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UBS Institutional Consulting
UBS Institutional Consulting Group provides full service institutional consulting services within UBS Financial Services Inc.
and serves over 700 institutional investors with approximately $53 billion in assets under advisement.*
UBS Institutional Consulting Group UBS Institutional Consulting Process
has delivered specialized,
comprehensive investment consulting
services to institutional clients • Assess Current Investment Asset • Asset Allocation
since 1984. Our clients include Situation Policy Planning Allocation Analysis
corporations, private and public • Risk/Reward Profile Assistance Modeling • Overall Portfolio
• Assistance with Design
retirement plans, Taft-Hartley plans,
Development and
municipalities, foundations and Review
endowments.
Institutional
Consulting
UBS Institutional Consultants are Clients
required to satisfy academic and
• Portfolio and • Investment Manager
professional requirements before they Manager Reviews Search, Evaluation
can provide institutional consulting • Portfolio Rebalancing and Recommendation
services. Our national institutional • Develop Further Ongoing • Strategy Integration
practice consists of approximately 130 Action Plans Consulting and • Cost Analysis
• Committee Education Performance Manager and
consultants around the country.*
Measurement Fund Search
Our Consulting Services Our Practice Partial Client List
• Investment Policy Assistance We combine the advantages of an • American Baptist Homes of the West
• Spending Policy Assistance attentive and accessible “boutique” • Blue Cross Blue Shield of Arizona
• Asset Allocation Analysis structure with the vast resources and • California State University, East Bay
• Investment Manager Search, depth of a leading global financial (formerly Hayward)
Evaluation and Recommendation services firm. • Community Foundation of Santa
• Portfolio Construction Cruz County
• Investment Manager Our practice limits the number • Eden Foundation
Performance Evaluation of clients we serve and places • Good Shepherd Fund
• Committee Education an emphasis on customization. • Pajaro Valley Community Health Trust
• Trustee Search/Custodial Search By maintaining a low client-to- • San Francisco State University
• Qualified Plan Consulting consultant ratio, we are able to • San Luis Obispo Community
provide the high level of service Foundation
Strengths of the Firm critical to a successful investment
UBS is one of the world’s leading program.
financial firms, serving a discerning
Our Mission
global client base in over 50 countries Our focus is to provide clients with
Our commitment is to combine
worldwide. As an integrated firm, comprehensive consulting services. Each
our experience, knowledge and
UBS creates added value for clients recommendation is customized based
energy with the global resources
by drawing on the combined resources solely on the needs of the client.
of UBS to provide proactive advice
of over 65,000 employees worldwide
and customized solutions to help
and the expertise of all our businesses. We have built enduring client
our clients pursue their long-term
relationships by taking the time to
investment objectives.
understand each client’s investment
program and specific objectives, tailoring
solutions to pursue those goals, and
providing a high level of client service.
For Institutional Use Only
*As of 12/31/10.

2. We are a leading San Francisco bay area Institutional Consulting team consisting of two senior consultants and four additional
investment professionals, with a combined total of 60 years industry experience. The focus of our team’s $1.7 billion practice
is working with boards of 27 non-profit organizations, foundations and endowments in the areas of portfolio design and
implementation, creating prudent investment policies, and fiduciary liability review. Brian and Kevin are also experienced in a broad
range of comprehensive wealth management strategies for affluent families, including developing customized investment policies,
conducting manager search and due diligence, and comprehensive portfolio performance monitoring.
Brian J. Sharpes, CIMA® Kevin M. Sánchez, CIMA®, CFP®
Senior Vice President–Investments Vice President–Investments
Institutional Consultant Institutional Consultant
• In Financial Industry since 1994 • In Financial Industry since 1994
• Advisory Council to UBS Institutional • National Conference Chairman – Investment
Consulting Management Consulting Association (IMCA)
• Member, Social Investment Forum • Currently part of the “Top Wealth Advisors
• Currently ranked as #18 on the “Top 40 in the Greater Bay Area” list in San Francisco
Advisors under 40” list in the U.S. by On Business Times (selected by NABCAP)
Wall Street • Member, UBS Americas - Community Affairs
• Currently ranked as #39 on Barron’s Advisory Committee
“Top 1000 Advisors” list • CIMA®, Certified Investment Management
• Currently part of the “Top Wealth Analyst, Wharton School of Finance
Advisors in the Greater Bay Area” list in • CFP®, Certified Financial Planner, College for
San Francisco Business Times (selected Financial Planning
by NABCAP) • AIF®, Accredited Investment Fiduciary
• CIMA®, Certified Investment designation
Management Analyst, Wharton School • Board, Diablo Regional Arts Association
of Finance • Board, N. California Region, University of
• AIF®, Accredited Investment Fiduciary Oregon Alumni Association
designation • M.B.A, B.A., University of Oregon
• Member of Board of Trustees, Seven
Hills School
• B.A., University of Nevada
Justin Crocker George Lee
Team Administrator Investment Associate
• In Financial Industry since 1999 • In Financial Industry since 1991
• B.A. in Finance, California State • B.S., Boston University
University at Chico • M.S., Golden Gate University
• Series 7 and 66 Licensed • Series 7 and 66 Licensed
Janell Shelton Allison Stong
Client Service Associate Client Service Associate
• In Financial Industry since 2006 • 9 years of Financial Industry experience
• Former Wells Fargo business banking • B.A., University of California at Berkeley
specialist
Vessela Pavlova
Intern
• Currently attending St. Mary’s College
• Accounting Major
UBS Financial Services Inc.
2185 North California Boulevard, Suite 400
Walnut Creek, CA 94596
800-433-7992
925-746-0281 fax
ubs.com/team/goldengatewm
Important information about Advisory & Brokerage Services It is important that you understand the ways in which UBS Financial Services Inc. (UBS) conducts business
and the applicable laws and regulations that govern the firm. As a firm providing wealth management services to clients in the U.S., UBS is registered with the U.S. Securities
and Exchange Commission (SEC) as an investment adviser and a broker-dealer, offering both investment advisory and brokerage services. Though there are similarities among
these services, the investment advisory programs and brokerage accounts UBS offers are separate and distinct, differ in material ways and are governed by different laws and
separate contracts. It is important that you carefully read the agreements and disclosures UBS provides to you about the products or services offered. While UBS strives to
ensure that these materials clearly describe the nature of the services provided, please do not hesitate to contact your Financial Advisor team, if you would like clarification
on the nature of your accounts or services you receive from us. For more information, please visit our web site at ubs.com/workingwithus. UBS Institutional Consulting
Services are advisory services. Clients should read the ADV Disclosure Document applicable to UBS Institutional Consulting carefully before entering into a Consulting Services
Agreement with UBS Institutional Consulting. CIMA® is a registered certification mark of the Investment Management Consultants Association, Inc. in the United States of
America and worldwide. UBS Financial Services Inc. is a subsidiary of UBS AG. ©2011 UBS Financial Services Inc. All rights reserved. Member SIPC. INST_BIO(IC) KW0419_ShaB
For Institutional Use Only