisors, as well as our network of professionals to develop one integrated approach.

  • Nicholas Pepe

    Nicholas Pepe

    Managing Director–Wealth Management

    Private Wealth Advisor

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    • AK
    • AZ
    • CA
    • CO
    • CT
    • DC
    • DE
    • FL
    • GA
    • HI
    • IL
    • MA
    • MD
    • MN
    • MO
    • NC
    • NE
    • NJ
    • NM
    • NV
    • NY
    • OH
    • OR
    • PA
    • RI
    • SC
    • SD
    • TN
    • TX
    • VA
    • VT
    • WA

    Bringing institutional perspective to Private Wealth Management
    Nick brings extensive institutional sales and Investment Banking experience to Soteria Wealth Management. His understanding of institutional trading, markets and risk, provides a valuable perspective to executives in healthcare and financial services. Today, Nick manages the portfolios of investment bankers, traders, research analysts and senior financial executives. He also advises a number of clients in large-cap pharmaceuticals, specialty pharmaceuticals and the biotechnology sector.

    “When it comes to managing personal wealth, we bring the institutional experience and rigor that sophisticated families expect and deserve.”

    Experience

    • 25 years in the institutional equities business
    • Managing Director and Head of US institutional equity sales, UBS
    • Operating Committee member, US institutional equity sales, UBS ($1 billion in revenue; responsible for all IPOs, secondary sales, convertibles and block transactions)
    • Managing Director, Institutional Equities, Swiss Bank (formerly Dillon, Read & Co.)

    Life

    • Nick is the father of six children.
    • They love traveling and spending time together.
    • Forbes Best-in-State Wealth Advisors, 2022, 2023The 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.

      • Private Wealth Advisor
      Multi-generational families
      Financial Services professionals
      Alternative investments
      Hedge Fund managers
      Banking
      Corporate executives
      61 South Paramus Road
      Mack Center IV, 4th Floor
      Paramus, NJ 07652
    •  Michael James

      Michael James

      Managing Director–Wealth Management

      Private Wealth Advisor

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      • AK
      • AZ
      • CA
      • CO
      • CT
      • DC
      • DE
      • FL
      • GA
      • HI
      • IL
      • MA
      • MD
      • MN
      • MO
      • NC
      • NE
      • NJ
      • NV
      • NY
      • OH
      • OR
      • PA
      • RI
      • SC
      • SD
      • TN
      • TX
      • VA
      • VT
      • WA

      Tackling complex wealth issues, managing risk, helping preserve capital
      In his 20 years in the financial industry, Mike has helped navigate clients through volatile markets and holds great respect for the markets’ risk-reward dynamic. Mike aims to proactively address complicated issues—before they actually become problems. As the team’s portfolio manager, he develops creative solutions for helping clients manage risk. He enjoys the challenge of simplifying the complex and working with affluent families to help preserve their wealth, whether through thoughtful investing or tax-saving solutions.

       

      “I have great respect for the capital of others—I treat the responsibility of managing those assets with the gravity it deserves.”

       

      Experience

      • Financial Advisor, RBC Dain Rauscher

      Credentials

      • Series 7, 31, 63 and 65 securities licenses
      • Life and health insurance licenses

      Life

      • Mike has four daughters.
      • He enjoys coaching softball.
      • Forbes Best-in-State Wealth Advisors, 2019, 2021, 2022, 2023The 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.

        • Private Wealth Advisor
        Business owners
        Hedge Fund managers
        Custom portfolios
        Philanthropy
        Multi-generational families
        Alternative investments
        61 South Paramus Road
        Mack Center IV, 4th Floor
        Paramus, NJ 07652
      •  Joseph Vogler

        Joseph Vogler

        Senior Vice President–Wealth Management

        Private Wealth Advisor

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        • AK
        • AZ
        • CA
        • CO
        • CT
        • DC
        • DE
        • FL
        • GA
        • HI
        • IL
        • MA
        • MD
        • MI
        • MN
        • MO
        • NC
        • NE
        • NJ
        • NV
        • NY
        • OH
        • OR
        • PA
        • RI
        • SC
        • SD
        • TN
        • TX
        • VA
        • VT
        • WA

        Making a positive impact through planning
        Focused on providing strategic financial planning within Soteria Wealth management, Joe strives to help clients grow, preserve and transition their wealth to their families and the causes that matter most. Growing up, Joe was taught the importance of budgeting, saving and planning. He brings those values to each relationship—values that shape the advice and recommendations he truly hopes can make a positive impact in his clients’ lives. 

        “I feel a tremendous responsibility to my clients—they’ve entrusted us with a very important part of their lives—helping to ensure that their wealth and legacy are preserved.”

        Experience

        • Hall Capital Partners multifamily office

         Credentials

        • NFLPA Registered Player Financial Advisor
        • Certified Exit Planner Advisor® (CEPA®)
        • CERTIFIED FINANCIAL PLANNERTM (CFP®) practitioner
        • Certified Private Wealth Advisor (CPWA®)
        • Series 7 and 66 securities licenses
        • Life and health insurance licenses
        • B.S., Colgate University

        Life

        • Joe is happily married and currently a proud dog owner.
        • He enjoys golf and traveling.
        • He supports a number of charities focused on youth, the military and special needs.
        • Forbes America’s Top Next-Gen (Generation) Wealth Advisors, 2017, 2020, 2021The Forbes rating is compiled by Shook Research and awarded annually between June and September based on information from a 12 month period ending in March of the award year.
        • Forbes America’s Top Next-Gen (Generation) Wealth Advisors Best-in-State, 2018, 2019, 2022, 2023The Forbes rating is compiled by Shook Research and awarded annually between June and September based on information from a 12 month period ending in March of the award year.
        • Forbes America’s Top Next-Gen (Generation) Wealth Advisors Best-in-State, 2018, 2019, 2022, 2023The Forbes rating is compiled by Shook Research and awarded annually between June and September based on information from a 12 month period ending in March of the award year.
        • Forbes Best-in-State Wealth Advisors, 2021, 2022, 2023The 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.

          • Private Wealth Advisor
          • Certified Exit Planning Advisor
          • CERTIFIED FINANCIAL PLANNER™
          Financial planning
          Estate planning strategies
          Philanthropy
          Legacy planning
          Multi-generational families
          Exit planning
          61 South Paramus Road
          Mack Center IV, 4th Floor
          Paramus, NJ 07652
        • frank giordano

          Frank Giordano

          Financial Advisor

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          • AL
          • AR
          • AZ
          • CA
          • CT
          • DC
          • FL
          • GA
          • HI
          • IA
          • ID
          • IL
          • IN
          • KS
          • KY
          • LA
          • MA
          • MD
          • ME
          • MN
          • MO
          • MS
          • MT
          • NC
          • ND
          • NE
          • NH
          • NJ
          • NM
          • NV
          • NY
          • OH
          • OK
          • OR
          • PA
          • RI
          • SC
          • SD
          • TN
          • TX
          • VA
          • VT
          • WA
          • WV

          Pursuing multigenerational family and business goals with discipline and market insight 

          Frank’s Wall Street career in real estate, structured products and investment banking spans over three decades. A UBS Private Wealth Advisor, Frank brings broad institutional experience that strategically complements the depth and breadth of the team’s knowledge, especially their focus on multigenerational planning and investing for sophisticated families, their businesses and their family offices.

          As a West Point graduate, Frank places a high value on trust, honesty and integrity in his client relationships. He is a skilled problem-solver supported by his keen understanding of complex solutions and his ability to communicate them in straightforward terms. Every day, Frank is inspired to deliver advice that can make an invaluable difference in clients’ financial lives.

          "I am sincerely excited to help folks achieve the goals they have for their families, their businesses and the generations that follow. I see that as my personal responsibility.”

          Past experience 

          • Cantor Fitzgerald, Managing Director – Structured Products
          • Deutsche Bank, Director – Debt Capital Markets
          • Lehman Brothers, Senior Vice President – Fixed Income
          • Captain, United States Army

           Credentials

          • Series 7, 63, 66 and 79 securities licenses

           Education

          • B.S., Engineering, US Military Academy at West Point (Lacrosse - 3x All-American)

           Life

          • Frank and his wife, Kate, have three children and three grandchildren.
          • He is an avid sports fan, history buff and cooking enthusiast.
          • Frank is lifelong supporter of military and veterans’ charities.

           

                Financial Services professionals
                Corporate executives
                Institutional consulting
                Structured products
                Family Offices
                Business owners
                61 South Paramus Road
                Mack Center IV, 4th Floor
                Paramus, NJ 07652
              • Susan McGivney

                Susan McGivney

                Team Administrator

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                • AK
                • AZ
                • CA
                • CO
                • CT
                • DC
                • DE
                • FL
                • GA
                • HI
                • IL
                • MA
                • MD
                • MI
                • MN
                • MO
                • NC
                • NE
                • NJ
                • NM
                • NV
                • NY
                • OH
                • OR
                • PA
                • RI
                • SC
                • SD
                • TN
                • TX
                • VA
                • VT
                • WA

                With more than 29 years in the financial services industry, Susan joined UBS in 2012. She is responsible for all aspects of Soteria Wealth Management's client service. Susan handles special team projects and monitors account activity and internal reports to keep the team and clients informed. Susan earned a B.S. degree in business economics from the State University of New York at Oneonta. Susan has her Series 7 and 63 securities licenses. Susan and her husband live with their four children in Tappan, NY.

                      61 South Paramus Road
                      Mack Center IV, 4th Floor
                      Paramus, NJ 07652
                    • mtaylor

                      Michael Taylor CFP

                      Financial Advisor

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                      • AK
                      • AZ
                      • CA
                      • CO
                      • CT
                      • DC
                      • FL
                      • GA
                      • HI
                      • IL
                      • MA
                      • MD
                      • MN
                      • MO
                      • NC
                      • NJ
                      • NV
                      • NY
                      • OH
                      • OR
                      • PA
                      • SC
                      • SD
                      • TN
                      • TX
                      • VA
                      • VT
                      • WA

                       

                      Guiding decision making through a structured approach to planning

                      As a CERTIFIED FINANCIAL PLANNER™ I provide guidance and help to bring structure to my client’s lives. This is achieved through a process of identifying goals, implementing solutions to meet those objectives and performing ongoing review to measure progress. Priorities and circumstances can change throughout time and my process has helped to keep clients on track through multiple market cycles and stages of life. Whatever your circumstances, I can help you create a comprehensive financial plan to help guide you towards a desired outcome.

                       “I want clients to have confidence that they are making their best possible decisions as a result of the planning work we’ve done.”

                       

                      Experience:
                      Morgan Stanley Wealth Management

                      Credentials:
                      CERTIFIED FINANCIAL PLANNER™ (CFP® practitioner)
                      Series 7 and 66 securities licenses
                      Life and health insurance licenses

                      Education:
                      B.A., Economics, Harvard University

                      Life:
                      Mike and his wife, Ashley, have two young children
                      He enjoys golfing, history and creating fine art

                          • CERTIFIED FINANCIAL PLANNER™
                          299 Park Avenue
                          New York, NY 10171
                        • Mark Pomo

                          Mark Pomo

                          Vice President–Wealth Management

                          Private Wealth Advisor

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                          • AK
                          • AZ
                          • CA
                          • CO
                          • CT
                          • DC
                          • DE
                          • FL
                          • GA
                          • HI
                          • IL
                          • MA
                          • MD
                          • MI
                          • MN
                          • MO
                          • NC
                          • NE
                          • NJ
                          • NV
                          • NY
                          • OH
                          • OR
                          • PA
                          • RI
                          • SC
                          • SD
                          • TN
                          • TX
                          • UT
                          • VA
                          • VT
                          • WA

                          Mark Pomo is a Vice President-Wealth Management member of the Rose Wealth Management for UBS Financial Services in Short Hills, New Jersey.  Mark has more than 30 years of broad investment management experience in both the equity and fixed income markets. Prior to joining UBS in 2013, Mark was a wealth manager at Morgan Stanley for 26 years.

                          As a young man early in my professional career I realized that family members sought out my advice about a wide variety of things. They felt comfortable sharing not only their personal feelings but also sought advice on their finances and life goals.  My desire to combine my interest in the financial markets with working with individuals led me into the securities industry. The trust that my family felt has been extended to my clients, which I feel makes my relationships as strong as they can be.

                          Mark received a BS in Accounting from Boston College in 1978. Prior to joining Morgan Stanley in 1986, he held various financial positions at General Cinema Corp, Gillette, and Olympia & York.

                          In his spare time, Mark enjoys coaching youth sports, staying active exercising, and spending time with his family.

                          Education

                          Boston College, B.S. Accounting: 1978

                           

                              • Private Wealth Advisor
                              51 JFK Parkway
                              Suite 303
                              Short Hills, NJ 07078
                            • Christian Graff

                              Christian Graff

                              Senior Wealth Strategy Associate

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                              • AL
                              • AZ
                              • CA
                              • CO
                              • CT
                              • DC
                              • DE
                              • FL
                              • GA
                              • HI
                              • IL
                              • MA
                              • MD
                              • MI
                              • MN
                              • MO
                              • NC
                              • NE
                              • NJ
                              • NM
                              • NV
                              • NY
                              • OH
                              • OR
                              • PA
                              • RI
                              • SC
                              • SD
                              • TN
                              • TX
                              • VA
                              • VT
                              • WA

                              The first step to helping clients and their families achieve success is to understand their goals, values and vision. Christian brings that approach to every client interaction and from there, he is able to provide the proper strategy within the framework of a financial plan. Through proper planning, Christian helps simplify otherwise complex situations and finds it gratifying when families are successful.

                              Experience

                              • UBS Wealth Advice Center
                              • Worked with clients to build asset allocations and provided guidance on institutional clients’ equity compensation awards, including Incentive and Non-Qualified Stock Options, Stock Appreciation Rights and Restricted Stock Units
                              • UBS Wealth Planning Analyst
                              • Partnered with Financial Advisors to deliver overall financial planning to clients

                              Credentials

                              • CERTIFIED FINANCIAL PLANNERTM (CFP®) Practitioner
                              • Chartered Retirement Planning CounselorSM (CRPC®)
                              • Accredited Wealth Management AdvisorSM (AWMA®)
                              • Series 7 and 66 Securities Licenses
                              • Life, Health and Accident Insurance Licenses
                              • B.S., Business Administration, Susquehanna University (Varsity Lacrosse Player)

                              Life

                              • Christian enjoys coaching Lacrosse, traveling and watching New York Giants games
                              • Resides in Wayne, NJ

                                    61 South Paramus Road
                                    Mack Center IV, 4th Floor
                                    Paramus, NJ 07652
                                  • Leslie Bruce

                                    Leslie Bruce

                                    Client Associate

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                                    • AK
                                    • AZ
                                    • CA
                                    • CO
                                    • CT
                                    • DC
                                    • DE
                                    • FL
                                    • GA
                                    • HI
                                    • IL
                                    • MA
                                    • MD
                                    • MI
                                    • MN
                                    • MO
                                    • NC
                                    • NE
                                    • NJ
                                    • NM
                                    • NV
                                    • NY
                                    • OH
                                    • OR
                                    • PA
                                    • RI
                                    • SC
                                    • SD
                                    • TN
                                    • TX
                                    • VA
                                    • VT
                                    • WA

                                    Leslie Bruce, Wealth Strategy Associate, joined the Soteria Wealth Management team in November 2020. She brings with her experience in client servicing and wealth planning, having led a servicing team with over $1.8 billion AUM at Bernstein Private Wealth Management. Leslie is a graduate of Columbia University in the City of New York with a Bachelor’s degree in Psychology. She is a native New Yorker and currently resides in Fort Lee, NJ.  In her free time, she enjoys traveling, hiking, biking, and collecting oil lamps. She also enjoys mentoring youth and participates through UBS and her alma mater with organizations including Read Ahead, George Jackson Academy, and Smart Woman Securities. Leslie holds FINRA licenses Series 7 and 63.

                                          61 South Paramus Road
                                          Mack Center IV, 4th Floor
                                          Paramus, NJ 07652
                                        • Nicholas Pepe

                                          Nicholas J Pepe

                                          Client Associate

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                                          • AK
                                          • AZ
                                          • CA
                                          • CO
                                          • CT
                                          • DC
                                          • DE
                                          • FL
                                          • GA
                                          • HI
                                          • IL
                                          • MA
                                          • MI
                                          • MN
                                          • NC
                                          • NE
                                          • NJ
                                          • NM
                                          • NV
                                          • NY
                                          • OH
                                          • OR
                                          • PA
                                          • RI
                                          • SC
                                          • SD
                                          • TN
                                          • TX
                                          • VA
                                          • VT
                                          • WA

                                                61 South Paramus Road
                                                Mack Center IV, 4th Floor
                                                Paramus, NJ 07652
                                              • Margaret Borchardt

                                                Margaret Borchardt

                                                Client Associate

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                                                  Maggie, an integral member of the Soteria Wealth Management team, is focused on ensuring that the full spectrum of client needs is met with clarity, thoroughness and efficiency. She works closely with individuals and families to assist them with resolving everything from day-to-day operational issues to more complex situations and questions. Maggie prides herself on being highly organized and strives to reflect the team’s ethos of exceeding client expectations when it comes to transparent communication and high-touch, personalized service.

                                                  Past experience
                                                  Maggie’s interest in finance and wealth management began with more than four years working at an IRA custodian. When she joined UBS in 2022, she brought her extensive knowledge of IRAs and alternative investments, as well as her years of experience in customer service, to her current role supporting Soteria’s roster of valued clients. Maggie enjoys the variety that her position brings and looks forward to continuing to expand her knowledge of, and experience in, private wealth management.

                                                  Education and credentials
                                                  – B.S., psychology, Sacred Heart University
                                                  – M.A., teaching, elementary education, Sacred Heart University

                                                  Life
                                                  Outside of work, Maggie loves to spend time with her husband Steve and her dog Maeve, who is thrilled to accompany the couple on hikes and visits to the dog park. Maggie volunteers for the local Bergen County dog rescue association and enjoys exploring the local New Jersey food and restaurant scene.

                                                        61 South Paramus Road
                                                        Mack Center IV, 4th Floor
                                                        Paramus, NJ 07652

                                                      Backed by the strength of UBS

                                                      A global leader in wealth management

                                                      $5+ trillion

                                                      In invested assets globally 
                                                      As of 11/07/2023

                                                      51 countries

                                                      Our global footprint

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                                                      UBS is a world-leading wealth manager

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