Let's move forward. Together.

• AZ
• CA
• CO
• FL
• IN
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• NC
• ND
• NM
• OH
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• WI

Richard Whalen is a Senior Vice President – Investments at UBS with over four decades of experience in wealth management. He specializes in helping individual and institutional clients develop strategic investment plans that prioritize long-term financial stability and peace of mind.

Richard earned a degree in Business with an emphasis in Corporate Finance from Northern Arizona University and later pursued advanced investment studies at The Wharton School at the University of Pennsylvania. He holds the Certified Investment Management Analyst (CIMA) and Certified Investment Management Consultant (CIMC) designations, reflecting his deep experience in portfolio management and risk analysis.

Richard and his team are committed to delivering highly personalized service, combining the global resources and infrastructure of UBS with a boutique, client-specific approach. Their focus is on building strong, lasting relationships, and providing tailored financial strategies to help clients meet their goals with confidence.

• Barron's Top 1,200 Financial Advisors, 2016, 2017, 2018, 2019
  The Barron's rating is awarded annually in March and is based on information from the prior year Q3. 

• Certified Investment Management Analyst®
• Certified Investment Management Consultant

• AZ
• CA
• MI
• TX

Diane brings over 42 years of experience in the financial services industry, having started her career in 1982 with E.F. Hutton. As a Senior Client Associate, she is passionate about supporting clients and helping them pursue their financial goals with confidence and clarity.

She works diligently to manage a wide range of administrative and operational tasks and takes pride in being a dependable, knowledgeable resource for clients. Diane also helps clients navigate and utilize the full suite of services available through UBS to ensure they receive the highest level of support.

Diane holds her Series 7 and 63 licenses and is known for her professionalism, attention to detail, and deep commitment to client service.

Originally from Southern California, Diane moved to Arizona in 1996. Outside of work, she enjoys walking, spending time with friends, and traveling.

• AZ
• CA
• CO
• FL
• IN
• MI
• MT
• NC
• ND
• NM
• TN
• TX
• UT
• WA
• WI

Connor works with individuals, families, and business owners to create and implement personalized investment strategies that prioritize long-term growth, capital preservation, and financial stability. His approach begins with listening—understanding each client’s unique goals to shape strategies that align with their needs through complex market cycles and key life stages.

As part of a family team, Connor is committed to cultivating lasting relationships across generations. Building on Rick’s 40+ years of experience, together they help families plan not only for today, but for the future—working with parents, children, and grandchildren to foster financial continuity and shared purpose.

Drawing on a diverse background that spans professional sports, strategy, and product development at major consumer brands, Connor brings a unique perspective as a Financial Advisor. He graduated cum laude from UC Santa Barbara with a degree in Economics and a minor in Sport Management. He holds Series 7 and 66 licenses.

Splitting his time between Los Angeles and Phoenix, Connor enjoys staying active, traveling, and creative endeavors.

• University of California, Santa Barbara, Bachelor of Arts, Business Economics