The FT 400 Top Financial Advisers
Loren Fox
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.
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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