Tag: Family
The Healthy Advisor: Resilience, Compassion and Purpose with Kim-Ha Nguyen

The Healthy Advisor: Resilience, Compassion and Purpose with Kim-Ha Nguyen

By |

Born into a prosperous family in Vietnam, Kim-Ha Nguyen’s life changed dramatically when her family fled the country following the fall of Saigon. Arriving in the United States as a teenager with limited English, she watched her parents rebuild their lives through determination, sacrifice and an unwavering commitment to education. Those early experiences shaped the perspective she would carry into every stage of her life.

As she built a career in information technology, raised three children, and later transitioned into financial planning, Kim-Ha faced another defining chapter when her young son was diagnosed with a brain tumor. She learned to approach life’s hardest moments not as obstacles, but as puzzles that required patience, persistence and the willingness to accept help.

In this episode of The Healthy Advisor, host Diana Britton speaks with Kim-Ha Nguyen, senior managing director at U.S. Capital Wealth, about her journey from refugee to financial advisor, the resilience that carried her family through extraordinary challenges, and how compassion became one of the defining qualities of her work.

Kim-Ha discusses:

  • How immigrating to the United States shaped her work ethic, resilience and outlook on opportunity
  • Why her son’s brain tumor changed the way she approaches both life and her relationships with clients
  • How viewing difficult moments as puzzles helped her remain focused during periods of uncertainty
  • Why saving matters more than chasing investment returns    
  • How family, community and professional support helped her through life’s most difficult seasons and strengthened her compassion for others

Resources:

Connect With Kim-Ha Nguyen:

Connect with Wealth Management:

About Our Guest:

Kim-Ha Nguyen brings more than 25 years of experience to her role as Senior Managing Director at U.S. Capital Wealth.  She specializes in advising high-net-worth clients on fee-based investment management and holistic planning, drawing on her extensive expertise to navigate complex wealth decisions and deliver strategies that achieve lasting results.  Known for her disciplined approach and long-term perspective, she has built trusted relationships that span generations. In 2025, her leadership was recognized with a nomination for Advisor of the Year (Regional – Southwest) by the InvestmentNews Excellence Awards.

Before joining U.S. Capital Wealth in 2011, Kim-Ha built a distinguished career at UBS Financial Services, where she served as Vice President of Investments for 12 years. She began her finance career in 1999, following 18 years as an IT Consultant in the Energy sector. A graduate of the University of Houston, she earned her B.S. in Computer Science, Magna Cum Laude

Podcast: Play in new window | Download | Embed

Subscribe: Spotify | iHeartRadio | TuneIn | RSS | More
The Healthy Advisor: A Parkinson’s Diagnosis Prompts an Early Retirement With Lisa Erickson

The Healthy Advisor: A Parkinson’s Diagnosis Prompts an Early Retirement With Lisa Erickson

By |

Lisa Erickson spent 37 years in financial services, ultimately leading the Public Markets Due Diligence team at U.S. Bank, which manages over $500 billion in client assets. In addition to her business acumen, she was best known for her selflessness, positivity and character.

But earlier this year, Lisa chose to retire early after being diagnosed with Parkinson’s disease, a movement disorder of the nervous system. She now enters a new phase of her life, having to deal with this illness.

That wasn’t the first personal hardship she’s faced. In 2020, she lost her husband, Chris, to a sudden and aggressive illness.

In this episode, WealthManagement.com Executive Editor Diana Britton is joined by Lisa Erickson, retired head of the Public Markets Due Diligence team in U.S. Bank’s Wealth Management’s Asset Management Group, who opens up about these personal struggles. These past few years have tested her strength in unimaginable ways, but they’ve also revealed lessons about grief, faith and finding purpose in the face of adversity.

Lisa discusses:

  • Her path into financial services and leadership at U.S. Bank
  • Losing her husband and the grieving process
  • Life adjustments after his passing
  • Receiving her Parkinson’s diagnosis and deciding to retire
  • Coping strategies rooted in faith, gratitude and community
  • The role financial advisors play in helping clients prepare for the unexpected

Resources:

Connect with WealthManagement.com:

Connect With Lisa Erickson:

About Our Guest:

Lisa Erickson is a seasoned financial professional who recently retired as Head of the Public Markets Due Diligence Team at U.S. Bank’s Wealth Management group, where she helped manage over $500 billion in assets. Beyond her successful career, she’s faced profound personal challenges, including the sudden loss of her husband and her own Parkinson’s diagnosis. Through it all, Lisa remains committed to living with gratitude, faith, and resilience, inspiring others with her courage and openness.

If you have a struggle and wish to share your experiences and help others in similar situations, please reach out to Diana at diana.britton@informa.com.

Podcast: Play in new window | Download | Embed

Subscribe: Spotify | iHeartRadio | TuneIn | RSS | More