KEITH APTON

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.

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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.

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