The FT Top Financial Advisers
Transcript of The FT Top Financial Advisers
*High net worth (clients with $1m–$10m in investable assets), **Ultra high net worth (clients with $10m or more in investable assets)
Nam
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Com
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City
Reta
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HN
W*
Ult
ra-H
NW
**
Inst
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ALABAMA
Ameriprise Financial Birmingham
ARIZONA
Bancroft, Robert J. Morgan Stanley Private Wealth Management Scottsdale
Harnden, Stephen P. Ameriprise Financial Peoria
Tocco, Judith A. Tocco Financial Services / LPL Financial Tucson
CALIFORNIA
Abrams, Michael L. Wells Fargo Advisors Palo Alto
Morgan Stanley Wealth Management Westlake Village
Arbogast, Peter V. Merrill Lynch – Private Banking & Investment Group San Francisco
Blanchfield, Tom Merrill Lynch – Private Banking & Investment Group Newport Beach
Bubb, Kerrick W. KWB Wealth Managers Group / LPL Financial Redlands
Burbank, Mike Morgan Stanley Private Wealth Management San Francisco
Chiate, Craig S. UBS Financial Services Los Angeles
Choi, Horacio A. Wells Fargo Advisors Irvine
Corradini, Drew J.P. Morgan Securities San Francisco
Curtis, Mark T. Graystone Consulting Palo Alto
daRoza, Tony Merrill Lynch – Private Banking & Investment Group San Francisco
Fagersten, Marcus C. UBS Financial Services San Francisco
Genovese, Michael T. Genovese Burford & Brothers Sacramento
Gluck, Tracey J.P. Morgan Securities Los Angeles
Goldstein, Adam S. Ameriprise Financial Calabasas
Griepp, Troy Morgan Stanley Private Wealth Management San Francisco
Guimarin, Alma Morgan Stanley Wealth Management San Jose
Hafeli, Scott Morgan Stanley Private Wealth Management San Francisco
Hogan, Richard Merrill Lynch – Private Banking & Investment Group San Francisco
Jones, Richard B. Merrill Lynch – Private Banking & Investment Group Los Angeles
Jorgensen, Debbie Merrill Lynch Wealth Management San Francisco
Kelly, Inna Morgan Stanley Wealth Management San Francisco
Lee, Grant Morgan Stanley Private Wealth Management San Francisco
Malone III, Francis X. Morgan Stanley Private Wealth Management Los Angeles
McClellan, Ryan A. UBS Financial Services Los Angeles
McDonald, Karen Morgan Stanley Wealth Management Palo Alto
Milia, John Wells Fargo Advisors Irvine
Morgan, Mark S. Morgan Stanley Wealth Management Folsom
Munster, Bruce Merrill Lynch – Private Banking & Investment Group Los Angeles
Neuhaus, Jon Morgan Stanley Private Wealth Management Los Angeles
Onken, Greg J.P. Morgan Securities San Francisco
Osborne, Dan R. Merrill Lynch Wealth Management San Francisco
Papadoyannis, George Ameriprise Financial San Mateo
Morgan Stanley Private Wealth Management San Diego
Piepenkotter, Monica M. Merrill Lynch – Private Banking & Investment Group La Jolla
Reid, Gail D. Ameriprise Financial Glendale
Reilly, Sean M. Merrill Lynch Wealth Management San Francisco
Schulten, Mark The Schulten Group of Wells Fargo Advisors Long Beach
Schwarz, Donald L. RBC Wealth Management Beverly Hills
Shadden, John Morgan Stanley Private Wealth Management Long Beach
Smit, Bernard L. Walnut Creek Wealth Management / Cetera Advisor Networks Walnut Creek
Smith, Lawrence E. UBS Financial Services Brea
Morgan Stanley Private Wealth Management Menlo Park
Vaughan, Gregory V. Morgan Stanley Private Wealth Management Menlo Park
Wacker, Roger UBS Financial Services Los Angeles
Walsh, Daniel T. Merrill Lynch Wealth Management Menlo Park
Walters, Philip S. Wells Fargo Advisors Beverly Hills
Waxman, Scott Morgan Stanley Private Wealth Management San Francisco
Whitman, Alan B. Morgan Stanley Wealth Management Pasadena
Wolfslau, Karl W. Morgan Stanley Wealth Management Long Beach
Wong, Benjamin W. Viewpoint Financial Network Pleasanton
Young, Cheryl L. Morgan Stanley Wealth Management Los Gatos
Yu, Gillian Morgan Stanley Private Wealth Management San Francisco
Yu, Sean Morgan Stanley Private Wealth Management Pasadena
Zafari, Reza Merrill Lynch – Private Banking & Investment Group Los Angeles
Zanolli, Greg Wells Fargo Advisors Roseville
COLORADO
Brown, Mark R. Brown & Tedstrom, Inc. / LPL Financial Denver
Sparks, Scott G. Sparks Financial | Northwestern Mutual Wealth Mgmt. Co. Denver
CONNECTICUT
Anger, Nicholas RBC Wealth Management Stamford
Cerniglia, Jason Ameriprise Financial Mystic
Chieco, Peter Morgan Stanley Wealth Management Greenwich
Daoud, Nancy S. Ameriprise Financial Oxford
Dolgins, Ivan Merrill Lynch Wealth Management Stamford
Goodwin, Richard T. Merrill Lynch Wealth Management Madison
Gourd, William C. UBS Financial Services Stamford
Jacobsen, Teresa A. UBS Financial Services Stamford
Jones, Mark R. Ameriprise Financial Middlebury
Koeckert, Dodd N. RBC Wealth Management Stamford
Mantione, Thomas UBS Financial Services Stamford
Noble III, Charles J. Janney Montgomery Scott LLC New Haven
Vacheron, Thomas E. Merrill Lynch Wealth Management Fairfield
Wunder, Matthew S. Wunder Financial | Northwestern Mutual Wealth Mgmt. Co. Westport
DELAWARE
Orth, Kimberlee M. Ameriprise Financial Wilmington
DISTRICT OF COLUMBIA
Apton, Keith UBS Financial Services Washington
Carter, Murray Janney Montgomery Scott LLC Washington
UBS Financial Services Washington
FLORIDA
Barcena, Ignacio A. Wells Fargo Advisors Miami
Bober, Michael UBS Financial Services Boca Raton
Boyce, Hank UBS Financial Services Aventura
Bunge, Marcos G. Wells Fargo Advisors Miami
DeLappe, John M. Alex. Brown / Raymond James Miami
Dwyer, Patrick J. Merrill Lynch – Private Banking & Investment Group Miami
Economacos, Pierre Alex. Brown / Raymond James Miami
Edwards, Robert T. Wells Fargo Advisors Naples
Esses, Tony Wells Fargo Advisors Miami
Hoyt, William B. Raymond James St. Petersburg
Merriam III, William H. Merrill Lynch Wealth Management Jacksonville
Moran, Thomas Wells Fargo Advisors Naples
Pollock, Gregory Merrill Lynch Wealth Management Rockledge
Silver, Michael J. Baron Silver Stevens Financial Advisors, LLC Boca Raton
Simmons, Keith F. Merrill Lynch Wealth Management Miami
Starner, Margaret C. Raymond James Coral Gables
Sylvia, Kurt F. J.P. Morgan Securities Palm Beach Gardens
Thompson, Mark G. Raymond James Melbourne
Valdes, Michael J. Merrill Lynch – Private Banking & Investment Group Tampa
Ventrice, Ed UBS Financial Services Boca Raton
Wood, Paul S. Raymond James Orlando
GEORGIA
Hansberger, James C. Morgan Stanley Private Wealth Management Atlanta
Harbour, Andrew Graystone Consulting Atlanta
Jenkins, Brian G. J.P. Morgan Securities Atlanta
Lauer, Leslie A. UBS Financial Services Atlanta
Mericka, Keith A. UBS Financial Services Atlanta
Price, Vandyke G. UBS Financial Services Atlanta
Westmoreland, Rod Merrill Lynch – Private Banking & Investment Group Atlanta
Wiley, Buck Merrill Lynch – Private Banking & Investment Group Atlanta
ILLINOIS
Cutilletta, Patricia G. Morgan Stanley Wealth Management Chicago
Desai, Ajay UBS Financial Services Chicago
Garrity, Christopher Merrill Lynch Wealth Management Northbrook
Morgan Stanley Wealth Management Chicago
Hammond III, John L. Merrill Lynch Wealth Management Northbrook
Held, Richard M. UBS Financial Services Chicago
Lee, Bruce K. Merrill Lynch – Private Banking & Investment Group Chicago
Leshem, Benjamin Wells Fargo Advisors Highland Park
Lynch, Kevin R. Morgan Stanley Private Wealth Management Chicago
Magnesen, Scott K. Morgan Stanley Wealth Management Oak Brook
Maltby, Jay UBS Financial Services Chicago
Meyer, Douglas L. Wells Fargo Advisors Deerfield
Oberlander, Sharon Merrill Lynch Wealth Management Chicago
Sakach, Michael Graystone Consulting Chicago
Schuster, Scott Dashboard Wealth Advisors / Raymond James Oak Brook
Spahn, Kevin M. Spahn Financial | Northwestern Mutual Wealth Mgmt. Co. Lombard
Stevenson, Jr., John G. Wells Fargo Advisors Quincy
Watson, Philip J. Ameriprise Financial Downers Grove
White, Brett D. Ameriprise Financial Oakbrook Terrace
INDIANA
Cooke, Brian F. Cooke Financial Group at Noyes Indianapolis
Cooke, Christopher Cooke Financial Group at Noyes Indianapolis
Gregor, Martin Merrill Lynch – Private Banking & Investment Group Indianapolis
Moore, Christopher P. Ameriprise Financial Fort Wayne
Payne, Eric Merrill Lynch Wealth Management Indianapolis
Perkins, Ryan N. Ameriprise Financial Fort Wayne
Schutz, John L. Hilliard Lyons Evansville
Stscherban, Paul Baird Mishawaka
IOWA
Ameriprise Financial Fort Dodge
Swanson, Keith K. Morgan Stanley Private Wealth Management West Des Moines
KANSAS
Barry, Don Baird Wichita
Ewing, Paul W. Prosperity Advisory Group / Cetera Advisors Overland Park
Ferguson, Scott Morgan Stanley Wealth Management Leawood
KENTUCKY
Perrone, Thomas Morgan Stanley Wealth Management Louisville
LOUISIANA
Eustis, Curtis D. Merrill Lynch Wealth Management New Orleans
Frayard, Rick UBS Financial Services Lafayette
Spiro, James M. Morgan Stanley Wealth Management New Orleans
MARYLAND
Baker, Gregory Merrill Lynch Wealth Management Bethesda
Baum, Patricia P. RBC Wealth Management Annapolis
Etergino, Ann Marie RBC Wealth Management Chevy Chase
Giulieri, David L. Morgan Stanley Wealth Management Bethesda
Goldstein, Stephen M. Janney Montgomery Scott LLC Baltimore
Jackson, Margaret M. RBC Wealth Management Annapolis
Keetley, Richard A. Janney Montgomery Scott LLC Baltimore
Lee, Thomas P. Lee, Sipe and Associates / Raymond James Rockville
Murray, Jonathan P. UBS Financial Services Hunt Valley
Pearce, Kent V. Merrill Lynch Wealth Management Towson
SPC Financial, Inc. / Raymond James Rockville
MASSACHUSETTS
Bartholomew, Thomas J. Bartholomew & Company, Inc. Worcester
Brede, Debra K. D.K. Brede Investment Management Co., Inc. Needham
Fucigna, James Morgan Stanley Wealth Management Boston
Gage, Douglas Ameriprise Financial Auburndale
Javaheri, David R. Morgan Stanley Wealth Management Wellesley
Joyce, Mark S. Merrill Lynch Wealth Management Boston
Lechner IV, John Morgan Stanley Private Wealth Management Boston
Levsky, Adrian UBS Financial Services Springfield
McCauley, Paul J. Merrill Lynch – Private Banking & Investment Group Boston
McGuirk, Gary L. Merrill Lynch – Private Banking & Investment Group Boston
Miller, Richard R. Ameriprise Financial Wellesley
Mullin, Mary B. Merrill Lynch Wealth Management Boston
Noonan, Peter C. J.P. Morgan Securities Boston
Princi, Peter Graystone Consulting Boston
Sharma, Raj Merrill Lynch – Private Banking & Investment Group Boston
Sugar, Alex RBC Wealth Management Boston
Wilson, Daniel T. Ameriprise Financial Auburndale
MICHIGAN
Ferhadson, Kevin T. Ameriprise Financial Troy
Grace, Jamie The Grace Group of Wells Fargo Advisors Jackson
Long, Timothy J. Merrill Lynch Wealth Management Grand Rapids
Migliazzo, Frank Merrill Lynch – Private Banking & Investment Group Troy
Rosloniec, Michael Graystone Consulting Grand Rapids
Vigi, Jon UBS Financial Services Birmingham
Wyman, Timothy W. Center for Financial Planning, Inc. / Raymond James Southfield
MINNESOTA
Baune, Brad Baune Financial | Northwestern Mutual Wealth Mgmt. Co. Mendota Heights
Close, Louis D. UBS Financial Services Minneapolis
Ameriprise Financial St. Louis Park
Eckerline, Peter Merrill Lynch Wealth Management Wayzata
Ehleringer, Randall D. Ameriprise Financial Rochester
Endersbe, Thomas A. Signature Wealth Management Duluth
Howe, Aaron M. RBC Wealth Management Wayzata
Major, Charles L. UBS Financial Services Minneapolis
Metcalf, Robert S. UBS Financial Services Minneapolis
Neuman, Rhett P. RBC Wealth Management Stillwater
Slaggie, Michael Slaggie Capital Group / Raymond James Winona
MISSISSIPPI
Minor, Douglas M. Raymond James Jackson
Mosby, Bill (Rush) UBS Financial Services Jackson
MISSOURI
Burke, Thomas Ameriprise Financial Chesterfield
Millner, Robert Morgan Stanley Wealth Management Clayton
Murray, Seth C. Ameriprise Financial Springfield
Underwood, Scott P. Socium Advisors | Northwestern Mutual Wealth Mgmt. Co. St. Louis
NEBRASKA
Harrison, Tim Harrison Financial Services | Northwestern Mutual Wealth Mgmt. Co. Omaha
Jacobitz, Andy J. RBC Wealth Management Omaha
Robinson, Andrew Morgan Stanley Wealth Management Omaha
NEVADA
Ameriprise Financial Henderson
NEW JERSEY
Andreach, Christopher M. RBC Wealth Management Red Bank
Burke, John B. Burke Financial / Raymond James Iselin
Deatherage, Mary M. Morgan Stanley Private Wealth Management Little Falls
Durso, Lawrence Morgan Stanley Wealth Management Red Bank
Fendrick, Mark UBS Financial Services Mt. Laurel
Kugel, Elliott Merrill Lynch Wealth Management Bridgewater
Maltese, James Merrill Lynch Wealth Management Iselin
Matina, Joseph UBS Financial Services Short Hills
McGinley, Christine UBS Financial Services Mt. Laurel
McLaughlin, James M. Princeton Wealth Advisors of Raymond James Princeton
McPeak, Neil P. McPeak Wealth Management Group of Wells Fargo Advisors Linwood
Ricca, Michael J. Morgan Stanley Wealth Management Florham Park
Riley, Jack R. UBS Financial Services Warren
Schwartz, Andy M. Bleakley Financial Group / LPL Financial Fairfield
Stern, Michael S. Wells Fargo Advisors Vineland
Udine, Richard D. Morgan Stanley Wealth Management Mt. Laurel
Weinerman, David S. Morgan Stanley Wealth Management Florham Park
NEW YORK
Bakshi, Vishal Merrill Lynch – Private Banking & Investment Group New York
Barrett, John C. Merrill Lynch Wealth Management New York
Beyer, David Morgan Stanley Wealth Management New York
Bickler, Eric A. UBS Financial Services White Plains
Bieber, David Morgan Stanley Private Wealth Management New York
Bodner, Eric S. Merrill Lynch – Private Banking & Investment Group New York
Borowsky, Peter N. UBS Financial Services New York
UBS Financial Services New York
Merrill Lynch – Private Banking & Investment Group New York
Burrows, Bruce A. Morgan Stanley Wealth Management Garden City
Canell, Jay J.P. Morgan Securities New York
Canell, Neil J.P. Morgan Securities New York
Cannataro, Louis S. Cannataro Park Avenue Financial | Northwestern Mutual Wealth Mgmt. Co. New York
Carter, Kenneth W. Wells Fargo Advisors New City
Chrys, Michael C. Merrill Lynch Wealth Management Latham
Cohen, Leigh Merrill Lynch – Private Banking & Investment Group New York
Cohen, Robert D. UBS Financial Services Garden City
Coyle III, John F. Morgan Stanley Private Wealth Management Garden City
Cuneo, Paul L. Merrill Lynch Wealth Management Great Neck
Detterick, Jim Graystone Consulting New York
DiScala, Todd Merrill Lynch Wealth Management New York
Dyer, Robert C. Merrill Lynch – Private Banking & Investment Group New York
Epstein, Adam F. UBS Financial Services New York
Ferreira, Artur UBS Financial Services New York
Gero, George RBC Wealth Management New York
Gully, Joshua P. Morgan Stanley Private Wealth Management New York
Halbfinger, Martin L. UBS Financial Services New York
Hart, Andrew Morgan Stanley Private Wealth Management New York
Karetsky, Marc Morgan Stanley Private Wealth Management New York
Kass, Jonathan Merrill Lynch Wealth Management New York
Katz, Jason M. UBS Financial Services New York
Kavallieratos, Nick Morgan Stanley Wealth Management New York
Kelton, Richard W. The Kelton Financial Group | Northwestern Mutual Wealth Mgmt. Co. Latham
UBS Financial Services New York
Kokubo, Sergio S. UBS Financial Services New York
Kolev, Bobby Morgan Stanley Wealth Management New York
Kraus, Andrew P. Merrill Lynch – Private Banking & Investment Group New York
Kuttin, Jonathan Ameriprise Financial Melville
Liebers, Lawrence C. Merrill Lynch Wealth Management New York
Malkin, Joshua D. Morgan Stanley Private Wealth Management New York
McGinty, Robert J. Merrill Lynch – Private Banking & Investment Group New York
Mellert, Douglas M. Merrill Lynch Wealth Management New York
Millman, Ira M. Morgan Stanley Wealth Management New York
Mitchell, Neil S. Morgan Stanley Private Wealth Management New York
Montaperto, Deborah D. Morgan Stanley Private Wealth Management New York
Myers, Jonathon L. Ameriprise Financial Vestal
Newman, William J. Northwestern Mutual Wealth Mgmt. Co. Albany
O’Connell, Daniel T. Merrill Lynch Wealth Management Garden City
Papandrea, Rocco Merrill Lynch Wealth Management New York
Pell, Geri E. Ameriprise Financial Rye Brook
Perkins, Howard Morgan Stanley Wealth Management Purchase
Peters, Kevin M. Morgan Stanley Wealth Management Purchase
Poppo, Michael F. UBS Financial Services New York
Rabito, Russell A. UBS Financial Services New York
Reali, Renato J. UBS Financial Services New York
Rosenthal, Peter W. UBS Financial Services Jericho
Saunders, Allen UBS Financial Services New York
Sax, Ben Merrill Lynch – Private Banking & Investment Group New York
UBS Financial Services Rochester
Schubach, Clark J.P. Morgan Securities New York
Schwartz, Daniel UBS Financial Services New York
Serure, Theodore J.P. Morgan Securities New York
Stackman, Scott UBS Financial Services New York
Sukhin, Andrew G. Morgan Stanley Wealth Management New York
Sullivan, Thomas E. Merrill Lynch Wealth Management Garden City
Temel, Charles S. UBS Financial Services New York
Tennant, Steven A. Tennant Financial | Northwestern Mutual Wealth Mgmt. Co. Ballston Lake
Trikha, Umesh K. Merrill Lynch Wealth Management New York
Waldele, Robert J. Merrill Lynch Wealth Management New York
Weil, Noel Merrill Lynch – Private Banking & Investment Group New York
Morgan Stanley Wealth Management New York
Zeller, Mark UBS Financial Services New York
Zipper, Adam J. J.P. Morgan Securities New York
NORTH CAROLINA
Cash, Gregory M. Merrill Lynch – Private Banking & Investment Group Charlotte
Graves, Kelly Carroll Financial / Cetera Advisor Networks Charlotte
Hoge, Brett W. BB&T Scott & Stringfellow Winston-Salem
Rakestraw, David W. BB&T Scott & Stringfellow Raleigh
Wickham, R. Mitchell Merrill Lynch – Private Banking & Investment Group Charlotte
NORTH DAKOTA
Melvie, Loren D. Ameriprise Financial Bismarck
OHIO
Carbetta, Paul C. Ameriprise Financial Worthington
Carver, Randy Carver Financial Services / Raymond James Mentor
Chornyak, Jr., Joseph A. Chornyak & Associates, Ltd. Columbus
Chornyak, Sr., Joseph A. Chornyak & Associates, Ltd. Columbus
Ellis III, David W. UBS Financial Services Cincinnati
Fish, Stephen J. UBS Financial Services Cincinnati
Holwadel, David K. Raymond James Cincinnati
Mauk, Robert A. Chornyak & Associates, Ltd. Columbus
Motta, Peter F. Merrill Lynch – Private Banking & Investment Group Columbus
Musser, Joseph M. Ameriprise Financial Canton
NCA Financial Planners Cleveland
Shendure, Ashok S. BDS Financial Network Solon
Shendure, Rajanee A. BDS Financial Network Solon
Singer, David L. Merrill Lynch – Private Banking & Investment Group Cincinnati
Torbeck, Daniel L. UBS Financial Services Cincinnati
OKLAHOMA
Brock, Brandt T. Ameriprise Financial Tulsa
OREGON
Gall, J. Charles RBC Wealth Management Portland
Kilkenny Hale, Kelly RBC Wealth Management Portland
PENNSYLVANIA
Brennan, Patricia C. Key Financial, Inc. West Chester
Jugan, AJ Ameriprise Financial Pittsburgh
Kron, David J. Kron & Polis Financial Group of Wells Fargo Advisors Philadelphia
Parker, Sr., John J. Wells Fargo Advisors Philadelphia
Petredis, Charles J. Petredis Investment Advisors of Wells Fargo Advisors Sewickley
Rimmel, James W. UBS Financial Services Pittsburgh
Rohr, Peter A. Merrill Lynch – Private Banking & Investment Group Philadelphia
Salmansohn, Eric Morgan Stanley Wealth Management Philadelphia
Sargent, Peter H. Janney Montgomery Scott LLC Yardley
Spanos, Samuel W. Raymond James Beaver
Wilding, James Confluence Financial Partners / Raymond James Pittsburgh
SOUTH CAROLINA
Vingi, Jr., Robert E. Wells Fargo Advisors Charleston
SOUTH DAKOTA
Hillard, David T. RBC Wealth Management Rapid City
Nelson, Todd Merrill Lynch Wealth Management Sioux Falls
Quello, Nathan S. Loft Advisors / Raymond James Sioux Falls
Wollman, Gordon Cornerstone Financial Solutions, Inc. / Raymond James Huron
TENNESSEE
Mayer, Ward Raymond James Memphis
Oakley, Samuel H. Raymond James / Pinnacle Asset Management Nashville
Roberson, Tim Merrill Lynch Wealth Management Brentwood
Smith, Trey SunTrust Investment Services, Inc. Nashville
Stein, Michael E. Wells Fargo Advisors Memphis
Williams, Jay W. UBS Financial Services Memphis
TEXAS
Acerra, Guy M. Ameriprise Financial San Antonio
Ardoyno, Matt (Toby) Merrill Lynch Wealth Management Fort Worth
Ashcroft, Richard W. Baird Houston
Barnes, David R. UBS Financial Services Dallas
Begay, Audree L. Ameriprise Financial Houston
Clements, Kevin M. Morgan Stanley Wealth Management Dallas
Merrill Lynch Wealth Management Houston
Dickey, Kevin T. Morgan Stanley Private Wealth Management Dallas
Duncan, Sharon B. Selah Financial Services Friendswood
Dziuk, Steve Ameriprise Financial San Antonio
Elias, Mark S. UBS Financial Services Houston
Gladstein, Mark B. Merrill Lynch Wealth Management Houston
Harrell, Bob Harrell Investment Partners of Raymond James Austin
Heuer, Susan Merrill Lynch Wealth Management Houston
Johri, Anupam (AJ) Morgan Stanley Wealth Management Dallas
Klenke, Allan J. UBS Financial Services Houston
Knox, Kerry Merrill Lynch Wealth Management Fort Worth
Leonard, Bryan A. Merrill Lynch Wealth Management Houston
Lorch, Howard S. The Lorch Group of Wells Fargo Advisors Houston
McBride, Tommy Merrill Lynch Wealth Management Dallas
McIntire, Thomas R. Cadent Capital, LLC / Raymond James Dallas
McIntyre Fields, Charla K. Ameriprise Financial Hurst
Messick, Chris Messick, Peacock & Associates | Northwestern Mutual Wealth Mgmt. Co. Dallas
Muldoon, Kathleen Carter Financial Management / Raymond James Dallas
Nagel, Steve M. Merrill Lynch Wealth Management Frisco
Paulson, Richard P. Raymond James Houston
Pearcy, Van M. Van Pearcy’s Wealth Services / Raymond James Midland
Pennington, Darrell R. Ameriprise Financial Houston
Peterson, Donald S. UBS Financial Services Dallas
Piatas, Richard W. Merrill Lynch Wealth Management Frisco
Schroeder, Ralph J. Ameriprise Financial The Woodlands
Uptegraph, Jr., Don S. Morgan Stanley Wealth Management Houston
Utter, Gail W. Utter Wealth Management Group of Wells Fargo Advisors Sherman
Vicknair, Nestor J. Merrill Lynch Wealth Management Houston
Wood, Jr., F. Michael Merrill Lynch – Private Banking & Investment Group San Antonio
VIRGINIA
Beatty, Bryan D. Voya Financial Advisors Vienna
Cassaday, Stephan Cassaday & Company, Inc. McLean
Caudron, Tristan M. Wells Fargo Advisors Alexandria
Gill, John A. BB&T Scott & Stringfellow Virginia Beach
Hamilton, Simon R. Baird Reston
Kim, Soo (Susan) Ameriprise Financial Vienna
Krell, Christopher Cassaday & Company, Inc. McLean
Mahler, George (Carl) The Pinnacle Group / Raymond James Midlothian
Montgomery, Joe W. The Optimal Service Group of Wells Fargo Advisors Williamsburg
Salomon, Dalal Maria Salomon & Ludwin, LLC Richmond
Smith, Gregory S. Baird Reston
Sprowls, Ryan C. Sprowls, Key & Romano Wealth Management Group of Wells Fargo Advisors Alexandria
WASHINGTON
Braun, Dean Morgan Stanley Private Wealth Management Seattle
Conti, Edward A. Ameriprise Financial Bellevue
Elliott, Patrick D. RBC Wealth Management Bainbridge Island
Jackson, Paul W. Morgan Stanley Wealth Management Bellevue
Matthews, Michael S. UBS Financial Services Bellevue
Ried, Paul R. Paul R. Ried Financial Group, LLC / Cetera Advisor Networks Bellevue
West, Lowry Morgan Stanley Private Wealth Management Seattle
WEST VIRGINIA
Houchins, David L. BB&T Scott & Stringfellow Charleston
WISCONSIN
Burish, Andrew D. UBS Financial Services Madison
Calvelli, Chris Baird Milwaukee
DeFrance, Ed Baird Milwaukee
Fries, Timothy M. Fries Financial Group / Raymond James Chippewa Falls
Heckmann, Matthew M. Heckmann Financial | Northwestern Mutual Wealth Mgmt. Co. Middleton
Klein, Michael G. Baird Milwaukee
Klenke, David Baird Milwaukee
Kowal Investment Group, LLC / Raymond James Waukesha
Client segments served
FINANCIAL TIMES Thursday 22 March 2018
The FT Top Financial AdvisersBest in class We present the leading US professionals, listed by state, and provide the research methodology
FT 400 Top Financial Advisers
FTReports
*High net worth (clients with $1m–$10m in investable assets), **Ultra high net worth (clients with $10m or more in investable assets)
With the Financial Times 400, we aim to provide a snapshot of the best financial advisers for the investors who use them — such as FT readers. We assess advisers based on what investor care about, and we use a quantifiable, objective methodology.
The Financial Times and Ignites Re-search, the FT’s sister company, contacted the largest US brokerages in autumn 2017 to obtain practice information and data for their top advisers across the US. This resulted in verified data on assets under management instead of relying on advisers’ self-reported figures.
We asked for information on advisers with more than 10 years’ experience and that had more than $300m in assets un-der management. Such minimum criteria filtered out most advisers.
The FT then invited qualifying advisers out of this group — a list which totalled roughly 880 — to complete a short questionnaire that gave us more infor-mation about their practices. We added
that information to our own research on the candidates, including data from regulatory filings.
The formula the FT uses to grade advisers is based on six broad factors and calculates a numeric score for each adviser. The factors were:
1. Assets under management can signal experience managing money and client trust.
2. AUM growth rate (we look at both one-year and two-year growth rates) can be taken as a proxy for performance, asset retention and ability to generate new business.
3. Years of experience indicates experienceeconomic and interest-rate environments.
4. Compliance record provides evi-dence of past client disputes. A string of complaints could signal problems.
5. Industry certifications (CFA, CFP, etc) demonstrate technical and industry knowledge and obtaining these designa-tions shows a professional commitment to
investment skills.6. Online accessibility illustrates
commitment to providing investors with easy access and transparent contact information.
Among the top factors in our scoring, assets under management accounted for an average of 70 per cent of each adviser’s score. Also, AUM growth rate accounted for an average of 17 per cent.
Additionally, the FT places a cap on the number of advisers from any one state that roughly corresponds to the distribu-tion of millionaires across the US.
We present the FT 400 as an elite group, not a competitive ranking. We acknowledge that ranking the industry’s top advisers from 1 to 400 would be a
approaches to their practice and has
The research was conducted on behalf of the Financial Times by Ignites Research, a Financial Times sister publication.
Methodology