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Elevating Entrepreneurs
Chicago
Los Angeles
New York
Small business is the backbone
of the American economy.
50%
Small businesses employ roughly
of all private sector workers
1 in 5
9.8
small businesses in the U.S. are minority owned
Since 1993, small business has accounted for
million new jobs
13x
On average, small businesses file
more patents per employee than large corporations*
Source: The U.S. Small Business Administration (sba.gov)
*
“Our goal with Elevating Entrepreneurs is to
help small businesses grow, prosper and create new jobs.
Our country is home to some of the great innovators
and thinkers in the world. To ensure their
continued success is to ensure America’s success.”
Bob McCann and participants from
Elevating Entrepreneurs: New York
—Bob McCann CEO, UBS Group Americas
Elevating Entrepreneurs partners with key members
of the community in every city where the program is
run, including Chicago, Los Angeles and New York.
Providing small business owners with on-the-ground
expertise and resources in their area is designed to
help deepen their community roots.
s
Elevating Entrepreneurs targets small business
owners who run high-growth companies with
significant potential for job creation. Each
entrepreneur will be mentored by a senior UBS
Financial Advisor and a top UBS client who has
achieved significant success in a related industry.
The teams work closely together over six months.
In addition to mentorship, Elevating Entrepreneurs
provides small business owners with a unique
opportunity to leverage the vast network of UBS
resources, including access to senior leaders in
marketing, operations, human resources and
investment banking. Other program benefits include
educational forums and networking events hosted
by UBS that address such critical needs as capital
management and business expansion.
One-on-one strategic mentorship
Introductions to senior leaders and
vital UBS resources
Opportunities to network with
industry influencers and major
decision makers
Access to $15 million in small
business financing for qualified
participants in Chicago and
Los Angeles
s
Small business owners have a long track record of
stimulating the American economy and generating
job growth. The goal of the UBS program, Elevating
Entrepreneurs, is to empower small business
owners throughout our nation to be even more
successful by providing expert advice and crucial
resources that aren’t always available to companies
of their size.
Elevating Entrepreneurs offers:
s s
Mentorship. Resources. And a vision of
helping entrepreneurs prosper.
Contents
What is Elevating Entrepreneurs 1
How the program works 2
Lending and other resources 3
Meet the 2012 participants 4
Revitalizing America 24
1
Three team members. One powerful alliance.
What makes Elevating Entrepreneurs different is a dedication to mentoring: each entrepreneur is teamed with a highly experienced UBS Financial
Advisor and a UBS client to set goals to be pursued during the program—and beyond. Together, the mentor team meets with the small business owner
at least once a month to address the company’s specific needs and challenges, and offer advice and a fresh perspective on ways to grow.
Small business owner: Entrepreneurs selected to participate in the program are
already successful in their chosen fields. They also demonstrate vision and drive,
professional integrity, social consciousness and high potential for job growth.
UBS Financial Advisor: Advisors who volunteer for the program are not only senior
leaders in their offices, but also in their communities. They provide entrepreneurs
with relevant financial and business advice and develop a plan of action.
Advisors are backed by the global resources of UBS, including access to the
firm’s talent, expertise and strong industry relationships.
UBS client: Clients who engage in Elevating Entrepreneurs have several things
in common: all freely volunteer their time for this philanthropic mission; all
have shown business savvy; and all have enjoyed tremendous success in similar
fields as the entrepreneurs. This real-world experience, coupled with their
advice, perspective and connections, is invaluable in helping companies reach
the next level.
Educational workshops and networking opportunities.
Entrepreneurs will participate in two UBS-sponsored workshops and two networking events. They’ll have the opportunity to meet with members
of the UBS management team as well as industry influencers and major decision makers from both the private and public sectors.
A personalized executive summary.
At the conclusion of the program, each entrepreneur receives a personalized executive summary that serves as a blueprint for building upon
their success.
3
Empowering entrepreneurs to reach the next level.
New lending resources.
Gaining access to capital is one of the biggest challenges facing small business owners today. As such, UBS is teaming up with
lenders in Chicago and Los Angeles to provide $15 million in financing solutions for qualified small business owners in those cities.
In Chicago, we’re working with the newly formed Chicagoland Business Opportunity Fund and in Los Angeles, we’ve teamed with
the Valley Economic Development Center. For more information, please call (818) 907-9977.
A local partnership.
By expanding the knowledge and networks of the small business owners in the program,
Elevating Entrepreneurs aims to contribute not only to their success, but to the overall economic
revitalization of the communities in which they do business. That’s why UBS is partnering with the
Chicagoland Chamber of Commerce in Chicago and with Mayor Antonio R. Villaraigosa’s Office
of Economic and Business Policy (OEBP) in Los Angeles.
Proactive media relations.
Public relations is an important element in helping entrepreneurs raise their profile. UBS works with
media partners across the country to put the spotlight on small business owners and their stories.
Past participants have been featured in leading publications, including The New York Times,
Los Angeles Times, Crain’s and On Wall Street and on programs such as
Nightly Business Report (NBR).
Elevating Entrepreneur Sherman Wright
profiled on NBR in Chicago.
On Wall Street ran a cover story
about the New York pilot program’s
participants.
Introducing the 2012 participants of Elevating Entrepreneurs
UBS FINANCIAL ADVISOR
SMALL BUSINESS OWNER
Larry Smith brings nearly 30 years of financial
services experience to the program. Larry is
the founding member of the Smith Investment
Consulting Group and a member of UBS’s Pinnacle
Council, the firm’s most select group of seasoned
and productive Financial Advisors. He is a Certified
Financial PlannerTM professional (CFP®) and a Certified
Investment Management AnalystSM (CIMA®).
Larry is also one of only 140 Advisors in the firm
who are designated as an Institutional Consultant,
with the UBS Institutional Consulting Group.
Bola Ajere
AMC Consulting Group, LLC
Founder, President & CEO
Arcadia, CA
Bola Ajere is the Founder, President and CEO of AMC
Consulting Group, a premier minority information
technology consulting company. Bola has devoted over 25
years to the information technology industry, starting as a
Systems Engineer with IBM.
Bola was a Partner with Deloitte & Touche and Chairman
and CEO of the New Media Venture Partners. He has held
senior audit and consulting positions with Ernst & Young
and PricewaterhouseCoopers. He has extensive international
experience and has worked in several countries including
England, Holland, France, Finland, Saudi Arabia and Japan.
He graduated from the University of Kent at Canterbury,
England with a Master’s degree in accounting and computer
science.
He has an M.B.A. in finance from the Peter
Drucker Center for Management at Claremont
Graduate University and a B.A. in management
from Cal Poly Pomona.
Lawrence E. Smith
Managing Director
Smith Investment
Consulting Group
Los Angeles, CA
UBS CLIENT
Steven Mayberry is a recently retired senior property
and casualty, insurance, finance and accounting
executive. He has 40 years of extensive experience
in carrier and agency operations for both private
and public companies.
Steven began his career with the international
auditing firm Deloitte LLP, where he became
a California CPA. He has held many high-level
positions at prestigious organizations such as CFO
of Sterling Casualty Insurance Company, Senior Vice
President of Finance for the Ulico Insurance Group,
and Assistant Controller for H.F. Ahmanson & Co in
the Securities and Exchange Commission reporting
department.
Steven graduated from California State University,
Northridge, California with a B.S. in accounting.
Steven K. Mayberry
Retired Insurance and
Accounting Executive
Los Angeles, CA
Sheldon and Benjamin Altman are a father and
son advisory practice with more than 50 years of
industry experience, focusing on high net worth
clients.
Together, the Altmans have created an easy-toutilize and familial approach to financial planning,
providing American families with a holistic and
comprehensive wealth management experience.
They are involved in a number of charities,
including the Newberry Library of Chicago, CAASE,
the National MS Society and other nonprofit
organizations.
Ron Anastacio
Nology Interactive
President & Owner
Chicago, IL
Sheldon Altman
Senior Vice President–
Investments
Altman Financial Group
Chicago, IL
Their undergraduate studies were at the University
of Illinois and Tufts University, and graduate
studies included the University of Chicago School
of Business, the Wharton School, University of
Pennsylvania and Northwestern University.
Ron’s personal attention to clients’ IT and digital needs has fueled
Nology Interactive’s success in website design, mobile and database
applications, and transparent back office development and strategy.
Benjamin Altman
Account Vice President
Altman Financial Group
Chicago, IL
UBS CLIENT
Ed Bjorncrantz knows marketing: how to build
business-to-consumer and business-to-business
relationships, how to optimize catalog, Internet,
retail, telemarketing and direct marketing channels,
and how to manage advertising development,
production and distribution. Now retired, Ed is
putting the expertise he gained as a senior executive
at Sears, Moore Medical, Quill Corporation, JC
Whitney and The Callahan Group to work for
Chicago entrepreneurs and nonprofit organizations.
Ed graduated from Colgate University with a B.A.
in political science and received an M.B.A. from the
University of Virginia’s Darden School of Business.
He has also served on the board of the Direct
Marketing Association.
After supporting companies through start-ups, turnarounds and
growth modes for more than 18 years, Ron Anastacio had a
revelation: businesses need to mind their business and leave the
cohesive integration of sales, operations and technology to
the experts.
Ed Bjorncrantz
Retired Retail and Direct
Marketing Executive
Chicago, IL
Ron is eager to get the help Nology needs to further develop its
own network, and sales and marketing strategies. He received a B.S.
in computer information systems from the University of Illinois.
5
UBS FINANCIAL ADVISORS
Margaret Lech-Loubet joined UBS in 2011,
bringing 27 years of financial services experience
to the firm. Her specialties include the construction
of high-grade, fixed income portfolios for
wealthy individuals, as well as short-term money
management for Sub Chapter S corporations and
foundations. Margaret’s team, which includes
Financial Advisor James Cain, works to meet the
complex issues faced by their high net worth
clients.
Her philanthropic endeavors are centered on many
animal and environmental causes. Margaret holds
a degree in economics from UCLA.
Margaret Lech-Loubet
Investments
Los Angeles, CA
Maurice H. Brewster
Mosaic Global Transportation
President & CEO
Redwood City, CA
UBS CLIENT
Maurice Brewster brings over 33 years of experience to his current
position as President and CEO of Mosaic Global Transportation. Prior to
establishing the company, Maurice held senior management positions in
the limousine and ground transportation industry. A perennial honoree
for his company’s services, Maurice was awarded Silicon Valley’s Best
Limousine Company from 2006 through 2009.
Holding a B.S. in business with a minor in communications from Lincoln
University in Pennsylvania, Maurice has also studied at UCLA’s Anderson
School of Management.
Peter Jonas is the CEO and CFO of LendingApps,
LLC., a technology company that provides
business process management (BPM),
analytical and workflow software to the $1.6
trillion commercial mortgage banking industry.
Peter is also Managing Partner of JFP Ventures,
Inc., an investment business consulting and
coaching firm. His specialties include merger
and acquisition management, leveraged
buyouts, IPOs, investor relations and public/
private lending.
A graduate of Baruch College, City University
of New York, Peter is also a CPA and trustee
of the Baruch College Fund.
Peter S. Jonas
Business Consultant and
Private Investor
Los Angeles, CA
Robert Gach is a First Vice President–Investments,
Wealth Advisor and a Senior Managed Accounts
Consultant with UBS’s Gach Group. As a
member of UBS’s Directors’ Council, a select
group that includes the firm’s most seasoned
and productive advisors, he provides wealth
management services for affluent individuals and
nonprofit entities. Robert is also a member of the
Investment Management Consultants Association
and a Certified Investment Management
AnalystSM (CIMA®).
Robert graduated magna cum laude with a
B.A. in economics, philosophy and international
relations. He also has an M.B.A. in finance and
marketing from the Marshall School of Business.
Robert J. Gach
First Vice President–
Investments
Gach Group
Los Angeles, CA
Daniel Edelist
Nova Lighting
President & Owner
Huntington Park, CA
UBS CLIENT
Daniel Edelist is the President and Owner of Nova Lighting, a thriving
presence in the wholesale furniture industry. Having purchased the
company as a turnaround venture, Daniel knew that by hiring a
dedicated staff, forming a qualified design team, implementing systems
and revamping its marketing program, the company would gradually
come to life. To date he has expanded the company’s distribution
to include nearly 70 of the top 100 furniture retailers in the U.S. as well
as opened new channels of distribution internationally.
With over 32 years of experience in the public
accounting industry, Mark Baumohl is the
Managing Administrative Partner of RBZ and
Co-Partner-In-Charge of the RBZ Family Wealth
Group. Responsible for day-to-day operations,
Mark sees to it that the firm’s infrastructure
supports RBZ’s ability to provide unparalleled
service to its clients.
Mark recognizes the unique concerns of
individuals, business owners and executives,
families, and family or closely held businesses.
He specializes in family tax planning,
multigenerational and succession planning,
trusts and estates.
Mark is a CPA and graduated cum laude with
a B.S. in accounting from California State
University, Humboldt.
Mark Baumohl
Managing Administrative
Partner of RBZ, LLP
Co-Partner-In-Charge
of RBZ Family Wealth
Group
Los Angeles, CA
Daniel received his undergraduate degree from the University of
California, Berkeley, and later attended UCLA where he received an
M.B.A. with an emphasis in marketing and finance from the Anderson
School of Management.
7
Alicia Estrada
Stop Staring!
Founder & Head Designer
Paramount, CA
Alicia Estrada is the Founder and Head Designer of the innovative vintageinspired brand Stop Staring!
While enrolled in the Long Beach City College fashion program, mass
attention from her peers had prompted her to jokingly write the words
“STOP STARING!” on the back of her skirt. Her collection was born.
Seth Radow joined UBS in 2002 as the founding
partner of Westside Wealth Management—a UBS
Signature Team. Seth began his career in 1984
while still in business school at the University of
Nevada, Reno, and has since acquired prominent
designations of Senior Vice President–Investments,
Senior Portfolio Manager and Wealth Advisor.
Seth is a member of UBS’s President’s Council,
a select group of the firm’s most seasoned and
productive advisors. His specialties are centered
on portfolio management for individuals, as well
as small institutions. Seth is a sought-after media
commentator, most notably appearing on CNBC.
Now, Alicia’s collection of timeless 1940s and 1950s inspired pieces are sold
in over 1,000 boutiques in 45 countries worldwide, and have been worn by
such high-profile celebrities as Eva Mendes, Kim Kardashian and Paris Hilton.
In 2010, Stop Staring! dresses were inducted into the Smithsonian,
representing Mexican American fashion designs.
Seth Radow
Investments
Westside Wealth
Management
Los Angeles, CA
UBS CLIENT
Anne Thomopoulos is a former Senior Vice
President at HBO where she began her career
with the mandate to create a dramatic series
department, beginning with OZ, HBO’s first
one-hour drama series. Some of her subsequent
miniseries include: “Band of Brothers,” which
won six Emmy® Awards, including Outstanding
Miniseries, and a Golden Globe® Award for
Best Miniseries; and “The Corner,” which won
four Emmy® Awards, including Outstanding
Miniseries, and a Peabody Award. Anne also
developed and executive produced the HBO/BBC
historical dramatic series ROME, and served as
Executive Producer on CAMELOT for Starz. Most
recently she was recruited to start a scripted series
division for One Three Media, a Mark Burnett/
Hearst company.
Anne, a dual national of the United States and
France, now lives in Los Angeles with her family.
Anne Thomopoulos
Executive Producer
Entertainment Industry
Los Angeles, CA
Brad Howell is a First Vice President–Investments
and Wealth Advisor. He is also the Senior Partner
of Howell Wealth Consulting Group, a team that
provides comprehensive financial planning for
individuals, families and companies. Brad brings
12 years of financial services expertise to his clients
and prides himself on building relationships that
leverage UBS’s resources.
Brad is a member of UBS’s Directors’ Council,
a select group that includes the firm’s most
seasoned and productive advisors. He is a Certified
Financial PlannerTM professional (CFP®), Chartered
Life Underwriter® (CLU®), and a Chartered
Financial Consultant® (ChFC®).
Brad Howell
Investments
Howell Wealth
Consulting Group
Los Angeles, CA
Roland Furtado
Brad has a B.A. in economics from the University
of California, Berkeley.
Roland International Freight Services, Inc.
President & CEO
Los Angeles, CA
UBS CLIENT
Bill James is a valued member of the Greater Los
Angeles Area community and has been with The
Boeing Company for 33 years. He has successfully
held various management positions over the
course of his career, leading projects ranging
from manufacturing and production operations to
pricing, estimating and other business operations.
Bill earned his B.A. in political science with a
minor in business from the University of California,
Berkeley and a J.D. from Western State University
College of Law in San Diego, California.
William A. James
Director, Business
Operations
The Boeing Company
Los Angeles, CA
Roland Furtado is President and CEO of Roland International Freight
Services, Inc.
Roland’s company provides reliable services to meet the domestic and
international transportation needs of importers and exporters. With
over 30 years of experience in the industry, Roland has a diverse set
of skills in the steamship, freight forwarding and non-vessel operating
common carrier industries. A firm believer in the power of education,
Roland continues to stay abreast of current trends in the industry
through frequent attendance of various trade courses and formal
seminars.
In April 1998, the University of Southern California’s Business
Expansion Network acknowledged him for his success in international
business.
9
Jay Maltby and Matt Ludington are Private Wealth
Advisors in UBS’s Chicago office.
Amit Gauri
Black Dog Corp.
President
Chicago, IL
Amit Gauri had a dream to open his own restaurant—in 2006 that
dream became a reality with the birth of an America’s Dog franchise
in Chicago’s trendy Lincoln Park. His umbrella business, Black Dog
Corporation, has evolved into a food distributorship that has won
contracts for distribution with Cook County and the State of Illinois. The
company also was certified as a minority business enterprise with the City
of Chicago, State of Illinois and Cook County, and as a DBE and ACDBE.
Amit looks forward to learning about operations and managing growth
so he can create more jobs.
Amit graduated from the University of Northern Michigan with a double
major in political science and business administration.
Jay brings more than 20 years of industry
experience and is a longstanding member of the
UBS’s prestigious Chairman’s Council, which
includes the firm’s most seasoned and productive
advisors. He is perennially honored by Barron’s
as one of the “Top 1,000 Financial Advisors.” Jay
holds a B.S. in finance from the University of Iowa.
Matt is a Certified Financial PlannerTM professional
(CFP®) with more than 15 years of experience.
He is a member of UBS’s Directors’ Council, and
holds a B.S. in finance from the University of
Illinois, Urbana-Champaign.
Both Jay and Matt advise high net worth
individuals and corporate executives on a full
range of wealth planning, investment, banking
and financing solutions.
Matt Ludington (left)
Investments
Chicago, IL
Jay Maltby (right)
Investments
Chicago, IL
UBS CLIENT
Under the leadership of Brad Carlin, Carlin
O’Brien has become one of the top retail food
brokers in the country. The company is involved
in outsourced sales, category management, and
marketing and retail for domestic and international
food products and CPG organizations. In the
last five years, several strategic acquisitions have
expanded their services and deepened their
penetration into mass merchandise, drug, grocery,
convenience, hardware and specialty trade classes
throughout the Midwest and nationally.
Brad holds a B.A. in political science from Miami
University, Oxford, Ohio.
H. Brad Carlin
Owner & CEO
Carlin O’Brien
Elk Grove, IL
For over 21 years, Phil Allen has taken a holistic
approach to providing a full range of investment
advice to high net worth families. He also has
extensive experience working with executives of
public and private companies, helping them hedge
and diversify their concentrated holdings.
Phil earned a B.A. from the University of Notre
Dame and an M.B.A. in finance from the Kellogg
School of Management, Northwestern University.
David M. Hunt
Allegra Brands
Owner
Chicago, IL
Phil Allen
Investments
Chicago, IL
David Hunt is the Owner of Allegra Brands, a leading provider of licensed
medical apparel. Allegra, which also operates under the trade name
GelScrubs, holds licenses for more than 200 university logos to provide
branded medical apparel. The company also partners with New Balance, and
brought New Balance Healthcare Apparel to market at the end of 2010.
With over 15 years of experience primarily in the healthcare industry, David’s
specialties include managerial disciplines such as accounting, investment
banking, management consulting, venture capital, sales and executive
management.
UBS CLIENT
Mike Duffield, having retired in 2011, is still very
much involved in business—helping small business
owners and entrepreneurs gain the operating and
management skills they need to succeed. Mike
held various management positions at Wallace
Computer Services from 1974 to 2003, and served
as President and COO from 1997 to 2003. Mike
contributed to the company’s growth from $40
million to $1.6 billion in revenue during his career.
From 2006 to 2011, Mike served as Chairman and
CEO at Hess Print Solutions before becoming a
private equity consultant.
Mike holds an M.B.A. from the University of
Chicago.
Mike Duffield
Retired
Private Equity Consultant
Chicago, IL
Most recently, David was Vice President of Sales for the healthcare division
of InfoLogix, a healthcare information technology firm. There, he was able
to grow the company from $1.2 million to an astounding $54 million in less
than five years.
11
Michael Hatch specializes in portfolio manager
research and selection, portfolio construction, asset
allocation and diversification, as well as estate
planning and wealth transfer strategies at UBS.
Michael is a member of UBS’s Directors’ Council, a
select group that includes the firm’s most seasoned
and productive advisors. He holds his Series 7, 63
and 65 securities licenses as well as his insurance
license. Michael received the designations of Certified
Financial PlannerTM professional (CFP®) as well as
his CIMA® (Certified Investment Management
AnalystSM) from the Wharton School, University of
Pennsylvania. He recently completed the Wealth
Advisor program at UBS.
Dr. John Kim
California Dental Group
President
Los Angeles, CA
Born and raised in Seoul, Korea, Dr. John Kim grew up with a great
appreciation for the opportunity of earning an income. A veteran of the
U.S. Air Force, Dr. Kim instills the importance of teamwork and leadership
into each of his dental practices. For the last 25 years, his practice has
been focused on dental implants and oral surgery, which has led him to
become one of the top dental implantologists in the nation.
A current owner of five dental clinics in the Los Angeles area, Dr. Kim
has a vision to expand his business in Hispanic communities. He was
awarded Mastership and Diplomat status by the International Congress
of Implantologists and has a doctorate from the University of Southern
California Dental School.
Michael J. Hatch
Vice President–
Investments
Los Angeles, CA
A graduate of the University of Utah, Michael
obtained a B.S. in both economics and
organizational communications.
UBS CLIENT
Mark Gabay is an experienced real estate
professional and Partner at Charles Company, a
versatile real estate development and investment
partnership firm.
Founded in 1979 on the pillars of family values
and fortified with astute business tactics, the
expertise of the Charles Company’s team
encompasses all areas needed to transform raw
land or existing properties into successful
income-producing assets.
To date, the Charles Company has successfully
developed projects throughout California,
accumulating a sum of 4 million square feet
of development.
Mark Gabay
Partner
Charles Company
Los Angeles, CA
Tammy Haygood is Vice President–Investments at
UBS and founder of the Impact Investment Group.
In addition to traditional wealth management,
Tammy advises individuals, family foundations,
endowments and for-profit businesses on investment
strategies that provide positive financial returns
while creating a positive social impact in the world.
Prior to her wealth management career, Tammy
was a successful lawyer specializing in corporate
and tax law, who acted in the capacity of Director of
Elections for the City and County of San Francisco.
She also led the manufacturing and engineering
groups for Apple Computer.
Tammy B. Haygood
Vice President–
Investments
Impact Investment Group
Los Angeles, CA
Tammy holds a B.S. in electrical engineering and
physics from Tuskegee University, a J.D. from
Golden Gate University and is a member of the
California Bar Association.
Ingrid Merriwether
Merriwether & Williams Insurance Services
Owner
Los Angeles, CA
UBS CLIENT
Christine Robert is the Founder and President
of The Robert Group, a public affairs consulting
firm specializing in community outreach, public
education, legislative advocacy and economic
development. She has an extensive background in
governmental affairs and the public sector, with over
25 years of experience in community involvement.
Christine spent four years in Washington, D.C.,
working for former Congressman Julian Dixon
focusing on transportation legislation at the
federal level.
Christine received a B.S. in public administration
from the University of Southern California and
an M.B.A. from the Walter A. Haas School of
Business at the University of California, Berkeley.
Christine has previously served on the board of the
City of Los Angeles Transportation Commission
and the board of the Los Angeles Community
Redevelopment Agency. She currently sits on the
board of directors for the locally broadcast KCRW
Radio station.
Christine M. Robert
Founder & President
The Robert Group
Los Angeles, CA
Ingrid Merriwether is the Owner of Merriwether & Williams Insurance
Services. In addition to traditional property and casualty insurance,
surety and risk management services, Ingrid’s firm specializes in unique
insurance and bonding solutions for public construction. Overseeing the
firm’s day-to-day operations, Ingrid also advocates for small, minorityand women-owned businesses. Her mission is focused on increasing
opportunity and inclusion in business for under-represented companies.
Amongst many others, Merriwether & Williams has been awarded
“National Inner City 100” (2011), “100 Black Men & American Express
Open Women of Color Business Award” (2011), and “San Francisco
Woman-Owned Business of the Year” (2010) by Women’s Initiative.
13
Andrew Howard Neal
STRYTECH Group, Inc.
President & CEO
Northbrook, IL
Howard Neal not only sets the vision and strategy for long-term growth
at STRYTECH Group Inc., a manufacturers’ rep in the specialty chemical
industry, but he also takes a hands-on approach to developing the right
team. The company markets a complete line of industrial application
adhesives, glue sticks and tacky spots through STRYTECH Adhesive
Systems, and markets an expanding line of chemical additives used in
industrial manufacturing through its STRYTECH industrial sales division.
Dmitry Farbman has more than 15 years of
experience in the financial services industry. He
specializes in municipal and corporate bond
investing at Farbman Khorolinsky Stepankovskiy
Wealth Management Group, where he manages
client portfolios through the elite Private
Investment Management (PIM) program.
Dmitry earned a B.A. in finance from the
University of Illinois, Urbana-Champaign, an
M.B.A. from the Keller School of Management,
DeVry University and Certified Financial
PlannerTM professional (CFP®) designation
from Northwestern University.
Dmitry Farbman
Investments
Farbman Khorolinsky
Stepankovskiy Wealth
Management Group
Northbrook, IL
The STRYTECH chemical additive line includes a number of “green”
products for industrial manufacturers interested in bio-renewable
alternatives, such as plasticizers and flame retardants.
UBS CLIENT
Dr. Eric Kochman is a chemical engineer, inventor
and entrepreneur who combines science and
technology with outstanding business leadership.
His innovations have revolutionized cutting tool
manufacturing and conductive fiber heating.
Beyond technology, his international expertise
in design, patenting, licensing, manufacturing,
marketing, business-to-business and direct sales
through e-commerce have been invaluable in
developing and managing fully integrated start-up
and mid-size companies.
Eric has a Ph.D. in electrical chemistry and
nanotechnologies from the Ural Academy
of Sciences.
Dr. Eric Kochman
CEO
Thermosoft
Chicago, IL
UBS Financial Advisors John Acker, Lois Cox and
John Buchanan are the senior partners for the
Bel-Air Wealth Management Team. Each partner
holds an M.B.A., is a Wealth Advisor, and a Certified
Financial PlannerTM professional (CFP®). Their mission
is to develop enduring relationships that will help
their clients to define and achieve their financial
and life goals. The partners’ vast experience helps
them to guide their clients through the uncertainty
of the markets. Through comprehensive planning,
and by using a balanced approach, they increase
the chance of success.
All three are philanthropically inclined and have
served on various foundation boards, including
The Boy Scouts of America, Manhattan Beach
Rotary Club, Los Angeles Residential Community,
RGK Foundation, Starfish Impact, Girl Scouts
100th Anniversary Year and C5LA.
Bel-Air Wealth
Management Team
John Acker
Investments
Lois Cox
Investments
John Buchanan
Vice President–
Investments
Los Angeles, CA
UBS CLIENT
With over 25 years of practice in the information
technology and services arena, Bob Leff has worn
the hats of entrepreneur, executive, investor and
value-added board member. Bob co-founded
Merisel, Inc. (formerly Softsel Computer Products,
Inc.) in 1980, which became one of the world’s
largest publicly held distributors of computer
hardware and software products.
Prior to Bob’s retirement, Merisel, Inc. was on both
the Forbes 500 and Fortune Service 500 company
lists. Bob was named one of the PC industry’s “25
Most Influential Executives” by Computer Reseller
News (CRN).
Bob earned a B.S. in business administration and
an M.S. in computer science from State University
of New York, Albany.
Frank L. Perera
CeyCal, Inc.
President & Owner
Woodland Hills, CA
Frank Perera is President and Owner of CeyCal, Inc. which he founded
in 1992 to provide high-level technical expertise and avionics solutions
to a wide range of companies.
Born in Sri Lanka, Frank immigrated to the U.S. to pursue a career in
engineering. He went on to graduate from California State University,
Northridge with a degree in electronic engineering. He quickly moved
on and up to hold multiple positions at major aerospace corporations.
His role in software development and engineering offered unique
opportunities to support NASA and DOD programs. Pursuing his
passion, he founded CeyCal in 1992.
Robert S. Leff
Information Technology
Entrepreneur,
Angel Investor and
Corporate Director
Los Angeles, CA
Philanthropy plays an integral role in Frank’s life. After the tsunami
hit Asia, he went back to Sri Lanka and, together with his family,
started the Empowered Community Services (ECS), a nonprofit
organization that addresses global poverty through education.
15
John Jacobs has over 30 years of experience in the
financial services industry. As an accredited UBS
Private Wealth Advisor, John manages the Jacobs
Wealth Management Group, where he focuses
on taxation, estate planning, insurance, financial
planning and investment management to help
high net worth clients achieve their business and
personal wealth goals. He is also a member of
UBS’s Chairman’s Council, a select group of the
firm’s most seasoned and productive advisors.
John received his Certified Financial PlannerTM
professional (CFP®) designation from DePaul
University and has a B.S. in finance from Indiana
University.
Kitty Pon
John D. Jacobs
Investments
Jacobs Wealth
Management Group
Chicago, IL
Pactrans Air & Sea, Inc.
Owner
Bensenville, IL
UBS CLIENT
When Kitty Pon emigrated from Taiwan, she had few financial resources
and limited knowledge of the U.S. market. What she did have was
drive, integrity and determination. These same qualities have propelled
Pactrans Air & Sea, Inc. to leadership in the international freight
forwarding business. Providing assistance in planning and implementing
an efficient and effective flow of goods, services and information, Kitty
is constantly looking to innovate, expand and stay competitive.
Named one of 2011 Business Leaders of Color by Chicago United, Kitty
was educated at Ming Chuan University in Taiwan and is on the board
of directors at the Chicago Minority Supplier Development Council.
James Sanfilippo, President and CEO of Clear
Lam Packaging, is an entrepreneurial business
leader and an ideal mentor. With over 27 years
of experience, James has done it all: quadrupled
revenue; acquired, merged and diversified
businesses; modernized platforms; and developed
international operations and markets. He has deep
expertise in finance and business valuation, new
business startups and development, and crisis
response and management.
James earned a B.S. in food science from the
University of Illinois, Urbana-Champaign and has
pursued executive education at Harvard Business
School and the Kellogg School of Management,
Northwestern University.
James J. Sanfilippo
President & CEO
Clear Lam Packaging
Elk Grove Village, IL
Since joining UBS in 2003, Harshal Doshi has
become a Vice President–Investments with his
Series 7 and 66 securities licenses as well as a
license in insurance. Much of his professional focus
lies within the transactional side of business, the
facilitation of trading, stock selection and macro/
micro level research for his clients.
Born in India and raised in Los Angeles, Harshal is
dedicated to various groups that aim to improve
the lives of special needs children. He has a B.S. in
economics and international development studies
as well as a minor in political science from UCLA.
Harshal Doshi
Vice President–
Investments
Los Angeles, CA
Kevin Ramsey
Alameda Construction Services, Inc. (ACSI)
President
Los Angeles, CA
UBS CLIENT
Fahim Boulos is a California-registered civil
engineer and seasoned construction professional
with over two decades of global experience.
He is a Co-founder of Clean Energy Global, an
organization that provides unique solutions to the
world’s green energy needs, and is responsible for
strategy and Middle East operations.
Kevin Ramsey started Alameda Construction Services, Inc. in 1997.
Alameda specializes in concrete site work, growing from two
employees at its inception to over 40 today. Alameda has Minority,
Small Business and HUBZone certifications. The company has served
primarily as a subcontractor but is now moving into a general
contracting role.
Prior to selling a majority share of the company,
Fahim was the Managing Director of Pivot
Engineering, a general contracting company based
in Abu Dhabi. He remains a minority shareholder
in the company and a member of its board of
directors.
Kevin has a B.S. in business administration and a Master’s in
construction management from the University of Southern California.
Fahim graduated from the University of Central
Florida with a B.S. in civil engineering. He later
received an M.S. in structural engineering from
the University of Southern California.
Fahim Boulos
Co-founder
Clean Energy Global,
LLC (CEG)
Los Angeles, CA
17
Paul Lee has more than 20 years of experience in
the financial services industry. As a Senior Portfolio
Manager of Omni Wealth Management Group,
Paul personally oversees the wealth management
strategies for his clients: financial planning, liability
management, alternative investment strategies,
charitable giving, tax management and estate
planning.
Paul is a Chartered Retirement Planning CounselorSM
(CRPC®), a Chartered Retirement Plans SpecialistSM
(CRPS®), and an Accredited Investment Fiduciary
(AIF®). He received his B.S. in accounting from
Indiana University and a Certificate in Advanced
Portfolio Management from DePaul University.
Paul E. Lee
Director, First Vice
President–Investments
Omni Wealth
Management Group
Chicago, IL
John Rico
Rico Enterprises, Inc.
Chicago, IL
UBS CLIENT
John Rico, Founder of the oldest minority IT firm in the Midwest,
Rico Computers Enterprises, Inc., took to heart his mom’s wish that
“If you do anything in business, try to help teachers.” Soon after,
John discovered his niche would be helping teachers to educate
students about technology. John is committed to civic, community and
educational activities: he is Co-chair of the State of Illinois P-20 College
and Career Readiness Committee, Co-chair of the Illinois Workforce
Board, Vice President of the Education and Workforce Committee, and
Co-chair to the Education to Careers School to Work (STW) Private
Sector. He was honored by Microsoft founder Bill Gates for founding
and running the first Hispanic computer firm to serve educational
institutions in Chicago.
John received a business degree from Northern Illinois University,
Chicago Circle campus.
For more than 20 years, Jamie Yoder, U.S. insurance
advisory practice leader at PricewaterhouseCoopers,
has advised leading U.S. and global insurance and
financial services companies. His specialties include
business design, growth and operational initiatives,
organization and operating models, IT and Internet
strategies, innovation, sales and marketing
effectiveness, and information and analytics.
A frequent contributor to respected industry
publications, Jamie graduated with a degree in
computer science with minors in mathematics and business from Indiana University.
Jamie Yoder
U.S. Insurance Advisory
Practice Leader
PricewaterhouseCoopers
Chicago, IL
Michael Wallace is a Private Wealth Advisor
and native of New York. He leverages his prior
experience of working on the Lehman Brothers fixed
income trading desk to assist clients in constructing
short-term portfolios.
Michael joined UBS in 2008 from Lehman Brothers,
and now brings with him more than 12 years of
experience in the financial services industry. He
earned a B.A. in finance from Loyola College in
Maryland and, after graduating, taught English for
two years at Assumption University in Bangkok,
Thailand. Michael currently lives in Pacific Palisades,
California with his wife Denise and two-year-old
son Aidan.
Chris Sugai
Niner Bikes
President
Torrance, CA
Michael P. Wallace
Vice President–Investments
Los Angeles, CA
UBS CLIENT
Katherine Blair is a transactional partner at K&L
Gates LLP, where she practices in the areas of
corporate, mergers and acquisitions, securities,
finance and general commercial matters. Katherine
serves as the managing partner of the Los Angeles
Corporate Practice. She has advised both sellers and
buyers on a variety of complex transactions, and
represents companies in the structure, negotiation,
diligence and completion of transactions.
Katherine has worked in a diverse range of
industries such as consumer and retail goods,
Internet and telecommunications, foreign
manufacturing, biotechnology and travel. She
also acts as a consistent corporate counsel for
companies, advising them on general
corporate matters.
Chris Sugai has served as the President of Niner Bikes since its inception
in 2005. Previously, and until December 2009, Chris was the owner
and manager of Solar Art Window Films, a company he founded while
still in college in 1985. Chris has been a cyclist his entire life: he raced
BMX bikes in his early teens and has been an avid rider of mountain
and road bikes for the last 25 years.
Chris served on the board of People Plus, a volunteer executive
group of the American Red Cross, for five years and also volunteered
frequently for a local YMCA youth group.
Chris has an A.A. in economics from California State University,
Northridge. He is married and has a five-year-old daughter.
Katherine Blair
Partner
K&L Gates, LLP
Los Angeles, CA
19
Melinda Carmichael brings more than 30 years of
experience in providing tailored investment advice
and wealth strategies to high net worth families,
corporate executives and individuals.
Melinda is a member of UBS’s Directors’ Council,
a select group that includes the firm’s most
seasoned and productive advisors. She is also
a Certified Investment Management AnalystSM
(CIMA®). Her straightforward, team-oriented
strategies have proven successful in providing her
clients with integrated, holistic financial planning.
Maria Thompson
Melinda is a supporter of the nonprofit Women
At Work organization and an active participant in
Barron’s Winner’s Circle Women’s Conference.
Melinda Carmichael
Investments
Los Angeles, CA
Agile Sourcing Partners, Inc.
Corona, CA
UBS CLIENT
Maria Thompson is Founder, President and CEO of Agile Sourcing
Partners, Inc., which supports utilities, suppliers and manufacturers in
the gas and electric industry. Prior to launching Agile in 2006, Maria
served in a number of supply chain management and leadership roles at
companies such as Sempra Energy utilities and Qualcomm. Her leadership
skills extend to the boards on which she serves, including professional
associations and universities.
Maria graduated from the University of San Diego with an International
M.B.A. and holds an undergraduate degree in Spanish. She is also
a Certified Purchasing Manager of the Institute of Supply Chain
Management.
George Boyadjieff started his career as an
aerospace project engineer, and during the last
35 years became one of the leading developers
of surface drilling equipment. Prior to retirement,
George was CEO of Varco International, a
diversified oil service company that he joined in
1969 as a Chief Engineer. He was appointed CEO
in 1991.
George has published numerous technical papers,
holds over 60 U.S. patents and is most noted for
the development of the Top Drive Drilling System,
now utilized worldwide. He was awarded the Ellis
Island Medal of Honor and has also been elected
to the Offshore Energy Center’s Pioneer Hall of
Fame.
George received his B.S. and M.S. degrees in
mechanical engineering from the University of
California, Berkeley.
George Boyadjieff
Retired CEO
Varco International (now
National Oilwell Varco)
Los Angeles, CA
Michael Ellington is a Wealth Advisor with 20 years
of experience in wealth planning, risk management
and estate planning. He is a member of UBS’s
Directors’ Council, a select group that includes the
firm’s most seasoned and productive advisors.
Michael has a B.S. from Purdue University. He is
a Certified Financial PlannerTM professional (CFP®),
Chartered Financial Consultant (ChFC®), Chartered
Retirement Planning CounselorSM (CRPC®),
and has designations as a Certified Investment
Management AnalystSM (CIMA®) through the
Wharton School, University of Pennsylvania, and
as a Certified Private Wealth Advisor® (CPWA®)
through the Booth School of Business, University
of Chicago.
Michael G. Ellington
Investments
Chicago, IL
Kenneth Williams
The Shred Authority
President & Owner
Chicago, IL
UBS CLIENT
Michael Bruening quickly rose from an account
executive to become co-owner of a mid-size
public relations firm. And this deep industry
experience helps him understand the challenges
facing today’s business owners and entrepreneurs.
Over the course of his 35-year career, Michael, a
Principal at Lancer Marketing Communications,
has conceived and operated public relations
programs for billion-dollar companies, developed
highly targeted marketing programs for small and
mid-size businesses and nonprofit organizations,
and designed training and recruitment programs.
Michael holds a B.A. in journalism from the
University of St. Thomas in St. Paul, Minnesota. He
also received an M.A. in communications from the
University of Northern Colorado.
Ken Williams is the President and Owner of The Shred Authority, an
independent, minority-owned and -operated document destruction
company. Rated “excellent” or “best in class” by nearly 90% of
his customers, Ken has been able to successfully grow revenue and
profits without sacrificing customer service. Now he wants to increase
efficiency and explore expansion that won’t affect his commitment to
environmental conservation.
Michael Bruening
Communications
Principal
Lancer Marketing
Chicago, IL
Ken received his M.M.A. from the Kellogg School of Management,
Northwestern University and was selected by Kellogg as the Rising
Entrepreneur of the Year in 2010. Additionally, Ken was elected by
his peers to serve as board treasurer of the National Association for
Information Destruction (NAID) and is currently serving on the board
of the Chicago Better Business Bureau.
21
Sherman Wright
Commonground Marketing
Co-founder & Managing Partner
Chicago, IL
Sherman Wright was convinced diversity and a willingness to cut across
traditional personal, professional and social boundaries would be the
key to commonground’s success in the new marketplace. The company
specializes in delivering unique multifaceted marketing solutions with
cross-cultural credibility and authenticity to their clients. Eight years later,
his passion and dedication have won national and multinational clients
such as The Illinois Lottery, Bacardi USA, American Family Insurance,
MillerCoors, The Coca-Cola Company, Nike, Brand Jordan and Wrigley.
Steve Smith has built his entire 19-year career at
UBS. As an Investment Wealth Advisor and cofounder of Zaharski/Smith Wealth Management,
Steve understands the planning and guidance
needed to successfully implement strategies. He is
directly involved in applying UBS’s vast resources
to help his clients maximize opportunities and
realize their goals. He is also a member of UBS’s
Directors’ Council, a select group of the firm’s
most seasoned and productive advisors.
Steve received a B.A. in business administration
from Truman State University, and is a Certified
Investment Management AnalystSM (CIMA®) and
Certified Financial PlannerTM professional (CFP®).
Stephen D. Smith
Investments
Zaharski/Smith Wealth
Management
Chicago, IL
Wright has been recognized by Crain’s Chicago Business Magazine “40
Under 40,” inducted into the Chicago Area Entrepreneurship Hall of Fame
and honored as the 2012 Advertising Executive of the Year by Target
Market News.
UBS CLIENT
Ron Waters retired in 2010 as President and CEO
of LoJack Corporation. His distinguished career
includes positions at The Gillette Company, KPMG
International, and as CFO and COO at the Wm.
Wrigley Jr. Company. He sits on the board of
directors, Nominating, Corporate Governance
and Executive Committees of Fortune Brands
Home & Security, and serves as Chairman of the
Audit Committee. He is a lead Director of HNI
Corporation as well as Director of the Glenwood
School and the Joffrey Ballet.
Ron has a B.A. in history and economics from
Trinity College and an M.S. in accounting from
New York University’s Stern School of Business.
Ronald Waters III
Retired President & CEO
LoJack Corporation
Chicago, IL
Holly Hendrix has nearly 35 years of experience
advising high net worth individuals, families
and small corporate clients in estate and
retirement planning, as well as asset and liability
management.
As a Certified Investment Management AnalystSM
and Wealth Advisor, Holly brings considerable
expertise to a diverse set of clients. In 2009, she
earned UBS’s Exceptional Client Experience Award
for her commitment to excellence.
Holly is a proud member of UBS’s President’s
Council, a select group that includes the firm’s
most seasoned and productive advisors. She is also
a member of Financial Women’s Association and
a founder of Paine Webber’s Women’s Leadership
Conference. She is on the Board of Trustees and
former President of the alumnae board of Hollins
University.
Holly Hendrix
Investments
New York, NY
Karen Young
Hammocks & High Tea
Founder & Designer
Brooklyn, NY
Holly received her B.A. in economics from
Hollins University.
UBS CLIENT
Carol Greer has more than 30 years of experience
at Federated Department Stores and Broadway
Stores, Inc., serving in a variety of senior leadership
roles throughout her tenure. More recently, she
served on the board of directors for Loehmann’s,
Inc. and Gadzooks, Inc., which are specialty
apparel and accessory chains. Carol is also the
former President and CEO for the Specialty
Footwear and Apparel Division of Foot Locker, Inc.
Carol is an avid golfer and spends her time between
East Hampton, New York, and Rancho Mirage,
California.
Karen Young is the Founder and Designer of Hammocks & High Tea,
a collection of home goods and textiles that fuses traditional global
patterns with a modern aesthetic. Based in Brooklyn, the company name
is inspired by Karen’s grandmother and includes influences of their
Portuguese, Scottish and African heritage. Her designs reflect memories
of her childhood, with elements of traditional British architecture, open
air markets, trips to the “sea wall” and the beach.
Prior to founding Hammocks & High Tea, Karen worked as an account
executive in the fashion industry with brands such as Dolce & Gabbana,
Cavalli and Ferre. Her Hammocks & High Tea collection has been featured
in House Beautiful, Elle Décor, Coastal Living, Better Homes & Gardens
and Style at Home.
Carol Greer
Retired Retail Industry
Executive & Consultant
New York, NY
23
A commitment to Revitalizing America.
Elevating Entrepreneurs is one of the pillars of
UBS’s Revitalizing America initiative, which was
created in response to investors’ deep concerns
about the country’s long-term economic
growth. Revitalizing America features a series of
speaking engagements and programs hosted by
UBS that include many of today’s top thought
leaders, such as Presidents Bill Clinton and
George W. Bush, discussing ideas on how to
revitalize the U.S. economy.
Contact:
Lori Feinsilver
Head of Community Affairs
UBS Americas
[email protected]
Marisa Carullo
Program Manager
[email protected]
For more information,
please visit ubs.com/smallbusiness
June 7, 2012— President Bill Clinton and Bob McCann, CEO, UBS Group
Americas, announce the national launch of Elevating Entrepreneurs
at CGI America.
About UBS Wealth Management Americas
UBS Wealth Management Americas provides advice-based relationships through Financial Advisors who deliver a fully integrated set of solutions
specifically designed to address the needs of ultra high net worth, high net worth and core affluent individuals and families. It includes the Wealth
Management U.S. business, the domestic Canadian business and the international business booked in the United States.
About UBS
UBS draws on its 150-year heritage to serve private, institutional and corporate clients worldwide, as well as retail clients in Switzerland. The firm
combines its wealth management, investment banking and asset management businesses with its Swiss operations to deliver superior financial solutions.
“This program has been a
rocket booster
to our success.”
—Julie Azuma, New York
Founder and CEO of Different Roads to Learning
“My mentorship team was just fantastic.
It was a very high-touch relationship that helped me gain
a more holistic view of financing and
how to grow my business.”
—Kenny Lao, New York
Co-founder of Rickshaw Dumpling Bar
“This has been an opportunity to work with industry leaders who know how to
break through the glass ceiling.”
—Marjorie Perry, New Jersey
President of MZM Construction & Management
A coast-to-coast program for America’s small
business owners. In addition to Chicago,
Elevating Entrepreneurs mentors small business
owners in Los Angeles and New York.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, Certified Financial PlannerTM in the U.S. Certified Investment Management AnalystSM is a service mark of the Investment Management
Consultants Association, Inc. in the United States of America and worldwide. Certified Investment Management ConsultantSM is a service mark of the Investment Management Consultants Association, Inc. in the United
States of America and worldwide. CPWA® and Certified Private Wealth Advisor® are registered certification marks of the Investment Management Consultants Association, Inc. in the United States of America and
worldwide. Chartered Retirement Plans SpecialistSM is a service mark and CRPS® is a registered service mark of the College for Financial Planning®. Chartered Retirement Planning CounselorSM is a service mark and CRPC® is
a registered service mark of the College for Financial Planning®. As a firm providing wealth management services to clients in the U.S., we offer both investment advisory programs and brokerage accounts. Advisor services
and brokerage services are separate and distinct, differ in material ways and are governed by different laws and separate contracts. For more information, please visit our website at ubs.com/workingwithus.
Wealth management services in the United States are provided by UBS Financial Services, Inc., a registered broker/dealer offering securities, trading, brokerage and related products and services.
©UBS 2012. The key symbol and UBS are among the registered and unregistered trademarks of UBS. All rights reserved. UBS Financial Services Inc. is a subsidiary of UBS AG. Member SIPC.
UBS Financial Services Inc.
ubs.com/fs
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