As the founding partner of The Capital ESOP Group at UBS, Keith offers small- to middle-market business owners nearly 20 years of industry experience and an extensive background in corporate finance. Keith leverages the vast resources and intellectual capital of the world’s largest wealth management firm to assist his clients and their families with sell-side advisory solutions and post-sale financial planning, to include holistic wealth management, tax and estate planning.

Keith is active within the ESOP community, having helped his clients create more than $2.5 billion in value across various sectors and industries. He sits on the finance committee for The ESOP Association and is a member of the National Center for Employee Ownership (NCEO), Employee-Owned S Corporations of America (ESCA) and the Alliance of Merger & Acquisition Advisors® (AMAA®). Keith coauthored the book Selling Your Business to an ESOP, now in its ninth edition. In 2014, Keith was given the prestigious opportunity to sit on the UBS Capital Markets Advisory Committee. Prior to joining UBS in 2009, Keith was an integral member of the team that handled all of Morgan Stanley’s ESOP transactions.

Keith’s other accomplishments include:

• Forbes SHOOK Best-in-State Wealth Advisors, 2018 (Ranked #3 in Washington, DC)
• Barron’s Top Financial Advisors, 2012 – 2017
• The Financial Times Top 400 Financial Advisers, 2016 – 2018
• Washingtonian magazine Top Financial Advisers, 2016 – 2018
• On Wall Street Top 40 Under 40 Advisor, 2017 – 2018
• REP. magazine Top 40 Wirehouse Advisors Under 40, 2014 – 2015

Keith sits on the board of Patriot Farmers of America, a non-profit organization that teaches entrepreneurship and sustainability to veterans who are seeking a future in farming. Keith graduated from Virginia Tech, where he earned a B.S. in business administration from the Pamplin College of Business. Outside the office, he enjoys traveling, reading and spending time at his farm in Berryville, VA. Keith lives in Washington, D.C. with his wife, Kathryn, and their daughters, Lyla and Sutton.

Registered States:
AK, AR, AZ, CA, CO, CT, DC, FL, GA, HI, ID, IL, IN, KS, KY, MA, MD, ME, MI, MN, MT, NC, NJ, NV, NY, OH, OR, PA, SC, TN, TX, UT, VA, WA, WV, WY

Greg Marcus—a strategic partner of The Capital ESOP Group—has nearly two decades of experience helping ultra high net worth families navigate some of the most challenging and volatile financial times in generations. Notably, he was the first Private Wealth Advisor to join the UBS Private Wealth Management office in Washington, D.C.

As a Senior Portfolio Manager as well as a Certified Financial Planner™ professional, Greg focuses on the protection and continued prosperity of the intimate client base he serves. His approach to portfolio management is grounded in investment analysis, independent research and thorough due diligence.

Prior to joining UBS, Greg was a Senior Vice President in the Wealth Management division of Morgan Stanley where he advised a select number of affluent families in addressing complex investment needs.

Greg earned a B.A. from the University of Michigan and an M.B.A. in finance from the University of Maryland. In addition to earning his CFP® designation, Greg has completed the rigorous UBS Private Wealth Advisor accreditation process.

Greg lives in Bethesda, MD with his wife, Jaime, their son, Holden, and their daughter, Halston.

Experience to guide you forward

– Managing Director, Wealth Management, UBS, 2006–present

– Sr. Vice President, Wealth Management, Morgan Stanley, 2001–2006

Professional achievements and education

– Forbes Best-In-State Wealth Advisor 2018

– Barron's Top 1,200 Financial Advisor 2018

Registered States:
AK, AZ, CA, CO, DC, DE, FL, GA, MA, MD, MN, NC, NE, NJ, NY, OK, PA, TN, TX, VA, WA, WV, WY

With a focus on post-ESOP financial planning, Rob Allred has significant experience in creating customized financial plans that take into consideration the specific needs of business owners who have sold their stock to an ESOP. Rob incorporates the amortization of the seller note, the interest paid on the seller note and any nonqualified deferred compensation into his financial planning decisions. He also focuses on developing personal relationships with clients so he can successfully implement tailored asset management strategies, insurance, tax and estate planning solutions.

Over his more than 20-year career at UBS, Rob has joined the elite group of UBS Financial Advisors who have earned the designation of Wealth Advisor. He also holds the Certified Financial PlannerTM (CFP®) professional designation.

Rob graduated from Randolph-Macon College with a degree in business and economics. Rob lives in Vienna, VA with his wife, Molly, and their three children, Lilly, Annie and Robert Jr.

Registered States:
AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IL, LA, MA, MD, ME, MI, MN, NC, NJ, NM, NV, NY, OH, OK, PA, RI, SC, TN, TX, VA, WV

Nick Francia is committed to educating business owners on tax-efficient exit strategies and helping them fully understand the pros and cons of each option. By working with each client closely throughout the decision-making process, Nick empowers his clients to make informed decisions about which succession plans may be best for them and their families. He also creates tailored cash flow models comparing the taxable sale of privately held businesses with a §1042 tax-deferred sale to an Employee Stock Ownership Plans (ESOP). Nick earns his clients’ trust through his consultative approach, through open and transparent communication and by collaborating with clients’ tax and legal advisors.

Prior to joining UBS in 2011, Nick worked with high net worth individuals at a hedge fund in Greenwich, CT. As an Associate Member of the Finance Committee for The ESOP Association and a member of the National Center for Employee Ownership, Nick frequently speaks about ESOPs and §1042 in national business owner and finance industry forums. Recognized for his leadership skills, he was appointed Vice President of Business Networking International in D.C.

Nick graduated from the University of Mary Washington in Fredericksburg, VA, where he earned a bachelor’s degree in economics. He was a dedicated member of the university baseball team, and continues to be an active member of the University of Mary Washington Alumni Association. Outside of work, Nick enjoys spending time with family, reading, fly-fishing, and traveling with his wife, Mary Elizabeth.

Registered States:
AK, AR, AZ, CA, CO, CT, DC, FL, GA, HI, ID, IL, IN, KY, MA, MD, ME, MI, MN, MO, NC, NJ, NV, NY, OH, OR, PA, SC, TN, TX, UT, VA, WA, WV, WY

Sean has nearly 15 years of wealth management experience, having navigated clients through bull and bear markets. His expertise is concentrated in serving the unique needs of business owners who have sold their businesses and require specialized guidance to manage the complexities within a succession plan. His belief is that every client relationship must begin with a comprehensive financial plan to ensure the long-term financial security of the client’s goals. We seamlessly integrate the investment management recommendations with the client’s customized financial plan, which includes implementing wealth preservation strategies to protect a business owner’s hard-earned assets as well as wealth transfer planning to ensure assets are passed to the next generation in a tax-efficient manner. In addition, Sean understands that maximizing an individual’s net worth requires oversight of not just their assets, but both sides of the balance sheet, employing liability and liquidity solutions to manage any interest rate environment.

With a mother and father who were both in education, Sean has a passion for educating his clients and continuing to learn. He received his B.S. in accounting from Catholic University and went on to obtain both the Certified Financial PlannerTM (CFP®) designation from Georgetown University and the Certified Divorce Financial Analyst® through the Institute for Divorce Financial Analysts.

Sean is actively involved in many community and philanthropic organizations. He serves on the Board of Directors for a local Fairfax County-based nonprofit, FACETS, is a mentor to local students through Capital Partners for Education and is a regular financial contributor for Second Saturday®, a community-founded divorce workshop focused on helping women navigate the legal, emotional and financial aspects of divorce.

Sean is originally from the Hudson Valley in New York and enjoys an active lifestyle including CrossFit, golf, hiking and spending time with his beloved family. He and his wife, Alisha, live in McLean, VA with their son, Hudson, and daughter, Kaia.

Registered States:
AL, AZ, CA, CO, CT, DC, FL, GA, MA, MD, NC, NJ, NY, OH, PA, TX, UT, VA, WI

Kleo Curry knows that having wealth can create complex needs. That’s why, for nearly 15 years, she has been helping clients successfully navigate volatile markets to meet their financial goals. Drawing upon her significant experience in financial planning, she works closely with her clients to build customized portfolios specifically aligned with their short term financial needs and long-term visions for the future. Additionally, Kleo is responsible for helping to drive the team’s operational efficiency and business planning processes.

Kleo grew up in Michigan, where graduated from Adrian College with a degree in political science. Today she and her husband, Len, reside in Loudoun County, where she is an active member of the Business Women of Loudoun committee of the Loudoun County Chamber of Commerce. She also serves on the Loudoun County Transit Advisory Board and the Board of the Loudoun Abused Women’s Shelter. In her free time she enjoys reading Civil War history.

Registered States:
AK, AL, AR, AZ, CA, CO, CT, DC, FL, GA, HI, ID, IL, IN, KY, MA, MD, ME, MI, MN, MO, MT, NC, NJ, NV, NY, OH, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV, WY

Joanne Pronk spearheads The Capital ESOP Group's tailored cash flow modeling function. Through detailed analyses, she helps business owners compare the taxable sale of privately held businesses with §1042 tax-deferred sales to Employee Stock Ownership Plans (ESOPs). 

Prior to joining UBS in 2018, Joanne spent two years as a Financial Analyst in the Private Wealth Management division of Goldman Sachs, followed by one year at an independent investment advisory firm. Her experience in the financial services industry has been focused exclusively on helping high net worth individuals and families navigate their financial lives. 

Joanne graduated summa cum laude from The George Washington University in 2015 with a BBA in finance and international business. She is currently a CFA Level 3 candidate. Outside of the office, she enjoys traveling, spending time on the water and taking weekend trips to the nearby Shenandoah Valley.

Registered States:
AK, AL, AR, AZ, CA, CO, CT, DC, FL, GA, HI, ID, IL, IN, KY, MA, MD, MI, MN, MO, MT, NC, NJ, NV, NY, OH, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WI, WY

In successfully managing all service needs for clients of The Capital ESOP Group, Steve Brinckhaus leverages the vast experience he’s gained over his nearly 15-year financial services career. He also helps to keep the team operating in an organized and efficient manner.

Steve holds a B.A from the University of Mary Washington. He resides in Severna Park, MD and enjoys traveling with his wife and kids, playing sports and rooting for the Washington Redskins.

Registered States:
CA, DC, MD, NY, TN, VA

Jerry Castro’s 25 years of industry experience, both as a Financial Advisor and manager, provide him with a unique insight in bringing together all of the firm’s high-end resources and capabilities. This experience helps The Capital ESOP Group provide the highest level of service and value in assisting their clients to plan and achieve their investment objectives and financial goals. Prior to joining UBS in 2009, Jerry was the Executive Director of the Washington, D.C. market at Morgan Stanley for 12 years. Mr. Castro served as a co-chair of the UBS Branch Manager Advisory Council and holds a B.A. from Shippensburg University. He and his wife, Catherine, live in Annapolis, MD and are the proud parents of eight wonderful children.

Registered States:
DC, MD, VA

Beginning her career nearly 30 years ago on the foreign currency options trading desk of a Wall Street investment banking firm, Sharlene Samuel now leads a team of supervisory officers who ensure that all industry and firm policy changes are clearly communicated and implemented. She and her team focus on proactive risk management and supervision of the UBS Washington, D.C. market. Sharlene graduated from Pace University with a bachelor‘s degree in international management with a minor in french. She is an avid potter who spends much of her spare time creating wheel-thrown functional pots for daily use.

Registered States:
AK, AL, AR, AZ, CA, CO, CT, DC, DE, 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, UT, VA, VT, WA, WI, WV, WY

In serving the unique needs of business owners who have sold their businesses and require specialized guidance to manage the complexities within a succession plan, Brandon Park leverages his more than 10 years of wealth management experience through bull and bear markets. He believes that every client engagement must begin with a comprehensive financial plan to ensure the long-term financial security of the client’s goals. In addition, Brandon understands that maximizing an individual’s net worth requires oversight of both assets and liabilities, which is why he and his team employ liability and liquidity solutions to help manage any interest rate environment. By integrating investment management recommendations and wealth preservation strategies, Brandon and his team help business owners protect their hard-earned assets and plan to ensure that those assets are passed to the next generation in a tax-efficient manner.

Brandon’s commitment to providing his clients with the best financial solutions has driven him to earn the Certified Financial PlannerTM (CFP®), professional, Chartered Retirement Planning CounselorSM (CRPC®) and Certified Investment Management Analyst® (CIMA®) designations. He graduated summa cum laude from the University of Maryland and completed his CIMA® coursework through The Wharton School of the University of Pennsylvania. Brandon is a published author on topics dealing with financial planning and investment matters. He has also been a speaker for the American Bar Association and Certified Public Accountants.

Brandon currently supports the Wounded Warrior Project and previously served on the boards of Maggie’s Light Foundation and Global Access Foundation. He, his wife and two daughters reside in Maryland.

Registered States:
AK, AZ, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, KY, MA, MD, MI, MN, MO, MT, NC, NJ, NV, NY, OH, OR, PA, SC, TN, TX, UT, VA, WA, WY

As a Wealth Planning Associate, Susan provides comprehensive wealth management services to high net worth and ultra-high net worth clients throughout the Washington DC Market. Prior to joining UBS, Susan was an Operations Associate at Brightwood Capital Advisors, a private debt fund in New York City, where she managed a portfolio targeted at middle market debt and equity products. She also spent time at KPMG where she served on the Mortgage and Commercial Lending team, focusing on CMBS transactions. Susan is a native of South Central Virginia and currently resides in Arlington, VA. She earned her bachelor of business administration degree from James Madison University and holds her AWMA®.

Registered States:
DC

As a Client Service Associate, Jordan Binder holds himself to a high standard of operational and administrative excellence in caring for each of The Capital ESOP Group’s clients. Whether coordinating the team’s schedules, assisting with client reports or managing event logistics, he maintains a can-do attitude and a contagiously cheerful disposition. Prior to joining The Capital ESOP Group in 2018, Jordan served as the lead event coordinator for Georgetown’s McDonough Office of Professional Development and as an intern with another wealth management team in the UBS Washington, DC office. He holds a bachelor’s degree in English from Georgetown University and enjoys reading, hiking and playing guitar in his free time.