Stamford, CT Financial Advisors | The Shantz Mantione Group

Driven to transform your financial life Private Wealth Management

“Our team’s core values start with the client first. Our entire practice is laser-focused on providing honest, fair and insightful financial solutions.”

— Thomas Mantione

“Our focus on planning is very simple: We are all dedicated to looking at the big picture and helping you pursue your lifestyle goals.”

— Andrew Shantz

The Shantz Mantione Group

866-860-7266

855-212-8375

UBS Private Wealth Management
600 Washington Blvd
9th Floor
Stamford, CT 06901

In the midst of increasingly complex financial needs, The Shantz Mantione Group defines what it means to be a wealth manager. For more than 20 years, we have been providing generations of families with inclusive wealth management and professional investment guidance in diverse market conditions.

Our “goals-based” process helps our clients clarify their current financial situation, identify challenges and create a comprehensive strategy. We collaborate with our clients’ other trusted advisors as well as our network of professionals, leading the effort to develop one integrated approach.

Building long-lasting relationships
An intimate practice
Stewards of your wealth
Committed to accessibility
Recognized as industry leaders

Clients

Building long-lasting relationships

Business owners, corporate executives and multigenerational families count on our experience and insights. With integrated financial guidance and a robust suite of investment solutions, we can help you with key issues around a broad array of professional and personal situations.

Business owners and entrepreneurs

Whether you’re in start-up mode, building capital and growing your business, selling your company, looking to manage existing liquid assets or transferring wealth, we will work with you to address the full cycle of your business needs.

Pre-liquidity planning
Our process begins with critical pre-liquidity planning all the way through execution and closing. Prior to the transaction, we’ll coordinate with our network of UBS and third-party experts to help develop a personalized strategy focused on your deal structure, valuation opportunities and tax considerations.

Post-liquidity wealth management
We can help you develop a tailored plan to transition from a K-1 distribution or salary to living comfortably off your investment income.

Additional reading:

An overview on family business transition

Business Owners Insights. Volume 1 Volume 2

Timeline: Considerations when planning for a sale

Corporate executives

Whether you need planning during your wealth-building years or when transitioning out of corporate life, we understand executives need specific guidance. Our services include:

Executive financial planning
Specialty services for stock option planning and execution
10b5-1 restricted stocks
Executive banking and lending

Multigenerational families

We work across generations of your family to provide education on wealth planning, investing and philanthropy. From estate planning strategies to business leadership transition to family dynamics, we offer the guidance you and your family need to make informed and confident financial decisions. The value we bring to each member of your family helps ensure assets are preserved and transferred to future generations and charitable organizations in an impactful and tax-efficient manner.

Total wealth management
While many financial advisors are focused solely on investment management, our comprehensive vision of total wealth management is built on three distinct, yet fully integrated, pillars:

1

With wholly personalized investment advice, we provide clear direction around asset allocation, portfolio management, risk assessment and wealth preservation.

2

Our advanced planning discipline helps to unify all the other aspects of your financial life, including tax minimization, cash flow, wealth transfer, planning for an uncertain future and charitable giving.

3

With the goal of working together for the long term, our relationship management practice coordinates all your professional advisors into one network focused solely on you and your priorities.

Access

An intimate practice within a global leader

As UBS Private Wealth Advisors, we are an intimate practice that provides broad access to the firm’s global platforms. This dynamic worldwide presence provides us with extensive reach and the distinct advantage of our experts in Wealth Management, Asset Management and our Private and Investment Banks.

Exclusive Private Wealth Management access includes:

Portfolio Advisory Group
Exclusively dedicated to sophisticated portfolio structuring:

Advanced quantitative analysis
Proprietary research
Dynamic diversification
Custom asset allocation

Credit and liquidity solutions
Access through our extensive UBS Banking resources to innovative credit solutions:

Securities-backed lending
Pre-IPO lending
Mortgages
Tailored lending

CIO Americas, Wealth Management
Our global research organization:

More than 900 professionals across UBS
Focus on the global economy

Advanced Planning Group
Planning analysts regularly evaluate how changes in the legislative and tax landscape might affect your wealth:

Wealth planning
Estate planning strategies
Philanthropy

UBS Global Family Office
A highly specialized team dedicated to seamless integration for family office services:

Comprehensive wealth management
Institutional-level services
Business opportunities

Family Advisory and Philanthropy
This group offers solutions that extend beyond your portfolio, including:

Advice on family decision-making
Business and generational transitions
Wealth transfer
Family office governance

Credit and lending services are provided by banking affiliates of UBS Financial Services Inc., and are subject to credit approval.

UBS Family office services

Seven Family Office hubs around the globe: New York, London, Zurich, Geneva, Hong Kong, Milan and Singapore

Investments

Stewards of your wealth

Execution, transparency and tangible results begin with a disciplined process for understanding your goals and building personalized strategies to help you manage and preserve wealth. We work prudently to help ensure your financial security by maintaining a keen awareness of what risk means to you and by providing a strict adherence to asset diversification.

Liquidity. Longevity. Legacy.
Our approach starts with questions and a discussion that help us focus on what’s really important to you. Then, we can help you organize your financial life into three key strategies: Liquidity—to help provide cash flow for short-term expenses, Longevity—for longer-term needs and Legacy—for needs that go beyond your own.

Liquidity

To help maintain your lifestyle

This strategy helps you manage cash flow for near-term expenses. It can give you the confidence to fund short-term needs regardless of the markets, and helps reduce the likelihood of making impulsive investment decisions during periods of market volatility.

Entertainment and travel
Taxes
Purchasing a home

Longevity

To help improve your lifestyle

This strategy includes the resources you’ll need over the course of your life. It can help you gain confidence in your future by allowing you to shift your focus to meeting long-term goals rather than trying to outperform the markets.

Retirement
Healthcare and long-term care expenses
Second home

Legacy

To help improve the lives of others

This strategy includes all of the resources for needs that go beyond your own. Having a Legacy strategy can boost your confidence by reframing risk based on specific legacy goals and longer timeframes.

Giving to family
Philanthropy
Wealth transfer over generations

Timeframes 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.

Al investments involve the risk of loss, including the risk of loss of the entire investment.

Tailored portfolio management
As active portfolio managers or by working with select money managers, we build custom portfolios from a broad array of investments that help match your objectives and risk preferences.

Asset allocation focused on mitigating risk
By listening and aligning with your objectives, we focus on asset allocation strategies that allow for sensible growth and help mitigate risk. As we implement your investment strategy, we communicate regularly and track performance, rebalancing and making adjustments for life changes and economic conditions.

Our process
Our team uses a consultative approach to identify your needs, provide customized solutions and guarantee a high-quality client experience.

Learn more about our process

Service

Committed to accessibility and communication

Exemplary service is the cornerstone of a successful relationship. We consistently strive to anticipate your needs and ensure that you understand the thought process behind our solutions..

Attention on your terms
We always strive to provide the utmost in personalized service. We foster an environment that keeps you engaged in the investment process in the manner most appropriate to your needs and schedule. By meeting in person twice a year, updating your portfolio quarterly and “touching base” on important topics monthly, count on us for prompt attention, regular communication and relevant insights and information.

Trusted client service
Clients rely on our trusted and consistent client service team for a host of financial and administrative needs. This means taking extra steps to provide customized reporting, helping to organize tax information or simplifying daily financial and investment issues—from setting up online services to handling financial statements.

A network of resources
By working closely with your accountants, attorneys and trusted advisors as well as our network of external professionals outside UBS, we can incorporate all perspectives into one coordinated view. Our network meets at least quarterly to review client case studies.

The strength of UBS
We draw upon the heritage of UBS AG, one of the world’s leading wealth management firms. This dynamic worldwide presence provides us with extensive reach and the distinct advantage of the firm’s global perspective and resources.

The Shantz Mantione Group - Core Values

Our ongoing review process

Annual Cash Flow Plan Meeting

Quarterly Investment Strategy Meeting

Annual Advanced Plan Meeting

Learn more

Relentless Pursuit with The Shantz Mantione Group

Driven to transform your financial life, our core values start with clients first and that is what this series is all about. We put you first as we deliver honest, fair and insightful financial solutions.

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This material has no regard to the specific investment objectives, financial situation or particular needs of any specific recipient and is published solely for information purposes. No representation or warranty, either express or implied is provided in relation to the accuracy, completeness or reliability of the information contained herein, nor is it intended to be a complete statement or summary of the developments referred to in this material. The recipient should not construe the contents of this material as legal, tax, accounting, regulatory, or other specialist or technical advice or services or investment advice or a personal recommendation. Not all products and services are available to citizens or residents of all countries.

Thomas Mantione and Andrew Shantz have been recognized as industry leaders

Thomas Mantione

Financial Times Top 400 Financial Advisers, 2018, 2019
Forbes Best-In-State Wealth Advisors, 2018, 2019, 2020, 2021
Barron's Top 1,200 Financial Advisors, 2014, 2015, 2017, 2018, 2019, 2021

Andrew Shantz

Forbes Best-In-State Wealth Advisors, CT, 2019, 2020, 2021

Photograph by Thomas Mantione - Cathedral Peak, Yosemite National Park, California

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