Helping entrepreneurs and their families thrive Private Wealth Management

 

Total wealth management for entrepreneurs 

Our team advises a select group of exceptional business builders and their families, supporting them with out-of-the box thinking and total wealth advice for every stage of their life.  Because we started out as entrepreneurs ourselves, we bring an experienced perspective and level of understanding of the complex opportunities and challenges that come at each stage of your personal and business life, from launch through exit and beyond.

We will work with you to help answer your most important questions:

  • What innovative ideas, thoughtful planning and sophisticated investments strategies can help me make smart financial decisions?
  • How can I simplify my complex financial life so I can focus on the personal and professional priorities I am most passionate about?
  • Is my wealth being managed in line with our greater purpose?

Entrepreneurs Group


phone

212-821-7145



phone

855-260-9440





address

Private Wealth Management
299 Park Avenue
26th Floor
New York, NY 10171



 

The Entrepreneurs Group has been recognized as an industry leader

  • Ken Shapiro
    Forbes Best-In-State Wealth Advisors, New York, 2019, 2020
  • Thomas Livaccari
    Forbes Best-In-State Wealth Advisors, New York, 2020
  • Emily Rubin
    Forbes/SHOOK America's Top Wealth Advisors, 2017, 2018, 2019, 2020
    Barron's Top 100 Women Advisors, 2017, 2018, 2019, 2020
    Forbes America's Top Women Advisors, 2018, 2019, 2020
    Barron's Top 1200 Wealth Advisors, 2020
    Forbes Best-In-State Wealth Advisors, 2018, 2019, 2020
    Working Mother Magazine Top Wealth Adviser Moms, 2017, 2018, 2019
    Forbes Top 200 Women Advisors, 2017

Learn more about Ken Shapiro, Thomas Livaccari and Emily Rubin 

The big picture

Planning strategies for entrepreneurs

Our advice and guidance is based on a clearly defined planning process that is designed to keep pace with your changing perspective on wealth, your family’s lifestyle and your financial priorities. We help you see how all aspects of your financial life are interrelated and how each decision can affect your entire wealth picture.

Entrepreneur’s Total-Wealth Optimization Process (ETOP)

Our team’s Entrepreneur’s Total Wealth Optimization Process (ETOP) can help provide successful entrepreneurs and their families with relevant advice and solutions regarding business transition issues they face. Through ETOP, our mission is to help you make the smartest decisions—both before and after you exit your business—so you can spend more time doing what you love.

We help you to maximize:

  • The exit value of the concentrated equity you hold in your company
  • The after-tax amount you receive upon sale
  • Your ability to preserve the liquid wealth you have worked so hard to build
  • Your assets being appropriately invested to help pursue your most important life goals

We will coordinate with your other trusted advisors and bring together all the resources you may need. We’ll help make sure that you can truly benefit from all your hard work.

1 Source: 2016 BEI Business Owner Survey Report, Business Enterprise Institute, Inc.

Seeking to maximize a founder’s post-sale proceeds with proper planning

The situation
We developed a relationship with our client, the founder of a digital communications company years in advance of the sale of his company.

Strategies-for-Life’s-Liquidity (SELL) Process and multigenerational planning

As anyone who has ever built a business knows, you have to start with a plan. The same is true of your personal finances.

When it comes to understanding how much money is actually needed to pursue lifetime goals, many entrepreneurs in the process of selling a business may not have all the answers. That’s why we utilize our Strategies-for-Life’s-Liquidity (SELL) Process to understand your current financial picture in light of how various possible liquidity scenarios may affect funding the future you envision.

We can help to implement a multigenerational plan that addresses your family’s needs, ranging from income to wealth transfer and preservation, to philanthropic pursuits. If people and causes are important to you, they are important to us.

2 Source: EPI State of Owner Readiness Report, 2018 Long Island, Exit Planning Institute.

Helping an entrepreneur solve his post-exit needs

The situation
Our client, the former founder and CEO of a leading technology company, sold his company in a stock transaction to a publicly traded competitor.

Liquidity. Longevity. Legacy.

Understanding your life, your wealth and what you want to accomplish is important to how we work together at UBS. We start with questions and a discussion that helps us focus on what’s really important to you.

Then, we can help you organize your financial life into three key dimensions: Liquidity—to help provide cash flow for short-term expenses, Longevity—for longer-term needs and Legacy—for needs that go beyond your own. Through the plan we create together, we can help you pursue what matters most today, tomorrow and for generations to come.

Time frames may vary. Strategies are subject to individual client goals, objectives and suitability. This approach is not a promise or guarantee that wealth, or any financial results, can or will be achieved.

All investments involve the risk of loss, including the risk of loss of the entire investment

3 Source: 2016 BEI Business Owner Survey Report, Business Enterprise Institute, Inc.

Helping entrepreneurs protect their wealth: concentrated stock protection

The situation
Our client is the founder and CEO of two significant global businesses as well as an active investor. He acquired a significant, concentrated equity position following an IPO of a healthcare company in which he was the seed investor.

Investment process

Is my investment strategy helping me meet my goals?

Once we have a comprehensive financial plan in place, we match your investment strategy to your goals. This alignment and focus on your goals can help you avoid costly, emotionally driven behavioral mistakes that have the potential to impact your best-laid plans.

Through our process, asset allocation is determined based on your goals and their timing rather than solely by age, risk tolerance or the type of asset. We practice a balanced, open architecture investment strategy and believe that research, diversification and risk monitoring are the foundation to creating a financial plan customized to help you pursue your goals.

We offer our clients:

  • An open architecture platform, including leading non-UBS private equity, hedge fund equity and fixed income managers
  • Consolidated reporting that includes your non-UBS assets
  • Completely transparent expenses
  • Holistic financial modeling
  • Concentrated stock management and hedging
  • Access to lending and banking services

Personalized client service process

How will we work together?

Our team’s individualized attention aims to provide a level of confidence that is invaluable. We are accountable to you, and work diligently on your behalf. By offering high-touch service, our goal is to develop the kind of trust and efficiency to help simplify your financial life and build long-lasting relationships.

Communication is at the center of everything we do.

Beginning with our collaborative planning process, we implement a schedule of meetings and conversations over the course of each year in order to keep your plan on course. This includes 12 monthly recurring appointments annually with four comprehensive quarterly portfolio reviews. When inquiries, opportunities and challenges arise, we are accountable and consistently aim to provide a one-hour response to inquiries and a 24-hour resolution to most issues.

We have developed strong relationships with a wide array of experts, both inside and outside of UBS. We’ll help you build a team of accountants and attorneys, or work with your existing network, leading the effort to develop one integrated approach and strategy. We have the experience and the network to address the complexities of your advanced planning needs.

Global access

What global resources can I engage?

UBS’s extensive history of working with affluent families provides our team with insights and understanding into the complexities of wealth. With direct access to the global resources and open platform of UBS Private Wealth Management, our team offers timely perspectives, customized investment management and a fully integrated suite of solutions.

We leverage our experience and UBS specialists to help advise on all financial matters including:

  • Estate planning strategies
  • Tax planning strategies
  • Asset management
  • Capital raising
  • Business transaction services
  • Succession planning
  • Philanthropy

 
 

 

Event Highlights:
Harnessing Entrepreneurial ADHD to maximize success

Ken Shapiro talks about the challenges entrepreneurs and business owners with ADHD encounter.

 

Insights

Equity Awards

Increase the impact of equity awards

Creating a lasting and positive impact

Creating a lasting and positive impact