Half Billion UBS Advisor Team In US Chooses RIA Path

Eliane Chavagnon

8 October 2013

financial advisory team in the US, is now a $540 million assets under management registered investment advisor with the Securities and Exchange Commission.

Clients of the new RIA - which will custody primarily with Schwab Advisor Services - include Forbes 400 families, prominent individuals, corporate executives and business owners, according to a statement issued yesterday.

The team, led by Ajay Gupta, provides clients with financial and investment strategies including wealth transfer and preservation, business services, retirement strategies and solutions, estate planning strategies, private money management and concentrated stock strategies.

Gupta has been a financial advisor for 20 years, with early roots at Merrill Lynch and then UBS. He and his team will continue working with clients in the San Diego area as well as San Francisco, Boston, New York, Sonoma and other major metropolitan areas.