Job Title: Director
Company: UBS Private Wealth Management
Mentor Since: Fall 2018
Will Mentor: Graduate Students, Undergrad Students
Director | Relationship Manager Kim has direct responsibility for managing client relationships and discovering new clients for the team. Kim works directly with her clients to navigate and understand complex financial situations to reach their unique goals and values. She focuses on building customized investment portfolios, integrate their investment strategy, philanthropy, and estate planning into a cohesive wealth management plan. She shapes investment solutions to meet clients’ current and future goals and works closely with individuals and families, including retirees, business owners, executives, and professionals. Kim delivers a deep and sophisticated understanding of how the economic environment impacts wealth management for clients. Kim joined UBS from Key Private Bank, where she was a Senior Vice President and Wealth Advisor where she was helping clients and develop strategies for growing and protecting their wealth. Certificates and memberships include: • CERTIFIED FINANCIAL PLANNER™ professional • Certified Divorce Financial Analyst® • Certified Private Wealth Advisor® • Securities licenses: Series 7 and 66 • Insurance licenses: Life, Disability, and Long-term Care • Member, Seattle Estate Planning Council • Member, East King County Estate Planning Council • Treasurer, Queen Anne Little League She holds a BBA in Information Systems from Loyola University Chicago. Kim resides in Seattle with her husband and two children. In her free time, she can be found at Whistler skiing or cheering her sons from the sidelines of a lacrosse game.
Building on its history of over 150 years, UBS is committed to bringing its global resources to bear on the portfolios of high net worth individuals to help them pursue their wealth management goals. Today, as the world’s largest wealth manager,1 we are strongly positioned to help our clients address the realities of the global economy and their sophisticated needs. Customized solutions are delivered by dedicated Financial Advisors who are aligned to help give clients confidence in reaching their goals no matter what the environment.
UBS - current Key Private Bank, Seattle, WA 2015 - Present Senior Vice President, Wealth Advisor • Drive business development opportunities for Key Private Bank throughout Washington. • Collaborate with partners in the Commercial Bank, Agribusiness, and Retail channels. • Deliver comprehensive wealth management services to high net worth individual and institutional clients. • Deliver customized solutions and build a team around each prospect: business succession, retirement/financial planning, and investment solutions. Halbert Hargrove, Bellevue, WA 2012 - 2015 Relationship Manager • Deliver comprehensive wealth management services to high net worth individual and institutional clients. • Manage 70 client relationships with assets totaling $215 million. AUM increased 34% for Bellevue office from 2Q2012 – 4Q2014. Firm assets $4.2 billion as of 12/2014. • Develop financial plans, cash flow analysis, budgeting, and retirement planning scenarios for clients. • Build and develop relationships to build prospect pipeline through current clients and strategic partners. • Work with multi-generational clients on wealth transfer and wealth management strategies. • Contributing member of Wealth Advisory Committee for this 40-person firm. • Develop and manage firm-wide marketing campaign to leverage Certified Divorce Financial Analyst designation. RBC Wealth Management, Portland, OR 2009 Senior Financial Associate • Member of an eight-person team that moved to RBC; managed client transition, client retention, and financial planning process. AUM of $500+ million. • Translated business practices from UBS to RBC; including client service, investment management programs, and relationship management. • Developed team trading protocol and processes for discretionary equity and options trading. UBS Financial Services, Inc, Portland, OR 2004 - 2009 Investment Associate (2007 – 2009) • Managed the financial planning activities for entire team; Created and implemented financial plans for over 125 high net-worth clients. • Relationship manager and portfolio manager for over 30 client relationships. • Developed relationship management process for institutional prospects from RFP to board presentations. • Managed the discretionary trading platform for 300+ accounts and executed trades (equity and option). • Senior Partner of this team ranked #1 in Oregon as Barron’s America’s Advisor Rankings, 2009. Financial Advisor (2004 – 2007) • Developed new clients through networking, cold calling and prospecting. • Invited to join high-producing team to develop financial planning capacity. • Created process for client acquisition including prospecting initiatives, intake process, follow up criteria, client service and review schedule.
Northern Trust Investments, Inc, Chicago, IL 2002 - 2004 Regional Consultant, Advisor Consulting Group
Envestnet Asset Management, Chicago, IL 2000 - 2002 Assistant Vice President (2001 - 2002)
Morgan Stanley, Chicago, IL 1997 - 2000 Regional Marketing Associate, Investment Consulting Services (1999 - 2000)
Bachelor of Business Administration, Loyola University, Chicago, Illinois, 1999 Major: Information Systems Mgmt Certificate Program in Financial Planning, DePaul University, Chicago, Illinois, 2003 CERTIFIED FINANCIAL PLANNER™ professional, CFP® (2004 - present) Certified Private Wealth Advisor®, CPWA® (2017 – present) Certified Divorce Financial Analyst®, CDFA® (2013 to present)
Mentoring Objectives & Scope
I want to help students who would like advice, and help, and someone to talk with. I had wonderful mentors when I was just starting in Finance and they provided me insight, guidance, and the confidence as I navigated a male-dominated industry. My experience also spans various financial firms (brokerage, banking, institutional, RIA) and I can provide background into each of those areas.
When and where do you hold meetings with your students?
My office in Bellevue or Seattle coffee shop (Queen Anne or downtown)