Delivering the advice and solutions exceptional families seek
As the senior partner on his team, Ajay is lead Advisor and relationship manager for their most sophisticated clients and prospects. He is an architect of the team’s strategic vision and also advises on asset allocation and alternative investments, given his deep capital markets expertise.

As a Private Wealth Advisor and Family Office Consultant (FOC), Ajay has a particular focus on managing generational wealth as well as estate planning and philanthropic planning. With access to the extensive global resources of UBS, he and the Desai, Pellicori, Stirling team provide solutions to challenging problems and concerns of ultra-high net worth clients, and more specifically to those facing exceptional families.

FOC is a UBS business designation reserved for Financial Advisors with a track record of understanding the investment, business, passion and legacy needs of sophisticated, exceptional clients and aligning them to the full suite of UBS capabilities. FOCs undergo rigorous training to strengthen their industry knowledge, and will be available for strategic partnering with other Financial Advisors and Private Wealth Advisors at UBS to cultivate relationships with Ultra High Net Worth clients.

Previous experience

• Morgan Stanley Private Wealth Management
• Merrill Lynch Private Bank
• Founded and operated hedge fund
• Co-founded cash management firm
• Consultant with Accenture (formerly Anderson Consulting)

Accolades, FINRA registrations and designations

• Family Office Consultant
• Financial Times 400 Top Financial Advisers, 2013 – 2015, 2018
• Barron’s Top 1,200 Advisors, 2014 – 2019
• Barron’s Top 1,000 Advisors, 2011
• Barron’s Top 100 Advisors, 2011
• Registered REP. magazine and WealthManagement.com’s Top 100 Wirehouse Advisors, 2010, 2011
• Series 3, 7 and 66 securities licenses

Education

• M.B.A., Booth School of Business, University of Chicago
• B.B.A., Iowa State University

Life

• Ajay has three children, all active in sports that he thoroughly enjoys watching.
• He is also a fitness enthusiast who plays tennis regularly.
• Ajay supports his personal charity for education and mentors young entrepreneurs.
• He was elected and sits on the Board of Governors for Iowa State University, his alma mater.
• Additionally, Ajay is active with Pi Kappa Phi, his college fraternity.

Registered States:
AL, AZ, CA, CO, DE, FL, GA, IA, IL, IN, KS, LA, MA, MD, MI, MN, MO, MT, NC, NE, NJ, NY, OH, OR, RI, TN, TX, VA, WA, WY

A seasoned perspective on the capital markets and managing sophisticated family wealth
As a Private Wealth Advisor, Frank is both inspired and challenged by dynamic markets and diverse clients. He began his career at Morgan Stanley Private Wealth Management and joined UBS in 2011 where he is a senior partner of Desai, Pellicori, Stirling.

Frank focuses on the team’s investment solutions, providing capital markets solutions to complex questions and developing asset allocation decisions that may include alternative investments and derivatives. Given his previous experience managing a multimillion dollar family office, he brings a seasoned perspective to building relationships with exceptional families and overseeing their wealth priorities across generations.

Previous experience

• Adjunct Professor, DePaul University
• Private Wealth Advisor, Morgan Stanley Private Wealth Management
• President, Green Street Capital
• Family office investment management
• Private Wealth Management Associate, Morgan Stanley

FINRA registrations

• Series 3, 7 and 66

Education

• M.Sc. Development Studies, London School of Economics
• M.B.A., Kellogg School, Northwestern University
• B.S., University of Illinois

Life

• He is an adjunct lecturer in DePaul University Economics Department.
• Frank is a Committee member with Openlands.
• He sits on the Northwestern Medicine Professional Council for Philanthropy.
• Frank has three children and enjoys staying active in the outdoors.

Registered States:
AL, AZ, CA, CO, DE, FL, GA, IA, IL, IN, KS, LA, MD, MI, MN, MO, MT, NC, NE, NJ, NY, OH, OR, RI, TN, TX, VA, WA, WY

Managing wealth with the experience and wisdom of five decades
Jim has been at the firm for more than 50 years, including positions at the UBS Investment Bank and Private Wealth Management, as well as serving as the chairman of the UBS Midwest Advisory Board. It’s in his Private Wealth career that Jim feels he truly delivers value to our clients. It brings him great satisfaction to work with his team of professional, caring Advisors who are completely committed to helping clients and their families achieve their goals, while delivering all aspects of the firm.

Previous experience

• UBS Private Wealth Management
• UBS Investment Bank (48 of 53 years at UBS)
• Assistant to US Secretary of Commerce, Elliot Richardson during the Ford Administration

FINRA registrations and designations

• Chartered Financial Analyst®
• Series 3, 7 and 66 securities licenses

Education

• M.B.A., Stanford University
• B.A., Princeton University

Life

• Jim cares deeply about his community and is passionate about participating and staying involved in the issues that affect all of us.
• He is the founding chairman of the Northwestern Medicine Professional Council for Philanthropy and former Chairman at Northwestern Memorial Management Company.
• Jim is Vice Chairman of the Metropolitan Planning Council, and formerly the CFA Leadership Council of Chicago.
• He also served as Trustee of the Chicago Symphony Orchestra.

Registered States:
CA, FL, IL, LA, NC, NJ

Focus:  Capital Markets Solutions & Trading

Prior Roles: Registered Marketing Associate at Morgan Stanley Smith Barney; Trader on Municipal Bond Desk with UBS and Merrill Lynch

Education: B.S. in Finance, Miami of Ohio University

Registered States:
AL, AZ, CA, CO, DE, FL, GA, IA, ID, IL, IN, LA, MA, MD, MI, MN, MT, NE, NJ, NY, OH, OR, PR, RI, TX, VA, WA, WI, WY

Focus:  Managing client relationships and administration

Prior Roles: Senior Client Associate at Merrill Lynch Private Banking; Senior Client Service Associate at Morgan Stanley

Education: MBA, University of Illinois at Chicago; B.S. in Political Science, Rice University

Registered States:
AZ, CA, CO, DE, FL, GA, IA, IL, IN, KS, LA, MD, MI, MN, MT, NE, NJ, NY, OH, OR, RI, TX, WA, WI, WY

Focus:  Primary responsibilities include portfolio & capital markets analysis, investment due diligence, and performance reporting

Education: B.S. in Finance from the Kelley School of Business at Indiana University

Registered States:
AL, AZ, CA, CO, DE, FL, GA, IA, ID, IL, IN, LA, MA, MD, MI, MN, MT, NE, NJ, NY, OH, OR, PR, RI, TX, VA, WA

Focus: Managing client relationships and administration

Education: B.A. in Psychology from the University of Michigan

Registered States:
AZ, CA, CO, DE, FL, GA, IA, IL, IN, KS, LA, MD, MI, MN, MT, NE, NJ, NY, OH, OR, RI, TX, WI, WY