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.

Access all of UBS Private Wealth Management

As members of the firm's exclusive Private Wealth Management division, we have immediate access to deep global resources across the firm. From thought leaders in world markets to our specialists in Advanced Planning, Family and Philanthropy Advisory Services and investment banking, these extensive resources complement the advice our team provides.

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

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

      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

      • On Wall Street Top 40 Advisors Under 40, 2019
      • Forbes "Best-In-State Wealth Advisors" (NJ), 2019
      • UBS “Top 35 under 35,” 2014, 2015, 2016
      • 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
      • Top 35 Under 35
        • 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
        • AR
        • AZ
        • CA
        • CO
        • CT
        • DC
        • DE
        • FL
        • GA
        • HI
        • IL
        • IN
        • LA
        • MA
        • MD
        • ME
        • MI
        • MN
        • MO
        • NC
        • NE
        • NH
        • NJ
        • NM
        • NV
        • NY
        • OH
        • OR
        • PA
        • RI
        • SC
        • SD
        • TN
        • TX
        • VA
        • VT
        • WA
        • WI
        • WV

        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

        • UBS "Top FAs Under 35," 2019
        • Forbes “America’s Top Next Generation Wealth Advisor,“ 2017, 2018
        • 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, 2021
        • Forbes America’s Top Next-Gen (Generation) Wealth Advisors Best-in-State, 2018, 2019, 2022
        • Forbes Best-in-State Wealth Advisors , 2021, 2022
        • Top 35 Under 35
          • 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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          • CA
          • CO
          • FL
          • IL
          • LA
          • NJ
          • NY
          • SC
          • TX

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

                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
                    • 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
                      • NC
                      • NE
                      • NJ
                      • NM
                      • NV
                      • NY
                      • OH
                      • OR
                      • PA
                      • RI
                      • SC
                      • SD
                      • TN
                      • TX
                      • VA
                      • VT
                      • WA
                      • WI
                      • WV

                      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

                      Registered States:

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

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

                        Backed by the strength of UBS

                        A global leader in wealth management

                        $2.8 trillion

                        In invested assets globally 
                        As of 06/30/2022

                        51 countries

                        Our global footprint

                        Global leader

                        UBS is a world-leading wealth manager