Keith has over 21 years of experience in the financial services industry, with an extensive background in corporate finance. As the founding partner of The Capital ESOP Group at UBS, Keith heads the team’s private wealth practice, in which he works to determine client needs and match them with the proper resources of UBS, a leading global bank. Keith focuses on solutions encompassing asset allocation, wealth and liability management, and tax and estate planning in order to create tailored financial plans for his clients. Prior to joining UBS in 2009, Keith was a financial advisor at Morgan Stanley, where he was an integral member of the team handling all of the firm’s ESOP transactions. Keith’s process entails a disciplined approach to help small- to middle-market business owners with sell-side advisory solutions and post-sale financial planning to include holistic wealth management and tax and estate planning strategies. Keith is an author and nationally recognized leader on ESOPs and Internal Revenue Code §1042 rollovers.
In 2014, Keith was given the prestigious opportunity to sit on the UBS Capital Markets Advisory Committee. More recently, he became a Managing Director and member of the UBS Pinnacle Council, which consists of the top 2% of advisors nationally at UBS. As an active member in the ESOP community, Keith’s total participation in ESOP transactions has exceeded $2.5 billion in transaction value across various sectors and industries.
Keith is a member of both the National Center for Employee Ownership and the finance committee for the ESOP Association. He coauthored the book Selling Your Business to an ESOP, now in its ninth edition. After becoming a Certified Exit Planning Advisor® (CEPA®) in 2018, he was asked to teach and became an instructor for the Exit Planning Institute. Additionally, Keith frequently speaks at national conferences on topics including ESOPs, §1042 rollovers and business succession planning.