Inside illo Special Report Financial Advisers April 2020
© Daniel Pudles

The Financial Times 400 is intended to provide a snapshot of the best financial advisers for the investors who use them.

We assess these advisers based on what investors care about and we use a quantifiable, objective methodology.

The Financial Times and Ignites Research, the FT’s sister company, contacted the largest US brokerages in autumn 2019 to obtain practice information and data for their top advisers across the US.

We asked for information on advisers with more than 10 years’ experience and that had $300m or more in assets under management. Such minimum criteria filtered out most advisers.

The FT then invited qualifying advisers out of this group — a list that totalled about 940 — to complete a short questionnaire that gave us more information 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

These factors are:

Assets under management can signal experience managing money and client trust.

AUM growth rate
can be taken as a proxy for performance, asset retention and ability to generate new business.

Years of experience
indicates experience of managing assets in different economic and interest-rate environments.

Compliance record
provides evidence of past client disputes. A string of complaints could signal problems.

Industry certifications (CFA, CFP, etc) demonstrate technical and industry knowledge and obtaining these designations shows a professional commitment to investment skills.

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 (examined over a three-year period to June 30 2019, to emphasise long-term performance) accounted for an average of 18 per cent. The FT also places a cap on the number of advisers from any one state that corresponds to the distribution 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 futile, since each takes different approaches and has different specialisations.


The research was conducted for the Financial Times by Ignites Research, a sister publication.

The FT 400 Top Financial Advisers
Name Company City Retail
(<$1m)
High Net Worth
($1m - $10m)
Ultra-High Net Worth (>$10m) Institutional
ALABAMA
Roberts, Jeff Ameriprise Financial Services Birmingham X X X X
Runkle, Robert F. Merrill Lynch Wealth Management Montgomery X X X
ALASKA
Callaway, Ryan Ameriprise Financial Services Anchorage X X X X
ARIZONA
Crawford, Brian Wells Fargo Advisors Tucson X X X X
Harnden, Stephen P. Ameriprise Financial Services Peoria X X X
Schultz, Steven L. UBS Wealth Management Phoenix X X X X
Tocco, Judith A. Tocco Financial Services/LPL Financial Tucson X X X
CALIFORNIA
Abrams, Michael L. Wells Fargo Advisors Palo Alto X X
Anton, Michael S. Ameriprise Financial Services Woodland Hills X X
Arbogast, Peter V. Merrill Private Wealth Management San Francisco X
Basch, Andrew B. Morgan Stanley Private Wealth Management Los Angeles X X X
Breen, Michael J. Merrill Private Wealth Management San Francisco X
Burbank, Mike Morgan Stanley Private Wealth Management San Francisco X X
Campbell, Gwendolyn Merrill Private Wealth Management San Francisco X X
Chase, Andy Morgan Stanley Private Wealth Management Menlo Park X X X
Chopra, Ash Merrill Private Wealth Management San Francisco X
Copeland, Mark SEIA Newport Beach X X X
Corradini, Drew J.P. Morgan Securities San Francisco X X X
Curtis, Mark T. Morgan Stanley Graystone Palo Alto X X X
Daniel, Brandt J.P. Morgan Private Bank Los Angeles X
daRoza, Tony Merrill Private Wealth Management San Francisco X
DiLeva, Vince A. SEIA Redondo Beach X X X
Douglass, Mark Morgan Stanley Private Wealth Management Menlo Park X X
Eisenhauer, David J. Northwestern Mutual Walnut Creek X X X
Freides, Drew S. UBS Private Wealth Management Los Angeles X X X
Fullmer, Greg Morgan Stanley Private Wealth Management Los Angeles X X X
Genovese, Michael T. Genovese Burford & Brothers Sacramento X X X X
Gensler, Daniel G. The Gensler Group/LPL Financial Coronado X X X
Gluck, Tracey J.P. Morgan Securities Los Angeles X X X
Goldstein, Adam S. Ameriprise Financial Services Calabasas X X X
Green, Rick Wells Fargo Advisors Los Angeles X X X X
Griepp, Troy Morgan Stanley Private Wealth Management San Francisco X X X
Guimarin, Alma Morgan Stanley Wealth Management San Jose X X X X
Harries, Scott UBS Private Wealth Management Los Angeles X X X
Hearst, Jr., Dennis J. J.P. Morgan Private Bank San Francisco X
Holmes, Brian D. Signature Estate & Investment Advisors Los Angeles X X X
Horgan, Daniel C. Raymond James Newport Beach X X X
Jones, Richard B. Merrill Private Wealth Management Los Angeles X X
Kelly, Inna Morgan Stanley Wealth Management San Francisco X X X
Keusayan, Karen V. Wells Fargo Advisors Los Angeles X X X X
Klein, Jerome S. Merrill Private Wealth Management Los Angeles X
Krenzin, Randy Wells Fargo Advisors San Jose X X X
La Pointe, David B. La Pointe Wealth Advisors/LPL Financial Temecula X X X X
Lee, Grant Morgan Stanley Private Wealth Management San Francisco X X
McDonald, Karen Morgan Stanley Wealth Management Palo Alto X X X X
McKelvy, J. Dorian Morgan Stanley Wealth Management Menlo Park X X X X
Milia, John Wells Fargo Advisors Irvine X X X
Minkoff, Steven Ameriprise Financial Services San Francisco X X X X
Morgan, Mark S. Morgan Stanley Wealth Management Folsom X X X
Papadoyannis, George Ameriprise Financial Services San Mateo X X X X
Piliero, Thomas Morgan Stanley Private Wealth Management San Francisco X X
Reilly, Sean M. Merrill Lynch Wealth Management San Francisco X X X X
Schaffer, Patrick J.P. Morgan Private Bank Los Angeles X
Schulten, Mark TSG Wealth Management Long Beach X X X X
Schwarz, Donald L. RBC Wealth Management Beverly Hills X X X
Selig, Steven P. Merrill Lynch Wealth Management Los Angeles X X X
Severo, Patrick RBC Wealth Management Beverly Hills X X X
Shadden, John T. Morgan Stanley Private Wealth Management Long Beach X X X
Smith, Lawrence E. UBS Wealth Management Brea X X X X
Tanabe, Keith Merrill Lynch Wealth Management Los Angeles X X X X
Tolan, Mark P. Ameriprise Financial Services San Dimas X X X
Traum, Jeffrey D. Morgan Stanley Private Wealth Management Menlo Park X X X
Van Hoorickx, Emily UBS Wealth Management San Jose X X
Vaughan, Gregory V. Morgan Stanley Private Wealth Management Menlo Park X X
Wacker, Roger UBS Private Wealth Management Los Angeles X X X
Walsh, Daniel T. Merrill Lynch Wealth Management Palo Alto X X
Waxman, Scott Morgan Stanley Private Wealth Management San Francisco X X X
Wong, Benjamin W. Viewpoint Financial Network Pleasanton X X X X
Young, Cheryl L. Morgan Stanley Wealth Management Los Gatos X X X
Yu, Gillian Morgan Stanley Private Wealth Management San Francisco X
Yu, Sean Morgan Stanley Private Wealth Management Pasadena X X X
Zafari, Reza Merrill Private Wealth Management Los Angeles X X
Zager, Drew J. Morgan Stanley Private Wealth Management Los Angeles X
Zanolli, Stephen M. Merrill Lynch Wealth Management Palo Alto X X
COLORADO
Beukelman, Jonathan UBS Private Wealth Management Denver X X X
Cooper, Gary A. UBS Wealth Management Denver X X X
Di Ianni, Donna M. Merrill Lynch Wealth Management Aspen X X
CONNECTICUT
Cerniglia, Jason Ameriprise Financial Services Mystic X X X
Chieco, Peter Morgan Stanley Wealth Management Greenwich X X
Couzens, Jr., Matthew C. Ameriprise Financial Services Glastonbury X
Cox, Joe M. Webster Wealth Advisors Stamford X X
Fagella, Anthony M. Alex. Brown/Raymond James Greenwich X X
Fry, Christopher L. Ameriprise Financial Services Southington X X
Goodwin, Richard T. Merrill Lynch Wealth Management Madison X X X
Gottfried, Joshua Gottfried & Somberg Wealth Management Glastonbury X X
Hassan, Rich Alex. Brown/Raymond James Greenwich X
Jones, Mark R. Ameriprise Financial Services Middlebury X X X X
Nelson, Justin D. J.P. Morgan Private Bank Greenwich X X
Segal, Jeffrey A. C.I.G. Private Wealth Management Glastonbury X X X X
Somberg, Matthew Gottfried & Somberg Wealth Management Glastonbury X X X
Wunder, Matthew S. Northwestern Mutual - Wunder Financial Westport X X X X
DELAWARE
Orth, Kimberlee M. Ameriprise Financial Services Wilmington X X X X
DISTRICT OF COLUMBIA
Irwin, Donald J.P. Morgan Private Bank Washington X
New, James M. UBS Private Wealth Management Washington X X X
Rietano, Thomas Merrill Private Wealth Management Washington X
Schaefer, Diane C. RBC Wealth Management Washington X X X
FLORIDA
Adessi, Steven C. Merrill Lynch Wealth Management Miami X X X X
Barcena, Ignacio A. Wells Fargo Advisors Miami X X X
Bermont, Peter L. The Bermont Advisory Group of Raymond James Coral Gables X X X
Bober, Michael UBS Private Wealth Management Boca Raton X X
Cabrera, Jose Raymond James Coral Gables X X X X
Chiavacci, Louis Merrill Private Wealth Management Coral Gables X
Comeau, Richard A. J.P. Morgan Securities Miami X X
Fetterman, Sean M. UBS Wealth Management Boca Raton X X X
Flaharty, Shon E. Flaharty Asset Management/LPL Financial Clearwater X X X X
Garvin, Chris UBS Wealth Management Fort Lauderdale X X X X
Hausinger, Jeff All Seasons Wealth/Raymond James Tampa X X X
Hill, Christopher E. Wells Fargo Advisors Miami X X X X
Lytell, Matthew B. Northwestern Mutual - Riverwalk Wealth Advisors Tampa X X X X
McLaughlin, Jim M. Princeton Wealth Advisors of Raymond James Vero Beach X X X X
Moll, Todd A. Provenance Wealth Advisors/Raymond James Fort Lauderdale X X
Moreno, Jose Alberto Morgan Stanley Wealth Management Miami X X X
Reiser, David R. J.P. Morgan Securities Miami
(Mr Reiser’s primary office is in Providence, Rhode Island)
X X X X
Stephens, Jason E. UBS Private Wealth Management Naples X X
Valdes, Michael J. Merrill Private Wealth Management Tampa X X
Ventrice, Ed UBS Private Wealth Management Boca Raton X X
Walsh, Jr., Joseph Walsh & Associates/LPL Financial Sarasota X X X X
GEORGIA
Harbour, Andrew Morgan Stanley Graystone Atlanta X X X
Hines, Michael L. Consolidated Planning Corporation/Raymond James Atlanta X X X X
Jenkins, Brian G. J.P. Morgan Securities Atlanta X X X
Westmoreland, Rod Merrill Private Wealth Management Atlanta X X
Wickham, Malon M. Wells Fargo Advisors Columbus X X
HAWAII
Fujimoto, Eric Ameriprise Financial Services Honolulu X X
ILLINOIS
Boles, David R. J.P. Morgan Private Bank Chicago X
Cohen, Benjamin Raymond James & Associates Chicago X X X
Cooper, Charles T. J.P. Morgan Private Bank Chicago X
Davis, Ted Morgan Stanley Wealth Management Chicago X X X
Desai, Ajay UBS Private Wealth Management Chicago X
Flury, Ryan J. J.P. Morgan Private Bank Chicago X
Fries, Daniel Merrill Lynch Wealth Management Chicago X X X X
Griffo, Andrew D. Morgan Stanley Wealth Management Chicago X X X X
Held, Richard M. UBS Wealth Management Chicago X X X
Koney, Kevin C. Ameriprise Financial Services Orland Park X X
Ledebuhr, Peter E. Ledebuhr Wealth Management/LPL Financial Naperville X X X X
Magnesen, Scott K. Morgan Stanley Wealth Management Oak Brook X X X
McKee, Matt J.P. Morgan Private Bank Chicago X
Oberlander, Sharon F. Merrill Lynch Wealth Management Chicago X X X
Sakach, Michael Morgan Stanley Graystone Chicago X X
Schuster, Scott Dashboard Wealth Advisors/Raymond James Oak Brook X X X X
Spahn, Kevin M. Northwestern Mutual - Spahn Financial Lombard X X
Watson, Philip J. Ameriprise Financial Services Downers Grove X X X X
White, Brett Ameriprise Financial Services Oakbrook Terrace X X
Whitney, James F. Morgan Stanley Graystone Chicago X X
INDIANA
Cooke, Chris Cooke Financial Group at Sanctuary Wealth Indianapolis X X X
Lehman, Randall T. Northwestern Mutual - Summit Financial Group Fort Wayne X X X X
Payne, Eric Merrill Lynch Wealth Management Indianapolis X X X
Perry, John D. Morgan Stanley Wealth Management Indianapolis X X
Wise, Mark E. Northwestern Mutual - Wise Financial Indianapolis X X X X
IOWA
Ask, Jerry K. Jerry K. Ask Investment Services/Raymond James Cedar Rapids X X X
Boesen, Bryan Morgan Stanley Wealth Management Des Moines X X X
McGill, Ed Northwestern Mutual - McGill Junge Wealth Management Urbandale X X X X
Ranallo, Anthony L. Merrill Lynch Wealth Management West Des Moines X X X X
Spielman, Jan M. Ameriprise Financial Services Storm Lake X X X
KANSAS
Evans, Ray D. Infinitas Wealth Counsel Overland Park X X
Ewing, Paul W. Prosperity Advisors/Cetera Advisors Overland Park X X X
KENTUCKY
Donohue, Dean M. Ameriprise Financial Services Louisville X X X X
LOUISIANA
Eustis, Curtis D. Merrill Lynch Wealth Management New Orleans X X X
Lyons IV, Charlton H. Ameriprise Financial Services Shreveport X X X X
Simmons, Charles L. Ameriprise Financial Services Metairie X X X X
MAINE
Jackson, James L. RBC Wealth Management Portland X X X X
MARYLAND
Baum, Patricia P. RBC Wealth Management Annapolis X X X X
Dingle, Frank W. RBC Wealth Management Baltimore X X X
Etergino, Ann Marie RBC Wealth Management Chevy Chase X X X
Hart, Micah R. SunTrust Investment Services Columbia X X
Keetley, Richard A. Janney Montgomery Scott Baltimore X X
Lee, Thomas P. Lee, Sipe and Associates/Raymond James Rockville X X X X
Morgan III, William A. Ameriprise Financial Services Ellicott City X X X X
Pearce, Kent V. Merrill Lynch Wealth Management Towson X X X
Richmond, Traci The Meakem Group/Raymond James Bethesda X X
Smith III, H. James RBC Wealth Management Baltimore X X X
MASSACHUSETTS
Bartholomew, Thomas J. Bartholomew & Company Worcester X X X X
Bergstrom, Brandon L. Merrill Lynch Wealth Management Beverly X X X X
Beynon, Charles M. Ameriprise Financial Services Boston X X X X
Botta, Frank A. J.P. Morgan Securities Boston X X X
Brede, Debra K. D.K. Brede Investment Management Company Needham X X X X
Gage, Douglas B. Ameriprise Financial Services Auburndale X X X
Kaplan, Susan C. Kaplan Financial Services/LPL Financial Newton Lower Falls X X X X
Levsky, Adrian UBS Wealth Management Springfield X X X
McCauley, Paul J. Merrill Private Wealth Management Boston X
Mullin, Mary B. Merrill Lynch Wealth Management Boston X X X X
Noonan, Peter C. J.P. Morgan Securities Boston X X X
Nuwayhid, Ramzi N. Merrill Private Wealth Management Boston X X
Princi, Peter Morgan Stanley Graystone Boston X X X
Ramsay, Peter A. Ameriprise Financial Services Norwell X X X
Sharma, Raj Merrill Private Wealth Management Boston X X X
Sugar, Alex RBC Wealth Management Boston X X X
Wilson, Daniel T. Ameriprise Financial Services Auburndale X X X X
MICHIGAN
Aho, Mark A. Mark Aho Financial Group/Raymond James Marquette X X X
Ferhadson, Kevin Ameriprise Financial Services Troy X X X
Fratarcangeli, Jeffrey Fratarcangeli Wealth Management Birmingham X X X
Gavin, Michael Gavin & Associates/Raymond James Midland X X X X
Locniskar, Dana Merrill Private Wealth Management Troy X X X
Migliazzo, Frank Merrill Private Wealth Management Troy X
Rosloniec, Michael Morgan Stanley Graystone Grand Rapids X X X
Schmidt, Martin L. Northwestern Mutual - Cranbrook Financial Troy X
Vigi, Jon UBS Private Wealth Management Birmingham X X X
Wyman, Timothy W. Center for Financial Planning/Raymond James Southfield X X X
MINNESOTA
Baune, Brad Northwestern Mutual - Baune Financial Mendota Heights X X X X
Close, Louis D. UBS Private Wealth Management Minneapolis X X
Doroff, Randy G. Ameriprise Financial Services Minneapolis X X X
Erpelding, Michael Northwestern Mutual - Erpelding Wealth Management Edina X X X X
Howe, Aaron M. RBC Wealth Management Wayzata X X
Marks, Bennett Marks Group Wealth Management/LPL Financial Minnetonka X X X
Slaggie, Michael J. Raymond James Financial Services Winona X X X X
Sweet, Bryan J. Sweet Financial Services/Raymond James Fairmont X X X X
Thoen, Gregory M. Ameriprise Financial Services Austin X X X
MISSISSIPPI
Mosby III, Bill (Rush) UBS Wealth Management Jackson X X X X
MISSOURI
Burke, Thomas A. Syntegra Private Wealth Group Chesterfield X X X X
Moeller, Michael L. Wells Fargo Advisors Chesterfield X X X X
Murray, Seth C. Ameriprise Financial Services Springfield X X X X
NEBRASKA
Harrison, Tim Northwestern Mutual - Harrison Financial Services Omaha X X X X
Leinen, Scott RBC Wealth Management Omaha X X X X
NEVADA
Lee, Geoffrey Ameriprise Financial Services Henderson X X X X
NEW HAMPSHIRE
Bonfiglio, Robert A. Ameriprise Financial Services Bedford X X X
NEW JERSEY
Bonevento, Michael Intellectual Capital Group/LPL Financial Wall X X X
Deatherage, Mary M. Morgan Stanley Private Wealth Management Little Falls X X X
Fendrick, Mark UBS Wealth Management Mt. Laurel X X X
Kugel, Elliott M. Merrill Lynch Wealth Management Bridgewater X X X
Maltese, James Merrill Lynch Wealth Management Iselin X X
Matina, Joseph P. UBS Private Wealth Management Short Hills X X
McGinley, Christine UBS Wealth Management Mt. Laurel X X X X
McPeak, Neil Wells Fargo Advisors Linwood X X X X
Ricca, Michael J. Morgan Stanley Wealth Management Florham Park X X X
Schwartz, Andy M. Bleakley Financial Group/LPL Financial Fairfield X X X
Schwartz, Daniel S. UBS Private Wealth Management Paramus X
Shegoski, Marc UBS Wealth Management Princeton X X X
Weinerman, David S. Morgan Stanley Wealth Management Florham Park X X X
NEW MEXICO
Cochran, Brian John Moore Associates/Raymond James Albuquerque X X X
NEW YORK
Adamsky, Jonathan A. UBS Wealth Management New York X X
Agresta, Edmund Morgan Stanley Private Wealth Management New York X X
Allora, Christopher J. Merrill Private Wealth Management New York X X
Basu, Ron Morgan Stanley Private Wealth Management New York X X
Beiley, Eric P. Steward Partners/Raymond James New York X X X
Beyer, David Morgan Stanley Wealth Management New York X X X X
Bieber, David Morgan Stanley Private Wealth Management New York X X X
Bryan, Jeffrey M. Merrill Private Wealth Management New York X X
Burrows, Bruce A. Morgan Stanley Wealth Management Garden City X X X X
Cannata, Steven J. Merrill Lynch Wealth Management New York X X X X
Cannataro, Louis S. Northwestern Mutual - Cannataro Park Avenue Financial New York X X
Cohen, Leigh E. Merrill Private Wealth Management New York X
Covell, James A. RBC Wealth Management New York X X X X
Duff, Brian M. J.P. Morgan Private Bank New York X
Epstein, Adam F. UBS Private Wealth Management New York X X X
Ferreira, Artur V. UBS Wealth Management New York X
Ginsburg, Katherine J.P. Morgan Private Bank New York X X X
Grasmeder, Kathleen R. Morgan Stanley Wealth Management Glens Falls X X X X
Gunderson, Louise F. UBS Wealth Management New York X X X X
Halbfinger, Martin L. UBS Wealth Management New York X X X
Hart, Andrew Morgan Stanley Private Wealth Management New York X
Karetsky, Marc Morgan Stanley Private Wealth Management New York X X
Kass, Jonathan Merrill Lynch Wealth Management New York X X X
Katz, Jason M. UBS Wealth Management New York X X X X
Kelton, Richard The Kelton Financial Group/Raymond James Latham X X X
Kilduff, Sean T. UBS Private Wealth Management New York X X
Kilroy, Robert L. Northwestern Mutual - Point Wealth Management Melville X X X
Klingman, Gerard Klingman & Associates/Raymond James New York X X X
Klotz, Jeffrey UBS Wealth Management New York X X X
Kokubo, Sergio S. UBS Wealth Management New York X
Kraus, Andrew P. Merrill Private Wealth Management New York X X
Lea-Howarth, Claire A. J.P. Morgan Private Bank New York X X
Lindia, Fabio J.P. Morgan Private Bank New York X X
Luftman, Michael Fortis Lux Financial New York X X X
Malkin, Joshua Morgan Stanley Private Wealth Management New York X X X
Massaro, Fernando Morgan Stanley Wealth Management New York X X X X
May, W. Corby Merrill Lynch Wealth Management Garden City X X
Mayer, Jordan J.P. Morgan Securities New York X X X
McGinty, Robert J. Merrill Private Wealth Management New York X X
Millman, Ira Morgan Stanley Wealth Management New York X X X
Mitchell, Neil Morgan Stanley Private Wealth Management New York X X X
Morton, Ellen W. J.P. Morgan Private Bank New York X X
Myers, Jonathon L. Ameriprise Financial Services Vestal X X X
Newman, William J. Northwestern Mutual - The Atrium Financial Group Albany X X X
O'Connell, Daniel Merrill Lynch Wealth Management Garden City X X X
Paradise, Michael D. Merrill Private Wealth Management New York X X
Pastolove, Craig Morgan Stanley Private Wealth Management New York X X
Pintado Caravita di Sirignano, Ricardo UBS Wealth Management New York X X
Rabito, Russell UBS Wealth Management New York X X X
Raphalian, Brian E. Merrill Private Wealth Management New York X X
Rasulo, John P. J.P. Morgan Securities New York X X
Rechtschaffen, Alan UBS Wealth Management New York X X X
Rosenthal, Adam S. UBS Private Wealth Management New York X X
Rosenthal, Peter W. UBS Wealth Management Jericho X X X
Rubin, Shawn Morgan Stanley Private Wealth Management New York X X X
Schalk, Thomas P. Merrill Lynch Wealth Management Great Neck X X
Schoff, William L. UBS Wealth Management Rochester X X X
Schubach, Clark J.P. Morgan Securities New York X X X
Schwartz, Eric A. Merrill Private Wealth Management New York X X
Schwartz, Stephen A. Northwestern Mutual - Pioneer Financial New York X X X
Stackman, Scott UBS Private Wealth Management New York X X X
Sukhin, Andrew Morgan Stanley Private Wealth Management New York X
Sullivan, Thomas Merrill Lynch Wealth Management Garden City X X X
Taggart, Michael M. J.P. Morgan Securities New York X X
Taylor, Tallie Morgan Stanley Graystone New York X X
Tennant, Steven A. Northwestern Mutual - Tennant Financial Ballston Lake X X
Terzioglu, Ahmet Morgan Stanley Wealth Management Rochester X X X
Vessa, John L. Morgan Stanley Wealth Management New York X X X
Vinder, Ron J. Morgan Stanley Private Wealth Management New York X
Weil, Noel Merrill Private Wealth Management New York X
Winderbaum, Anna S. Morgan Stanley Private Wealth Management New York X X X
Winik, Jeffrey Morgan Stanley Wealth Management New York X X
Witover, M. Kenneth UBS Private Wealth Management New York X X
Zeller, Mark UBS Wealth Management New York X X X
Zinman, Richard Morgan Stanley Private Wealth Management New York X X
NORTH CAROLINA
Hoge, Brett W. BB&T Scott & Stringfellow Winston-Salem X X
Landau, Adam B. Morgan Stanley Private Wealth Management Charlotte X
McCardell, John Merrill Lynch Wealth Management Charlotte X X
McCarthy, Bob RBC Wealth Management Raleigh X X X
Rakestraw, David W. BB&T Scott & Stringfellow Raleigh X X X X
Seamen III, George S. Merrill Lynch Wealth Management Raleigh X X X X
Walker, Mark Ameriprise Financial Services Charlotte X X X X
NORTH DAKOTA
Bird, Joel L. Ameriprise Financial Services Bismarck X X X X
Draeger, Dennis A. Ameriprise Financial Services Fargo X X X
Schlafman, Dave A. Ameriprise Financial Services Bismarck X X X X
OHIO
Broughton, Michael P. Ameriprise Financial Services Cincinnati X X X
Bruegge, Kevin Merrill Private Wealth Management Cincinnati X X
Carbetta, Paul Ameriprise Financial Services Worthington X X X X
Carver, Randy A. Carver Financial Services/Raymond James Mentor X X X X
Chaddock, Jeffery D. Ameriprise Financial Services Gahanna X X X X
Chornyak, Joseph A. Chornyak & Associates Columbus X X X X
Chornyak, Jr., Joseph A. Chornyak & Associates Columbus X X X X
Mauk, Robert A. Chornyak & Associates Columbus X X X X
Motta, Peter Merrill Private Wealth Management Columbus X X
Myeroff, Kevin NCA Financial Planners Cleveland X X X X
Shane, Jon R. Merrill Lynch Wealth Management Pepper Pike X X X X
Singer, David Merrill Private Wealth Management Cincinnati X X
OREGON
Cheek, Cameron L. UBS Wealth Management Portland X X X X
McGee, Judith A. McGee Wealth Management/Raymond James Portland X X X X
PENNSYLVANIA
Boland, Robb RBC Wealth Management Philadelphia X X X
Jugan, AJ Ameriprise Financial Services Pittsburgh X X X X
Kahl, Virgil Spring Ridge Financial Group Wyomissing X X X
Keller, Harry E. Voya Financial Advisors Conshohocken X X
Martin, James F. Morgan Stanley Private Wealth Management West Conshohocken X X
Parker, Sr., John J. Wells Fargo Advisors Philadelphia X X X
Policare, Lisa Penn Wealth Planning/LPL Financial New Hope X
Rimmel, James W. UBS Wealth Management Pittsburgh X X X X
Rohr, Peter A. Merrill Private Wealth Management Philadelphia X
Seiler, Thomas A. The Seiler Group of Raymond James Newtown X X X
Smith, Kevin J. Janney Montgomery Scott York X X X X
Spanos, Samuel W. Raymond James & Associates Beaver X X X X
SOUTH CAROLINA
Kibler, E. Robertson Merrill Private Wealth Management Columbia X X X
Migliore, Richard T. Merrill Lynch Wealth Management Columbia X X X
SOUTH DAKOTA
Nelson, Todd Merrill Lynch Wealth Management Sioux Falls X X X
Quello, Nathan S. Loft Advisors/Raymond James Sioux Falls X X X X
TENNESSEE
Liles, Malcolm H. Baird Nashville X X X X
Mayer, Ward Raymond James & Associates Memphis X X X X
Roberson, Timothy R. Merrill Lynch Wealth Management Brentwood X
Smith, Earnest (Trey) SunTrust Investment Services Nashville X X X
Stein, Michael E. Wells Fargo Advisors Memphis X X X X
Trentham, Brent L. Ameriprise Financial Services Alcoa X X X X
Williams, Thomas L. Merrill Lynch Wealth Management Memphis X X X X
TEXAS
Bertino, Rob UBS Private Wealth Management Dallas X
Blessing, Kalita Quest Capital Management/Raymond James Dallas X X
Blonkvist, Kevin M. RBC Wealth Management Midland X X X X
Bruce, Bradley Merrill Lynch Wealth Management Fort Worth X X X
de Groot, Frederick Merrill Lynch Wealth Management The Woodlands X X
Gladstein, Mark Merrill Lynch Wealth Management Houston X X X X
Heuer, Susan Merrill Lynch Wealth Management Houston X X X X
Lorch, Howard S. The Lorch Group of Wells Fargo Advisors Houston X X X X
Mainord, Marcus J.P. Morgan Private Bank Fort Worth X X
Martin, John E. Raymond James & Associates Austin X X X X
McMeen, Robert Parkway Wealth Management Group/Raymond James Plano X X X
Muldoon, Kathleen Carter Financial Management/Raymond James Dallas X X
Murphy, Jr., William H. Wells Fargo Advisors The Woodlands X X X
Pearcy, Van M. Van Pearcy's Wealth Services Team/Raymond James Midland X X X X
Pennington, Darrell R. Ameriprise Financial Services Houston X X X
Peterson, Donald S. UBS Private Wealth Management Dallas X X X
Schneider, Jacob B. J.P. Morgan Private Bank Fort Worth X
Smith, Thad F. J.P. Morgan Securities Dallas X X
UTAH
Runia, Dane W. Merrill Private Wealth Management Provo X X X
VIRGINIA
Beden, Craig J. Beden Wealth Management Vienna X X X
Carradice, JT Ameriprise Financial Services Falls Church X X X
Cassaday, Stephan Q. Cassaday & Company McLean X X X X
Fitzgerald, Jim Northwestern Mutual - Fitzgerald Financial Group Richmond X X X X
Hamilton, Simon R.B. Baird Reston X X X
Kim, Susan Ameriprise Financial Services Vienna X X X X
Krell, Christopher Cassaday & Company McLean X X X X
Kurtz, Jonathan Voya Financial Advisors Vienna X X X X
Lewis, John B. BB&T Scott & Stringfellow Richmond X X X X
Stokes, Nolan W. Northwestern Mutual Fairfax X X X
Strange, Allan H. Janney Montgomery Scott Richmond X X X X
WASHINGTON
Braun, Dean Morgan Stanley Private Wealth Management Seattle X
Hartvigson, Grant E. Rainier Financial Group/LPL Financial Seattle X X X X
Hollomon, Stephen J. Merrill Lynch Wealth Management Seattle X X X
Matthews, Michael S. UBS Private Wealth Management Bellevue X X X
Munster, Bruce Merrill Private Wealth Management Bellevue X X
Ragen, Cameron Baird Seattle X X X
Samples, Justin T. Ameriprise Financial Services Vancouver X X X X
Scannell, Erin J. Ameriprise Financial Services Mercer Island X X X X
West, Lowry Morgan Stanley Private Wealth Management Seattle X
WEST VIRGINIA
Houchins, David L. BB&T Scott & Stringfellow Charleston X X X X
WISCONSIN
Broeske, Patrick M. Lakeside Wealth Management/LPL Financial Fond du Lac X X X X
Burish, Andrew UBS Wealth Management Madison X X X X
Calvelli, Christopher M. Baird Milwaukee X X X
David, Jerry Northwestern Mutual - Prescient Financial Solutions Milwaukee X X
Doughty, Christopher Gentian Financial/Raymond James Mequon X X X
Fox III, Edward (Ted) C. Ameriprise Financial Services Wausau X X X
Heckmann, Matthew Northwestern Mutual - Heckmann Financial Middleton X X X X
Klein, Michael G. Baird Milwaukee X X
Kowal, Jeffrey Kowal Investment Group/Raymond James Waukesha X X X X
Maleki, Saede P. Northwestern Mutual - Beauchamp Maleki Group Milwaukee X X

Please note, individual advisers’ coverage of client categories is indicated below by “X” marks in columns for particular segments served: retail; high net worth (clients for $1m-£10m in investable assets); ultra high net worth (clients with $10m or more in investable assets); and institutional.

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