Next-Gen + Best-in-State · rank 5 · Washington, District of Columbia · listed firm: UBS Private Wealth Management
Identity & firm
- Firm — UBS Private Wealth Management — The Capital ESOP Group (high)
- “"firmName": "UBS FINANCIAL SERVICES INC."” — sec_finra_regulatory
- “Nick Francia, CEPA Managing Director–Wealth Management Private Wealth Advisor” — firm_official
- Parent company — UBS Group AG (high)
- “"firmName": "UBS FINANCIAL SERVICES INC.", "iaOnly": "N", "registrationBeginDate": "7/22/2011"” — sec_finra_regulatory
- Firm type — wirehouse (high)
- “"firmName": "UBS FINANCIAL SERVICES INC.", "iaSECNumber": "7163", "iaSECNumberType": "801", "bdSECNumber": "16267"” — sec_finra_regulatory
- Team name — The Capital ESOP Group (high)
- “As a partner of The Capital ESOP Group, Nick focuses on educating business owners on tax-efficient exit strategies.” — firm_official
- Team size — 14 (medium)
- “Keith Apton, CEPA Managing Director–Wealth Management Private Wealth Advisor” — firm_official
- CRD — 5796085 (high)
- “"individualId": 5796085, "firstName": "NICHOLAS", "lastName": "FRANCIA", "otherNames": ["Nick Francia", "FRANCIA NICK"]” — sec_finra_regulatory
- Years experience — 15 (high)
- “"daysInIndustryCalculatedDate": "7/21/2011"” — sec_finra_regulatory
- Designations — other:CEPA (high)
- “Credentials Private Wealth Advisor Certified Exit Planning Advisor” — firm_official
Book of business
- Team AUM ($M) — 5200 (high)
- “"teamAssets":"$5.2B"” — forbes_shook
- Account minimum ($M) — 5 (high)
- “"Minimum account size for new business":"$5M"” — forbes_shook
- Typical client net worth ($M) — 45 (high)
- “"Typical Net Worth of Relationships":"$15-75M"” — forbes_shook
- Client niche — privately held business owners exiting via ESOP / §1042 rollover (high)
- ““For the right owner, an ESOP is a powerful, flexible, tax-efficient way to sell all or a portion of your privately held business.”— Nick Francia, Managing Director–Wealth Management” — firm_official
- “Nick also creates tailored cash flow analyses comparing the taxable sale of privately held businesses and a tax-deferred sale to an ESOP under § 1042 of the Internal Revenue Code.” — firm_official
- Custodians — gap: not_applicable
- Fee model — fee_plus_commission (medium)
- “"firmName": "UBS FINANCIAL SERVICES INC.", "iaOnly": "N", "registrationBeginDate": "7/22/2011"” — sec_finra_regulatory
Positioning & marketing
- Website url — https://advisors.ubs.com/capitalesopgroup/ (high)
- “Wealth management - The Capital ESOP Group - Washington | UBS The Capital ESOP Group View FINRA BrokerCheck information” — firm_official
- Value proposition (verbatim) — Unlocking the value of your business ... For the right owner, an ESOP is a powerful, flexible, tax-efficient way to sell all or a portion of your privately held business. (high)
- “Unlocking the value of your business Private Wealth Management Unlocking the Benefits of ESOPs for Business Succession and Tax Planning” — firm_official
- “Why consider an ESOP? “For the right owner, an ESOP is a powerful, flexible, tax-efficient way to sell all or a portion of your privately held business.”— Nick Francia, Managing Director–Wealth Management” — firm_official
- Differentiators — ESOP-exclusive practice supporting UBS ESOP business nationally, $5.7B enterprise value created across 400 ESOP transactions, Custom cash-flow analyses comparing taxable sale vs. §1042 tax-deferred ESOP sale, 145 collective years of team experience, Post-transaction services: repurchase liability, ESOP escrow, NQDC/management incentive plans (high)
- “The proof is in our numbers $5.7 Billion Enterprise value created As of 06/12/2025 145 Collective years of experience 400 ESOP transactions” — firm_official
- “We offer additional services for ESOP-owned companies Leveraging the depth and resources of UBS, we can help you manage your repurchase liability, administer your ESOP escrow accounts and help you analyze and implement t” — firm_official
- Content marketing — active (medium)
- “How to defer or eliminate capital gains tax on the sale of your business By selling your business to an ESOP, you can create a tax-efficient ownership transition that rewards employees, preserves your company's legacy, a” — firm_official
- “August 26 2026 August 26-28: The Capital ESOP Group in Phoenix, AZ Date. August 26 2026 Phoenix, AZ” — firm_official
- Has podcast — no (medium)
- “Wealth Planning Podcast: Selling a Business to an ESOP” — professional_press
- Books published — 0 (medium)
- “He coauthored the book Selling Your Business to an ESOP, now” — firm_official
- Linkedin url — https://www.linkedin.com/in/nick-francia-48657432 (high)
- Social presence — linkedin_active (medium)
- Press awards — Barron's Top 1,500 Financial Advisors, 2026, Barron's Top 250 Private Wealth Management Teams, 2024, 2025, Barron's Top 1,200 Financial Advisors, 2021-2025, Financial Planning Top 40 Financial Advisors Under 40, 2021, 2022, 2024, 2025, 2026, UBS Wealth Management Pinnacle Council (high)
- “Nick Francia, CEPA Recognized as an industry leader: Barron’s Top 250 Private Wealth Management Teams, 2024, 2025” — firm_official
- “Barron's Top 1,500 Financial Advisors, 2026 The Barron's rating is awarded annually in March based on information from the prior year Q3. Financial Planning Top 40 Financial Advisors Under 40, 2021, 2022, 2024, 2025, 202” — firm_official
Visual brand
- Has distinct logo — no (high)
- “src="mediahandler/media/321450/UBS_Logo_Semibold.svg"” — firm_official
- Logo url — https://advisors.ubs.com/capitalesopgroup/mediahandler/media/321450/UBS_Logo_Semibold.svg (high)
- “src="mediahandler/media/321450/UBS_Logo_Semibold.svg"” — firm_official
- Visual brand notes — UBS corporate template: white ground, black keys-and-three-keys mark, red accent icons (Money-red.svg, Mountain_peak-red.svg), clean sans-serif, color headshots at uniform 289x273 crop plus conference/event photography. (high)
- “src="mediahandler/media/453444/Money-red.svg"” — firm_official
