advisor.morganstanley.com
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23.197.130.16
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URL:
https://advisor.morganstanley.com/the-murray-legacy-group
Submission Tags: falconsandbox
Submission: On May 25 via api from US — Scanned from DE
Submission Tags: falconsandbox
Submission: On May 25 via api from US — Scanned from DE
Form analysis 5 forms found in the DOM
POST
<form class="ContactForm js-ContactForm" data-env="prod" method="POST" data-js-ya-cid="96595d1b-1b55-4f9b-a910-5c42edc5c66c">
<div class="ContactForm-requiredFieldsMessage" id="ContactModal-describedBy0">* Required Fields</div><input type="hidden" name="formType" value="wealth"><input type="hidden" name="retURL" value="http://"><input type="hidden" name="lead_source"
value="Team Website"><input type="hidden" name="00N1K00000fcWdp" id="MS_Application_ID" value=""><input type="hidden" name="00N1K00000fcWdk" id="MS_ECID" value=""><input type="hidden" name="00N1K00000fcWdu" id="MS_Time_Stamp" value=""><input
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name="00N4100000f70iu" value="267" data-title="FA Number"><input type="hidden" name="00N4100000f70iv" value="10826575" data-title="FA Federation ID"><input type="hidden" name="debug" value="1"><input type="hidden" name="debugEmail"
value="FAwebsites@morganstanley.com"><input type="hidden" name="env" value="prod"><input type="hidden" name="captchaToken" value=""><input type="hidden" name="00N4100000f7iVJ" value="Adam.Murray@morganstanley.com"
data-title="FA Notification Recipient 1">
<fieldset class="ContactForm-fieldset ContactForm-fieldset--name is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">Your Name*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="given-name" data-interaction-name="contact now start" data-track-id="analytics-tracking-fa"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="family-name" name="last_name" placeholder="Last Name" required="" type="text"><span
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<fieldset class="ContactForm-fieldset ContactForm-fieldset--contact is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">How can we contact you?*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label is-required"><input autocomplete="email" name="email" placeholder="Email" required="" type="email"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="phone"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="mobile"
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</div>
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<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#bttc-TeamCarousel-modal0-collapse" aria-expanded="false" aria-controls="bttc-TeamCarousel-modal0-collapse"><span
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<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Morning"><span class="ContactForm-labelText">Morning</span></label></div>
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Afternoon"><span class="ContactForm-labelText">Afternoon</span></label></div>
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<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#investment-needs-TeamCarousel-modal0-collapse" aria-expanded="false"
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<div class="ContactForm-fieldsetInputs l-row">
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="5928594" name="00N4100000f70ix" type="checkbox" value="Global Sports and Entertainment"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16301" name="00N4100000f70ix" type="checkbox" value="Help with Special Needs or Disabilities"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16302" name="00N4100000f70ix" type="checkbox"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="363325" name="00N4100000f70ix" type="checkbox" value="Internationally Based Investor / Family"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="5632834" name="00N4100000f70ix" type="checkbox" value="Investing With Impact"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16303" name="00N4100000f70ix" type="checkbox" value="LGBT Financial Planning"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16304" name="00N4100000f70ix" type="checkbox" value="Liability Management"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16305" name="00N4100000f70ix" type="checkbox" value="Navigating Divorce Finances"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16306" name="00N4100000f70ix" type="checkbox" value="Pre-Liquidity Event"><span
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</form>POST
<form class="ContactForm js-ContactForm" data-env="prod" method="POST" data-js-ya-cid="96595d1b-1b55-4f9b-a910-5c42edc5c66c">
<div class="ContactForm-requiredFieldsMessage" id="ContactModal-describedBy1">* Required Fields</div><input type="hidden" name="formType" value="wealth"><input type="hidden" name="retURL" value="http://"><input type="hidden" name="lead_source"
value="Team Website"><input type="hidden" name="00N1K00000fcWdp" id="MS_Application_ID" value=""><input type="hidden" name="00N1K00000fcWdk" id="MS_ECID" value=""><input type="hidden" name="00N1K00000fcWdu" id="MS_Time_Stamp" value=""><input
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data-title="FA Notification Recipient 1">
<fieldset class="ContactForm-fieldset ContactForm-fieldset--name is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">Your Name*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="given-name" data-interaction-name="contact now start" data-track-id="analytics-tracking-fa"
name="first_name" placeholder="First Name" required="" type="text"><span class="ContactForm-labelText">First Name</span></label></div>
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="family-name" name="last_name" placeholder="Last Name" required="" type="text"><span
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</div>
</fieldset>
<fieldset class="ContactForm-fieldset ContactForm-fieldset--contact is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">How can we contact you?*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label is-required"><input autocomplete="email" name="email" placeholder="Email" required="" type="email"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="phone"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="mobile"
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<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#bttc-TeamCarousel-modal1-collapse" aria-expanded="false" aria-controls="bttc-TeamCarousel-modal1-collapse"><span
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<div id="bttc-TeamCarousel-modal1-collapse" class="collapse">
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Morning"><span class="ContactForm-labelText">Morning</span></label></div>
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<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#investment-needs-TeamCarousel-modal1-collapse" aria-expanded="false"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16698" name="00N4100000f70ix" type="checkbox" value="Charitable Giving"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="5928594" name="00N4100000f70ix" type="checkbox" value="Global Sports and Entertainment"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="5632834" name="00N4100000f70ix" type="checkbox" value="Investing With Impact"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16303" name="00N4100000f70ix" type="checkbox" value="LGBT Financial Planning"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16304" name="00N4100000f70ix" type="checkbox" value="Liability Management"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16305" name="00N4100000f70ix" type="checkbox" value="Navigating Divorce Finances"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16306" name="00N4100000f70ix" type="checkbox" value="Pre-Liquidity Event"><span
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<div id="household-assets-TeamCarousel-modal1-collapse" class="collapse">
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<div style="display: none;"></div>
</form>POST
<form class="ContactForm js-ContactForm" data-env="prod" method="POST" data-js-ya-cid="96595d1b-1b55-4f9b-a910-5c42edc5c66c">
<div class="ContactForm-requiredFieldsMessage" id="ContactModal-describedBy2">* Required Fields</div><input type="hidden" name="formType" value="wealth"><input type="hidden" name="retURL" value="http://"><input type="hidden" name="lead_source"
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<fieldset class="ContactForm-fieldset ContactForm-fieldset--name is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">Your Name*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="given-name" data-interaction-name="contact now start" data-track-id="analytics-tracking-fa"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="family-name" name="last_name" placeholder="Last Name" required="" type="text"><span
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<fieldset class="ContactForm-fieldset ContactForm-fieldset--contact is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">How can we contact you?*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label is-required"><input autocomplete="email" name="email" placeholder="Email" required="" type="email"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="phone"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="mobile"
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<fieldset class="ContactForm-fieldset ContactForm-fieldset--team ContactForm-fieldset--collapsible js-ContactForm-collapsibleFieldset">
<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#bttc-TeamCarousel-modal2-collapse" aria-expanded="false" aria-controls="bttc-TeamCarousel-modal2-collapse"><span
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<div id="bttc-TeamCarousel-modal2-collapse" class="collapse">
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Morning"><span class="ContactForm-labelText">Morning</span></label></div>
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Afternoon"><span class="ContactForm-labelText">Afternoon</span></label></div>
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<div id="investment-needs-TeamCarousel-modal2-collapse" class="collapse">
<div class="ContactForm-fieldsetInputs l-row">
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="5632834" name="00N4100000f70ix" type="checkbox" value="Investing With Impact"><span
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<div id="household-assets-TeamCarousel-modal2-collapse" class="collapse">
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<div style="display: none;"></div>
</form>POST
<form class="ContactForm js-ContactForm" data-env="prod" method="POST" data-js-ya-cid="96595d1b-1b55-4f9b-a910-5c42edc5c66c">
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<fieldset class="ContactForm-fieldset ContactForm-fieldset--name is-required">
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<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="given-name" data-interaction-name="contact now start" data-track-id="analytics-tracking-fa"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="family-name" name="last_name" placeholder="Last Name" required="" type="text"><span
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<fieldset class="ContactForm-fieldset ContactForm-fieldset--contact is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">How can we contact you?*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label is-required"><input autocomplete="email" name="email" placeholder="Email" required="" type="email"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="mobile"
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</fieldset>
<fieldset class="ContactForm-fieldset ContactForm-fieldset--team ContactForm-fieldset--collapsible js-ContactForm-collapsibleFieldset">
<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#bttc-TeamCarousel-modal3-collapse" aria-expanded="false" aria-controls="bttc-TeamCarousel-modal3-collapse"><span
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<g fill="none" fill-rule="evenodd">
<path d="m0 0h30v5h-30z"></path>
<path d="m0 5h30l-15 16z" fill="currentColor"></path>
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</svg></button></legend>
<div id="bttc-TeamCarousel-modal3-collapse" class="collapse">
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Morning"><span class="ContactForm-labelText">Morning</span></label></div>
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<path d="m0 0h30v5h-30z"></path>
<path d="m0 5h30l-15 16z" fill="currentColor"></path>
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</svg></button></legend>
<div id="investment-needs-TeamCarousel-modal3-collapse" class="collapse">
<div class="ContactForm-fieldsetInputs l-row">
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="5928594" name="00N4100000f70ix" type="checkbox" value="Global Sports and Entertainment"><span
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THE MURRAY LEGACY GROUP AT MORGAN STANLEY
Adam J. Murray, CFP®, CPM®Brian J. Degnan, CFP®Philippa J. Lumsden, CFP®Marco C.
Testaiuti III, CFP®David P. DreaSamantha L. Staudt
Direct:
(610) 260-7009(610) 260-7009
Contact Us
OUR MISSION STATEMENT
Earning your trust through open and clear communication, focused and objective
advice, a genuine concern for your financial well-being and exceptional client
service that exceeds your expectations.
Our Story and ServicesWorking With YouClient ExperienceOur ProcessThe Value of
AdviceLocation
OUR STORY AND SERVICES
Welcome to our website. Whether you are a current client, future client or are
just clicking through, there is plenty of information here that you may find
useful.
Take some time to learn more about our distinctive wealth planning approach. You
may gain insight into how customized wealth planning strategies can be
implemented to help you meet and exceed your unique financial goals.
While you are here, you can also take advantage of Morgan Stanley’s intellectual
capital by reading updated analyses of the ever-changing economic, political and
social landscape. Come back often to see the latest.
To our current clients: Thank you again for your continued business and loyalty.
For our future clients, we look forward to the opportunity to earn yours.
The Murray Legacy Group's Recognitions:
* Team: Forbes Best in State Wealth Management Team | 2023
* Adam: Forbes America's Top Wealth Advisors | 2019, 2021, 2022, 2023
* Adam: Philadelphia Magazine Five-Star Wealth Manager Award | 2013-2022
* Adam: Philadelphia Business Journal's Influencers Collection | 2021
* Adam: Philadelphia Business Journal 40 Under 40 List | 2020
Services Include
* Wealth ManagementFootnote1
* Financial PlanningFootnote2
* Retirement PlanningFootnote3
* Asset Management
* Professional Portfolio ManagementFootnote4
* Estate Planning StrategiesFootnote5
* Planning for Education FundingFootnote6
* Planning for Individuals with Special Needs
* 401(k) Rollovers
* Alternative InvestmentsFootnote7
* Life InsuranceFootnote8
* Cash Management and Lending ProductsFootnote9
Check the background of Our Firm and Investment Professionals on FINRA's
BrokerCheckLink Opens in New Tab.*
FULL SUITE OF OFFERINGS - TAILORED TO YOU
Our team utilizes the full suite of offerings from Morgan Stanley to serve our
clients. Leveraging these resources and best practices, we are dedicated to
working with our clients to achieve the financial future they envision.
Financial Planning
- Net Worth Analysis
- Cash Flow Analysis
- Asset Allocation Analysis
- Saving & Investing Strategies
- Tax Minimization Strategies
- Debt Reduction Strategies
Retirement Planning
- Retirement Savings Strategies
- Cash Flow Management & Budgeting
- Opportunistic & Tax-Efficient Withdrawal Strategies
- Required Minimum Distributions ("RMDs")
- Roth Conversion Strategies
- "Back-Door" Roth IRA Viability
Investment & Portfolio Management
- Asset Allocation Analysis
- Risk Management
- Traditional Investments
- Alternative Investments
- Sustainable Investments
- Behavioral Counseling
Risk Management
- Identifying & Understanding Risk
- Portfolio Standard Deviation Analysis
- Portfolio Stress Testing
- Hedging Strategies & Options
- Interest Rate Risk Management
- Inflation Modeling & Monitoring
Trust & Estate Planning Strategies
- Wealth Transfer Strategies
- Inter-generational Needs
- Multi-generational Planning
- Review of Current Estate Law
- Introduction to Trust Specialists
- Coordination with Estate Attorneys
Cash Management & Lending
- Direct Deposit & Check Writing
- Credit Cards & Online Bill Pay
- Residential & Commercial Financing
- Securities Based Lending Options
- Estimated Tax Payment Assistance
- Home Renovation Financing
Insurance Services & Solutions
- Term Life Insurance
- Permanent Life Insurance
- Long-Term Care Insurance
- Disability Insurance
- Corporate Executive Protection Strategies
- Annuities
Philanthropy & Legacy Planning
- Charitable Lead Trusts
- Family Foundations
- Donor-advised Funds
- Charitable Giving & Required Minimum Distributions
- Coordination with Estate & Tax Professionals
- Education for Family Members & Next Generation
OUR COMMITMENT TO YOU
Our clients choose to work with us because they recognize that we have a genuine
interest in their success. Each of the items below are considered pillars of our
client service experience. They are non-negotiable. Keeping the client and their
experience at the center of everything we do builds meaningful and long-lasting
relationships, often spanning multiple generations and introductions to family
and friends.
Fiduciary Advice
While many advisors operate under the "suitability" standard, we serve - at all
times - as fiduciaries to our clients. This enhanced level of care requires us
to ALWAYS put our clients and their interests first.
Communication in Good Markets & Bad
Communication under any circumstance is a critical element of a successful
financial advisory relationship. Whether it be a bull or bear market, we are
always available to our clients.
Available & Responsive
We take great pride in always being available and responsive to our clients.
Whether via email, phone or in-person, we promise to promptly address your most
pressing needs.
Education
The world of investing can be confusing and difficult to navigate, especially
alone. We strive to provide sound investment education and advice – in plain
English – that is easy to understand, implement and monitor.
Objective Advice
We always give our clients our true, professional opinion (even if it’s not the
answer they want to hear). Tough conversations – while infrequent – are
necessary and appreciated by clients.
Behavioral Counseling
It is essential for us to help our clients understand and manage the impulses of
emotional buying and selling that can derail even the soundest of plans.
Transparent
An open and honest discussion and a full understanding of the costs of working
with us is essential to evaluating the effectiveness of any product or service
that you may consider.
Relentless Pursuit of Excellence
Whether it be through attaining industry designations and certifications,
staying abreast of developments impacting the markets or analyzing investment
opportunities, we constantly strive to be the most educated, credentialed and
well versed resource for our clients.
YOUR PERSONALIZED FINANCIAL PLAN
We are dedicated to delivering highly responsive and individualized solutions to
our clients, using a focused, objective financial planning process.
Step 1: Initial Conversation & Data Gathering
The purpose of this meeting is twofold: (i) to gather all of the essential
background information about you that will be needed to prepare a comprehensive
Financial Plan and (ii) to establish the specific goals and objectives that you
hope to achieve. Before this meeting, you will be asked to gather all pertinent
information on investments, liabilities, insurance, and cash flow.
Step 2: Plan Preparation
After the data gathering meeting, we review your situation and prepare a
comprehensive, written Financial Plan that is designed to help you achieve your
personal goals. Your Financial Plan will include analyses regarding cash flow,
investments, debt management, retirement planning, education funding, tax
efficiency, lending, insurance, and estate planning.
Step 3: Plan Presentation
Once your personal Financial Plan is complete, we will reach out to schedule a
"plan presentation" meeting. During this presentation, the written Financial
Plan is covered in detail with you so that you may more fully understand what it
is that we are proposing. Any questions that you may have or any concern that
was not addressed in the Financial Plan can be covered at this meeting, as well.
Step 4: Plan Implementation
Upon delivery of your Financial Plan, we discuss the steps necessary to
implement our recommendation. The true value of the Financial Planning process,
of course, lies in the implementation and, because of our industry leading
resources and experience, we can, in most cases, assist in the effective and
efficient implementation of your personal Financial Plan.
Step 5: Ongoing Monitoring
We help you periodically track your progress and make adjustments to your
Financial Plan and investment portfolio as necessary.
Why Us?
* Experience. Whether you are an attorney, corporate executive, business owner
or retiree, we have the required expertise you demand to assist you in all of
your wealth management matters.
* Clearly Defined Process. When managing your wealth, we follow a deliberate
series of steps to ensure that your personalized financial plan and
investment portfolio are comprehensive, diversified and aligned with your
goals.
* Advanced Credentials. In wealth management, credentials matter. We have 4
CERTIFIED FINANCIAL PLANNER™ certificate holders on our team as well as a
Certified Portfolio Manager®. We also hold several internal designations
bestowed to us by Morgan Stanley in financial planning, discretionary
portfolio management and executive compensation.
* Industry Leading Resources. Our expertise and credentials are further
enhanced by Morgan Stanley, one of the leading financial services
organizations in the world. We leverage our firm’s extensive resources to
help you meet and exceed your goals.
* Demonstrated Success. We have been recognized by industry leading
publications including Forbes Magazine, the Philadelphia Business Journal and
Philadelphia Magazine.
Why Work with a Financial Advisor?
* Industry studies estimate that professional financial advice can add between
1.5% and 4% per year to portfolio returns, depending on the time period and
how returns are calculated.
* In a study of retirement savers, those who worked with advisors had nearly
double the retirement assets in their 401(k) plans than those who chose to go
it alone.
* Working with a financial advisor can make you feel more confident about your
investment decisions and financial planning.
LOCATION
100 Front St
Ste 600
West Conshohocken, PA 19428
US
Direct:
(610) 260-7009(610) 260-7009
MEET THE MURRAY LEGACY GROUP
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ADAM J. MURRAY, CFP®, CPM®
Executive Director, Wealth Management, Financial Advisor, Senior Portfolio
Management Director
--------------------------------------------------------------------------------
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Email Adam J. Murray
Phone:
(610) 260-7009(610) 260-7009
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View My Bio
BRIAN J. DEGNAN, CFP®
Vice President, Financial Advisor, Senior Portfolio Manager
--------------------------------------------------------------------------------
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Phone:
(610) 260-7011(610) 260-7011
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PHILIPPA J. LUMSDEN, CFP®
Financial Advisor, Financial Planning Specialist
--------------------------------------------------------------------------------
Visit Philippa J. Lumsden on LinkedIn
Email Philippa J. Lumsden
Phone:
(610) 260-7044(610) 260-7044
Contact Me
View My Bio
MARCO C. TESTAIUTI III, CFP®
Financial Advisor
--------------------------------------------------------------------------------
Visit Marco C. Testaiuti III on LinkedIn
Email Marco C. Testaiuti III
Phone:
(610) 260-7039(610) 260-7039
Contact Me
View My Bio
DAVID P. DREA
Wealth Management Associate
--------------------------------------------------------------------------------
Email David P. Drea
Phone:
(610) 260-7013(610) 260-7013
View My Bio
SAMANTHA L. STAUDT
Registered Client Service Associate
--------------------------------------------------------------------------------
Email Samantha L. Staudt
Phone:
(610) 260-7045(610) 260-7045
View My Bio
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ABOUT ADAM J. MURRAY
In addition to his leadership and management responsibilities for the group,
Adam oversees the team’s Legal Industry practice that focuses exclusively on
working with some of America's most prominent law firms and attorneys. As a
result, he has experience working with attorneys throughout the various stages
of their careers. Adam is well-versed with regard to attorney compensation,
savings programs and benefits distinctive to legal professionals and is a
frequent guest speaker at law firm conferences and events.
Adam helps develop and implement wealth management strategies for his clients by
concentrating on financial planning, portfolio construction, risk management and
behavioral counseling. He is dedicated to delivering highly responsive and
individualized solutions to his clients, using a focused, objective planning
process. Adam is firmly committed to building lasting relationships by
delivering goal-oriented results and exceptional client service.
Adam was named one of the top Wealth Advisors in America by Forbes Magazine in
2019, 2021, 2022 and 2023. Additionally, he has been recognized as a Five-Star
Wealth Manager by Philadelphia Magazine each year since 2013 (2013-2022) and, in
2020, was named one of the most talented up and coming leaders in the Greater
Philadelphia area by the Philadelphia Business Journal in their 30th Anniversary
40 Under 40 list. Most recently, in 2021, Adam was named to the Philadelphia
Business Journal’s Influencers Collection, which recognized the most influential
business leaders in the Greater Philadelphia area.
Adam sits on Morgan Stanley's Financial Advisor Advisory Council (FAAC) and
serves as a liaison between his colleagues and Senior Management, creating an
open two-way communication channel to discuss and provide feedback and insight
on key initiatives and enhancements within the organization. Through this
collaboration Adam works to create innovative approaches for continued success
for Morgan Stanley clients and the Firm, as well as growth opportunities for
Financial Advisors.
Adam holds the CERTIFIED FINANCIAL PLANNER™ and Certified Portfolio Manager
(CPM®) designations, as well as Series 7, 31, 63, 66 and Insurance licenses. He
has been awarded the designation of Senior Portfolio Management Director at
Morgan Stanley which is the highest internal designation for Financial Advisors
at the firm who manage client assets on a discretionary basis.
Adam received his Certified Portfolio Manager (CPM®) designation through
Columbia University and completed the Certified Private Wealth Advisor (CPWA®)
certificate program at Yale University. He received his undergraduate degree
from Duke University, where he was a four-year starter and three-year captain on
Duke's Division I baseball team.
Adam joined Morgan Stanley after an investment banking career in both New York
and Philadelphia, where he provided merger and acquisition and corporate finance
advisory services to emerging growth and public and private companies.
Adam is a member of The Union League of Philadelphia, The Merion Cricket Club
and is an active alumnus of The Episcopal Academy (EA), and, in 2011, was the
youngest member ever inducted into EA’s Athletic Hall of Fame. He currently
serves as the President of EA's Board of Managers and sits on the school's
Advancement and Athletic Hall of Fame Committees.
Email: Adam.Murray@morganstanley.com
Phone: (610) 260-7009
The awards/ratings listed above are based on quantitative and qualitative
criteria. The awards/ratings may not be representative of any one client’s
experience and is not indicative of the Financial Advisor’s future performance.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors pay a fee in exchange for the awards/ratings.
2019, 2021, 2022, 2023 Forbes America's Top Wealth Advisors
Source: Forbes.com (Awarded 2019,2021,2022,2023). Data compiled by SHOOK
Research LLC based on 12-month time period concluding in March of the year the
award was issued.
2013-2022 Five Star Wealth Manager Award
Source: fivestarprofessional.com (Awarded2013-2022) The award was determined
based on an evaluation process conducted by Five-Star Professional based on
objective criteria. The award was not based on a specific time period.
Learn more about my specialty in Equity CompensationLink Opens in New Tab
Securities Agent: TN, WY, WI, WA, MN, SC, RI, NY, PA, NH, NC, OH, VA, MI, MD,
MA, UT, KY, IN, IL, GA, TX, NJ, NV, FL, CT, CO, CA, DE, AZ, DC; General
Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1279200
ABOUT BRIAN J. DEGNAN
Brian joined The Murray Legacy Group at Morgan Stanley in August 2020 and
oversees the team’s Corporate Executive practice. As a result, he has experience
working with corporate executives throughout the various stages of their
careers. Brian is well-versed with regard to executive compensation including
equity incentives, restricted stock awards/units, stock appreciation rights,
performance shares and employee stock purchase plans. He also has significant
familiarity with retirement savings programs and benefits distinctive to
corporate executive professionals, specifically those in the defense, utilities,
and pharmaceutical industries.
Brian holds the CERTIFIED FINANCIAL PLANNER™ designation, as well as Series 7,
31, 66 and Insurance licenses. He earned a bachelor’s degree in Mechanical
Engineering from the United States Naval Academy, where he also was a member of
the varsity golf team. Prior to joining Morgan Stanley in 2003, Brian served as
a Nuclear Surface Warfare Officer in the United States Navy.
An avid golfer, Brian is a member of the Rolling Green Golf Club, the Golf
Association of Philadelphia and routinely appears in local tournaments. He is a
member of the United States Naval Academy Alumni of Philadelphia where he has
previously held leadership positions as treasurer and secretary. Brian lives in
the Philadelphia suburbs with his wife and two children. He enjoys coaching
youth basketball and softball, running a craft beer club, traveling and
following Philadelphia sports teams.
Email: Brian.Degnan@morganstanley.com
Phone: (610) 260-7011
Learn more about my specialty in Equity CompensationLink Opens in New Tab
Securities Agent: NV, OH, OR, PA, RI, SC, TX, UT, VA, WA, WI, WY, NY, NC, MN,
MI, ME, MD, MA, KY, IN, IL, ID, GA, FL, DE, DC, CT, CO, CA, AZ, TN, NJ; General
Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1456519
ABOUT PHILIPPA J. LUMSDEN
Philippa joined The Murray Legacy Group at Morgan Stanley in June 2021 as a
Wealth Advisor Associate. In this role, she leveraged her financial planning
expertise to assist in all aspects of the financial planning process – primarily
supporting the team’s attorney clients.
In April 2022, Philippa was promoted to Financial Advisor where she applies her
financial planning and client acquisition experience to support and enhance the
team’s Legal Industry practice. She also earned the CERTIFIED FINANCIAL PLANNER™
designation through NYU’s School of Professional Studies in July 2022.
Philippa is well-versed with regard to attorney compensation, savings programs
and benefits distinctive to legal professionals. Philippa strives to build
strong relationships with clients by fully understanding each client’s unique
financial situation and providing customized solutions.
Prior to joining Morgan Stanley in 2020, Philippa worked as a Brokerage
Investment Professional at Vanguard in suburban Philadelphia. In her role, she
educated clients about their investments, while helping them build and preserve
wealth. Philippa holds the SIE, Series 7, 63, 66 and Insurance licenses.
Philippa earned her bachelor’s degree in Economics from Gettysburg College,
where she also played on the Division III field hockey team. She was a member of
the Centennial Conference Academic Honor Roll and NFHCA National Academic Squad.
Philippa was also a member of Pi Lambda Sigma (a National Honorary Society for
majors in Economics, Management, and Political Science) and held leadership
positions in Alpha Delta Pi.
A graduate of Montgomery High School, Philippa grew up in Princeton, NJ and
currently lives in Philadelphia, PA. She is an active member of Morgan Stanley’s
Local Diversity & Inclusion Council and the Fox Chase Cancer Center Young
Professionals Chapter.
Email: Philippa.Lumsden@morganstanley.com
Phone: (610) 260-7044
Securities Agent: DC, AZ, CA, CO, CT, DE, FL, GA, ID, IL, IN, KY, MA, MD, ME,
MI, MN, NC, NH, NJ, NV, NY, OH, OR, PA, RI, SC, TX, UT, VA, WA, WI, WY, TN;
General Securities Representative; Investment Advisor Representative
NMLS#: 2317486
ABOUT MARCO C. TESTAIUTI III
Marco joined The Murray Legacy Group at Morgan Stanley in March 2021 as a Wealth
Management Associate. In this role, he was often the first point of contact with
clients on a broad array of services related to account servicing, financial
plans and investment portfolios.
In September 2022, Marco was promoted to Financial Advisor where he applies his
financial planning, investment portfolio, and market knowledge to support and
enhance the team’s Corporate Executive practice.
Marco is well-versed with regard to corporate executive compensation, savings
programs, pension plans, employee stock purchase plans, and equity compensation.
His practice is primarily focused on corporate executives and employees in the
defense, energy, and pharmaceutical industries.
Prior to joining Morgan Stanley, Marco worked as a client-facing Financial
Consultant at Santander Securities where his practice was heavily focused on
retirement services and financial planning. During this time, he successfully
earned the CERTIFIED FINANCIAL PLANNER™ designation through NYU’s School of
Professional Studies. Marco also holds Series 7, 63, 65 and Insurance licenses.
Marco graduated from Pennsylvania State University with a Bachelor of Science
degree in Economics and a minor in Business.
A graduate of The Episcopal Academy, Marco grew up in Newtown Square, PA and
currently lives in Philadelphia, PA with his fiancé and their Bernese mountain
dog. He enjoys golfing, fly fishing and spending time at the beach. Marco is
also an active member of the community where, most notably, he hosts an annual
golf outing benefiting Ewing’s Sarcoma research for Children’s Hospital of
Philadelphia.
Email: Marco.Testaiuti@morganstanley.com
Phone: (610) 260-7039
Securities Agent: WI, WY, AZ, CA, CO, CT, DC, DE, FL, GA, IL, IN, KY, MA, MD,
MI, MN, NC, NJ, NV, NY, OH, PA, RI, SC, TN, TX, UT, VA, WA; General Securities
Representative; Investment Advisor Representative
NMLS#: 2446325
ABOUT DAVID P. DREA
David joined The Murray Legacy Group at Morgan Stanley in March 2022 as a Wealth
Management Associate. In this role, he is often the first point of contact with
clients on a broad array of services related to account servicing, financial
plans and investment portfolios. David combines relationship management with
marketing skills, and product knowledge to cultivate longstanding relationships
with clients.
Prior to joining Morgan Stanley in 2020, David worked as a client-facing Wealth
Management Advisor at Northwestern Mutual where his practice was heavily focused
on retirement services, investments and financial planning. David holds Series
6, 7, 63, 65 and Insurance licenses.
David graduated magna cum laude from Ursinus College with departmental honors
degrees in Economics and Political Science, concentrating in Econometrics and
Constitutional Law. He simultaneously graduated with minors in Management,
International Relations, and Legal Studies. David also served as captain of
Ursinus’ Division III baseball team where he was a member of the All-Conference
and All-Academic teams.
A graduate of Central Bucks South High School, David grew up in Jamison, PA and
currently lives in Conshohocken, PA with his fiancée, Liana, and their golden
retriever. David enjoys golfing, solving the daily WSJ crossword puzzle, and
collecting sports memorabilia and rare coins.
Email: David.Drea@morganstanley.com
Phone: (610) 260-7013
ABOUT SAMANTHA L. STAUDT
Samantha (“Sammie”) joined The Murray Legacy Group in April 2022 as a Registered
Client Service Associate. In this role, she oversees the team’s Client Service
experience assisting clients with all of their administrative and operational
needs. Sammie is responsible for managing service requests from clients and
their families, as well as providing support to the team. She takes pride in
delivering timely solutions, which may include account activity, electronic
transfers, and client documentation.
Prior to Morgan Stanley, Sammie worked as an Investments Services Specialist at
Vanguard in suburban Philadelphia. Sammie’s work focused primarily on educating
clients about investment products and guiding them to make investment decisions.
Sammie holds the Series 7, 63 and 66 securities licenses.
Sammie graduated from Seton Hall University with a BS/BA dual degree in Finance
& Information Technology Management. She earned Dean’s List each semester and
was a member of Seton Hall’s Division I Women’s Golf team. In each of her four
years, Sammie was named to the Big East All-Academic Scholar team and to the
Women’s Golf Coaches Association All-American Scholar Team.
A graduate of Coatesville Area Senior High School, Sammie grew up in
Coatesville, PA and currently lives in Philadelphia, PA. Still an active golfer
and avid sports fan, Sammie also enjoys traveling and trying new restaurants.
Email: Samantha.Staudt@morganstanley.com
Phone: (610) 260-7045
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CONTACT BRIAN J. DEGNAN
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Investment Needs
Charitable Giving
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Global Sports and Entertainment
Help with Special Needs or Disabilities
Institution, Government Entity, Foundation or Endowment
Internationally Based Investor / Family
Investing With Impact
LGBT Financial Planning
Liability Management
Navigating Divorce Finances
Pre-Liquidity Event
Retirement Planning
Tax Planning
Ultra High Net Worth Investing
Wealth Transfer Planning / Inheritance
Household Assets
Less than $250,000
$250,000 - $1 million
Above $1 million
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CONTACT PHILIPPA J. LUMSDEN
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Your Name*
First Name
Last Name
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Best Time to Contact
Morning
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Investment Needs
Charitable Giving
Estate Planning
General Investment Advice
Global Sports and Entertainment
Help with Special Needs or Disabilities
Institution, Government Entity, Foundation or Endowment
Internationally Based Investor / Family
Investing With Impact
LGBT Financial Planning
Liability Management
Navigating Divorce Finances
Pre-Liquidity Event
Retirement Planning
Tax Planning
Ultra High Net Worth Investing
Wealth Transfer Planning / Inheritance
Household Assets
Less than $250,000
$250,000 - $1 million
Above $1 million
Above $5 million
Close
CONTACT MARCO C. TESTAIUTI III
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Best Time to Contact
Morning
Afternoon
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Investment Needs
Charitable Giving
Estate Planning
General Investment Advice
Global Sports and Entertainment
Help with Special Needs or Disabilities
Institution, Government Entity, Foundation or Endowment
Internationally Based Investor / Family
Investing With Impact
LGBT Financial Planning
Liability Management
Navigating Divorce Finances
Pre-Liquidity Event
Retirement Planning
Tax Planning
Ultra High Net Worth Investing
Wealth Transfer Planning / Inheritance
Household Assets
Less than $250,000
$250,000 - $1 million
Above $1 million
Above $5 million
THE POWER OF PARTNERSHIPS
By partnering with experienced individuals across wealth disciplines, Morgan
Stanley Financial Advisors can align specialized resources with your custom
needs and deliver strategic guidance through the familiarity and trust of
existing relationships
FABIENNE SARNECKI
Associate Private Banker
--------------------------------------------------------------------------------
View My Bio
ABOUT FABIENNE SARNECKI
Fabienne Sarnecki is an Associate Private Banker serving Morgan Stanley’s Wealth
Management offices in Pennsylvania.
Fabienne began her career in financial services in 2009 and joined Morgan
Stanley in 2016 as a Regional Analyst. Prior to joining the firm, Fabienne was
an Internal Wholesaler at Lincoln Financial Group as well as an Account Manager
& Marketing Coordinator at Navidor Merchant Services.
Fabienne received a Bachelor of Arts in Economics from New YorkUniversity.
She resides in Wayne, PA with her family. Outside of the office, Fabienne enjoys
running, hiking, exploring new types of cuisines and traveling with her family.
NMLS#: 1879930
Private Bankers, Ultra High Net Worth (“UHNW”) Sales Specialists, Lending
Advisors, Mortgage Consultants, Relationship Managers, Cash Management
Specialists, Associate Private Bankers are employees of Morgan Stanley Private
Bank, National Association.
Banking products and services are offered by Morgan Stanley Private Bank,
National Association, Member FDIC.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and
not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into
arrangements with banks and other third parties to assist in offering certain
banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith
Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A
BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Wealth Management
Global Investment Office
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Contact Us
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design) in the United States, which it authorizes use of by individuals who
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are defined under the Employee Retirement Income Security Act of 1974, as
amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as
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more information regarding Morgan Stanley’s role with respect to a Retirement
Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are
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advice. Individuals are encouraged to consult their tax and legal advisors (a)
before establishing a Retirement Account, and (b) regarding any potential tax,
ERISA and related consequences of any investments or other transactions made
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investor could lose all or a substantial amount of his/her investment.
Alternative investments are appropriate only for qualified, long-term investors
who are willing to forgo liquidity and put capital at risk for an indefinite
period of time.
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LLC’s licensed insurance agency affiliates.
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not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into
arrangements with banks and other third parties to assist in offering certain
banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith
Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A
BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
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regard to the individual financial circumstances and objectives of persons who
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Stanley Financial Advisors or Private Wealth Advisors do not provide tax or
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Awards and Disclosures
#
2008 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2008) 2008 Barron's Top 100 Financial Advisors
awarded in 2008. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2006 - Dec 2007. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2008 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2008) 2008 Barron's Top 100 Women Financial Advisors
ranking awarded in 2008. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2007 - Mar 2008.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2009 Barron's Top 1,000 Financial Advisors: State-by-State
Source: Barron's.com (February 2009) Barron's Top 1,000 Financial Advisors:
State-by-State ranking awarded in 2009. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2007 - Sept
2008. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2009 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2009) 2009 Barron's Top 100 Financial Advisors
awarded in 2009. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2007 - Dec 2008. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2009 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2009) 2009 Barron's Top 100 Women Financial Advisors
ranking awarded in 2009. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2008 - Mar 2009.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2010 Barron's Top 1,000 Financial Advisors: State-by-State
Source: Barron's.com (February 2010) Barron's Top 1,000 Financial Advisors:
State-by-State ranking awarded in 2010. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2008 - Sept
2009. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2010 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2010) 2010 Barron's Top 100 Financial Advisors
awarded in 2010. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2008 - Dec 2009. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2010 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (July 2010) 2010 Barron's Top 100 Women Financial Advisors
ranking awarded in 2010. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2009 - Mar 2010.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2011 Barron's Top 1,000 Financial Advisors: State-by-State
Source: Barron's.com (February 2011) Barron's Top 1,000 Financial Advisors:
State-by-State ranking awarded in 2011. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2009 - Sept
2010. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2011 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2011) 2011 Barron's Top 100 Financial Advisors
awarded in 2011. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2009 - Dec 2010. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2011 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2011) 2011 Barron's Top 100 Women Financial Advisors
ranking awarded in 2011. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2010 - Mar 2011.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2011 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2011) awarded in 2011. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2011.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2011 PLANSPONSOR Retirement Plan Adviser of the Year
Source: planadviser.com (May 2011) awarded in 2011. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/10 – 12/31/10. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER or ISS Media to
obtain or use the ranking. This ranking is based on a mixture of qualitative and
quantitative measures, including tenure in the business, focus on retirement
plan business as a percentage of practice revenue, willingness to serve in a
fiduciary role to clients plans, and a review of essay answers and compliance
records. These criteria are utilized for each of the categories in which this
award is given. Ratings are based on the opinion of ISS Media and may not be
representative of any one client’s experience nor indicative of the financial
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2012 Barron's Top 1,000 Financial Advisors: State-by-State
Source: Barron's.com (February 2012) Barron's Top 1,000 Financial Advisors:
State-by-State ranking awarded in 2012. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2010 - Sept
2011. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2012 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2012) 2012 Barron's Top 100 Financial Advisors
awarded in 2012. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2010 - Dec 2011. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2012 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2012) 2012 Barron's Top 100 Women Financial Advisors
ranking awarded in 2012. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2011 - Mar 2012.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2012 Five Star Wealth Manager Award
This award was issued in 2012 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2012 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2012) awarded in 2012. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2012.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2013 Barron's Hall of Fame
Barron's Hall Of Fame 2013 List
Source: The Barron’s “Hall of Fame” list, published throughout 2015 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2013 Barron's Top 1,000 Financial Advisors: State-by-State
Source: Barron's.com (February 2013) Barron's Top 1,000 Financial Advisors:
State-by-State ranking awarded in 2013. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2011 - Sept
2012. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2013 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2013) 2013 Barron's Top 100 Financial Advisors
awarded in 2013. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2011 - Dec 2012. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2013 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2013) 2013 Barron's Top 100 Women Financial Advisors
ranking awarded in 2013. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2012 - Mar 2013.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2013 Financial Times 400 Top Financial Advisors
Source: ft.com (Apr 2013) 2013 Financial Times 400 Top Financial Advisors
awarded in 2013. This ranking was determined based on an evaluation process
conducted by the Financial Times based on data as of 12/31/12. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to the Financial Times in to obtain or use the ranking. This ranking
is based on quantifiable and objective criteria, including, but not limited to,
AUM, compliance record, years of experience, AUM growth rate, industry
certifications and online accessibility. Ratings are based on the opinion of the
Financial Times and may not be representative of any one client’s experience nor
indicative of the financial advisor’s future performance. For more on
methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2013 Five Star Wealth Manager Award
This award was issued in 2013 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2013 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2013) awarded in 2013. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2013.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2014 Barron's Hall of Fame
Barron's Hall Of Fame 2014 List
Source: The Barron’s “Hall of Fame” list, published throughout 2015 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2014 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (February 2014) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2014. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2012 - Sept
2013. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2014 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2014) 2014 Barron's Top 100 Financial Advisors
awarded in 2014. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2012 - Dec 2013. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2014 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2014) 2014 Barron's Top 100 Women Financial Advisors
ranking awarded in 2014. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2013 - Mar 2014.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2014 Financial Times 400 Top Financial Advisors
Source: ft.com (Mar 2014) 2014 Financial Times 400 Top Financial Advisors
awarded in 2014. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 9/30/12 - 9/30/13.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2014 Five Star Wealth Manager Award
This award was issued in 2014 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2014 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2014) awarded in 2014. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2013 – Aug 2014. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2014 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2014) awarded in 2014. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2014.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 Barron's Hall of Fame
Barron's Hall Of Fame 2015 List
Source: The Barron’s “Hall of Fame” list, published throughout 2015 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (February 2015) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2015. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2013 - Sept
2014. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2015 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2015) 2015 Barron's Top 100 Financial Advisors
awarded in 2015. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2013 - Dec 2014. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2015 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2015) 2015 Barron's Top 100 Women Financial Advisors
ranking awarded in 2015. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2014 - Mar 2015.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2015 Barron's Top 30 Institutional Consultants
Source: Barron's.com (April 2015) 2015 Barron's Top 30 Institutional Consultants
ranking awarded in 2015. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Dec 2013 - Dec 2014.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2015 Financial Times 400 Top Financial Advisors
Source: ft.com (Mar 2015) 2015 Financial Times 400 Top Financial Advisors
awarded in 2015. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 9/30/13 - 9/30/14.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 Financial Times 401 Top Retirement Advisors
Source: ft.com (May 2015) 2015 Financial Times 401 Top Retirement Advisors
awarded in 2015. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 9/30/13 - 9/30/14.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 Five Star Wealth Manager Award
This award was issued in 2015 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2015 NAPA Top Women Advisors
Source: napa-net.org (October 2015) awarded in 2015. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2014
– Aug 2015. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2015) awarded in 2015. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2014 – Aug 2015. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2015) awarded in 2015. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2015.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 PLANSPONSOR Retirement Plan Adviser of the Year
Source: planadviser.com (May 2015) awarded in 2015. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/14 – 12/31/14. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER to obtain or use
the ranking. This ranking is based on a mixture of qualitative and quantitative
measures, including tenure in the business, focus on retirement plan business as
a percentage of practice revenue, willingness to serve in a fiduciary role to
clients plans, and a review of essay answers and compliance records. These
criteria are utilized for each of the categories in which this award is given.
Ratings are based on the opinion of ISS Media and may not be representative of
any one client’s experience nor indicative of the financial advisor’s future
performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 Barron's Hall of Fame
Barron's Hall Of Fame 2016 List
Source: The Barron’s “Hall of Fame” list, published throughout 2018 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2016) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2016. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2014 - Sept
2015. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2016 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2016) 2016 Barron's Top 100 Financial Advisors
awarded in 2016. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2014 - Dec 2015. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2016 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2016) 2016 Barron's Top 100 Women Financial Advisors
ranking awarded in 2016. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2015 - Mar 2016.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2016 Barron's Top 30 Institutional Consultants
Source: Barron's.com (April 2016) 2016 Barron's Top 30 Institutional Consultants
ranking awarded in 2016. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Dec 2014 - Dec 2015.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2016 Financial Times 400 Top Financial Advisors
Source: ft.com (Mar 2016) 2016 Financial Times 400 Top Financial Advisors
awarded in 2016. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 9/30/13 - 9/30/15.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 Financial Times 401 Top Retirement Advisors
Source: ft.com (Sept 2016) 2016 Financial Times 401 Top Retirement Advisors
awarded in 2016. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 12/31/13 - 12/31/15.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 Five Star Wealth Manager Award
This award was issued in 2016 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2016 Forbes America's Top Wealth Advisors
Source: Forbes.com (Aug 2016) 2016 Forbes America's Top Wealth Advisors ranking
awarded in 2016. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 6/30/15 - 6/30/16. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2016 NAPA Top Women Advisors
Source: napa-net.org (October 2016) awarded in 2016. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2015
– Aug 2016. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2016) awarded in 2016. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2015 – Aug 2016. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2016) awarded in 2016. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2016.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 PLANSPONSOR Retirement Plan Adviser of the Year
Source: planadviser.com (May 2016) awarded in 2016. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/15 – 12/31/15. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER or ISS Media to
obtain or use the ranking. This ranking is based on a mixture of qualitative and
quantitative measures, including tenure in the business, focus on retirement
plan business as a percentage of practice revenue, willingness to serve in a
fiduciary role to clients plans, and a review of essay answers and compliance
records. These criteria are utilized for each of the categories in which this
award is given. Ratings are based on the opinion of ISS Media and may not be
representative of any one client’s experience nor indicative of the financial
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 Barron's Hall of Fame
Barron's Hall Of Fame 2017 List
Source: The Barron’s “Hall of Fame” list, published throughout 2018 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2017) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2017. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2015 - Sept
2016. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2017) 2017 Barron's Top 100 Financial Advisors
awarded in 2017. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2015 - Dec 2016. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2017) 2017 Barron's Top 100 Women Financial Advisors
ranking awarded in 2017. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2016 - Mar 2017.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Barron's Top 30 Institutional Consultants
Source: Barron's.com (April 2017) 2017 Barron's Top 30 Institutional Consultants
ranking awarded in 2017. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Dec 2015 - Dec 2016.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Financial Times 400 Top Financial Advisors
Source: ft.com (Mar 2017) 2017 Financial Times 400 Top Financial Advisors
awarded in 2017. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 9/30/14-9/30/16. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to the Financial Times in to obtain or use the ranking. This
ranking is based on quantifiable and objective criteria, including, but not
limited to, AUM, compliance record, years of experience, AUM growth rate,
industry certifications and online accessibility. Ratings are based on the
opinion of the Financial Times and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance. For
more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 Financial Times 401 Top Retirement Advisors
Source: ft.com (Sept 2017) 2017 Financial Times 401 Top Retirement Advisors
awarded in 2017. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 12/31/14 - 12/31/16.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 Five Star Wealth Manager Award
This award was issued in 2017 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Forbes Top 500 Next Generation Wealth Advisors
Source: Forbes.com (July 2017) 2017 Forbes Top 500 Next Generation Wealth
Advisors ranking awarded in 2017. This ranking was determined based on an
evaluation process conducted by SHOOK Research LLC (the research company) in
partnership with Forbes (the publisher) during the period from 3/31/16 -
3/31/17. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the
ranking. This ranking is based on in-person and telephone due diligence meetings
to evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Forbes America's Top Wealth Advisors
Source: Forbes.com (Sept 2017) 2017 Forbes America's Top Wealth Advisors ranking
awarded in 2017. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 6/30/16 - 6/30/17. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Forbes America's Top Women Wealth Advisors
Source: Forbes.com (Feb 2017) 2017 Forbes America's Top Women Wealth Advisors
ranking awarded in 2017. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 9/30/15 - 9/30/16. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2017 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 NAPA Top DC Advisor Teams
2017 NAPA’s Top DC Advisor Teams
Source: napa-net.org (March 2018) awarded in 2018. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported assets
under advisement as of Dec 31, 2017. Neither Morgan Stanley Smith Barney LLC nor
its Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain
or use the ranking. Nominees must be individual advisor team/offices with a
defined contribution book of business, in a single physical location. To be
considered, firms had to submit responses to an application form, including
information about their practices, notably their defined contribution (DC)
assets under advisement. The list is created and conducted by the National
Association of Plan Advisors, an affiliate organization of the American
Retirement Association, a non-profit association. Ratings are based on the
opinion of NAPA and may not be representative of any one client’s experience nor
indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 NAPA Top Women Advisors
Source: napa-net.org (October 2017) awarded in 2017. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2016
– Aug 2017. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2017) awarded in 2017. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2016 – Aug 2017. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2017) awarded in 2017. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2017.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 PLANSPONSOR Retirement Plan Adviser of the Year
Source: planadviser.com (May 2017) awarded in 2017. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/16 – 12/31/16. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER or ISS Media to
obtain or use the ranking. This ranking is based on a mixture of qualitative and
quantitative measures, including tenure in the business, focus on retirement
plan business as a percentage of practice revenue, willingness to serve in a
fiduciary role to clients plans, and a review of essay answers and compliance
records. These criteria are utilized for each of the categories in which this
award is given. Ratings are based on the opinion of ISS Media and may not be
representative of any one client’s experience nor indicative of the financial
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 Working Mother Magazine & SHOOK Research's Top Wealth Advisor Moms
Source: Workingmother.com (October, 2017) 2017 Working Mother Magazine & SHOOK
Research's Top Wealth Advisor Moms ranking awarded in 2017. This ranking was
determined based on an evaluation process conducted by SHOOK Research LLC (the
research company) in partnership with Working Mother Magazine (the publisher)
during the period from 3/31/16 - 3/31/17. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Working Mother Magazine. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Barron's Hall of Fame
Barron's Hall Of Fame 2018 List
Source: The Barron’s “Hall of Fame” list, published throughout 2018 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2018) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2018. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2016- Sept
2017. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2018) 2018 Barron's Top 100 Financial Advisors
awarded in 2018. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2016 - Dec 2017. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2018) 2018 Barron's Top 100 Women Financial Advisors
ranking awarded in 2018. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2017 - Mar 2018.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 Barron's Top 50 Institutional Consultants
Source: Barron's.com (April 2018) 2018 Barron's Top 50 Institutional Consultants
ranking awarded in 2018. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Dec 2016 - Dec 2017.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 Financial Times 400 Top Financial Advisors
Source: ft.com (Apr 2018) 2018 Financial Times 400 Top Financial Advisors
awarded in 2018. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 6/30/15-6/30/17. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to the Financial Times in to obtain or use the ranking. This
ranking is based on quantifiable and objective criteria, including, but not
limited to, AUM, compliance record, years of experience, AUM growth rate,
industry certifications and online accessibility. Ratings are based on the
opinion of the Financial Times and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance. For
more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Financial Times 401 Top Retirement Advisors
Source: ft.com (Oct 2018) 2018 Financial Times 401 Top Retirement Advisors
awarded in 2018. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 12/31/15 - 12/31/17.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Five Star Wealth Manager Award
2018 Five Star Wealth Manager Award This award was issued in 2018 and based on
the evaluation process below. This evaluation was not based on a specific time
period, but was conducted by Five Star Professional (FSP) that considered, among
other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 Forbes America's Top Wealth Advisors
Source: Forbes.com (Sept 2018) 2018 Forbes America's Top Wealth Advisors ranking
awarded in 2018. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 6/30/17 - 6/30/18. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 Forbes America's Top Women Wealth Advisors
Source: Forbes.com (May 2018) 2018 Forbes America's Top Women Wealth Advisors
ranking awarded in 2018. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 9/30/16 - 9/30/17. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Feb 2018) 2018 Forbes Best-In- State Wealth Advisors
rankings awarded in 2018. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 6/30/16 - 6/30/17. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2018 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Forbes Top 1,000 Next Gen Wealth Advisors
Source: Forbes.com (July 2018) 2018 Forbes Top 1,000 Next Gen Wealth Advisors
ranking awarded in 2018. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 3/31/17 - 3/31/18. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 NAPA Top DC Advisor Multi-Office Firms
Source: napa-net.org (March 2019) awarded in 2019. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported defined
contribution (DC) assets under advisement (AUA) as of Dec. 31, 2018. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to NAPA to obtain or use the ranking. Nominees must be
individual advisor team/offices with a defined contribution book of business, in
a single physical location. To be considered, firms had to submit responses to
an application form, including information about their practices, notably their
defined contribution (DC) assets under advisement. The list is created and
conducted by the National Association of Plan Advisors, an affiliate
organization of the American Retirement Association, a non-profit association.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 NAPA Top DC Advisor Teams
2018 NAPA’s Top DC Advisor Teams
Source: napa-net.org (March 2019) awarded in 2019. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported assets
under advisement as of Dec 31, 2018. Neither Morgan Stanley Smith Barney LLC nor
its Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain
or use the ranking. Nominees must be individual advisor team/offices with a
defined contribution book of business, in a single physical location. To be
considered, firms had to submit responses to an application form, including
information about their practices, notably their defined contribution (DC)
assets under advisement. The list is created and conducted by the National
Association of Plan Advisors, an affiliate organization of the American
Retirement Association, a non-profit association. Ratings are based on the
opinion of NAPA and may not be representative of any one client’s experience nor
indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 NAPA Top Women Advisors
Source: napa-net.org (October 2018) awarded in 2018. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2017
– Aug 2018. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2018) awarded in 2018. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2017 – Aug 2018. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2018) awarded in 2018. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2018.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 PLANSPONSOR Retirement Plan Adviser of the Year
Source: planadviser.com (May 2018) awarded in 2018. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/17 – 12/31/17. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER or ISS Media to
obtain or use the ranking. This ranking is based on a mixture of qualitative and
quantitative measures, including tenure in the business, focus on retirement
plan business as a percentage of practice revenue, willingness to serve in a
fiduciary role to clients plans, and a review of essay answers and compliance
records. These criteria are utilized for each of the categories in which this
award is given. Ratings are based on the opinion of ISS Media and may not be
representative of any one client’s experience nor indicative of the financial
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Working Mother Magazine & SHOOK Research's Top Wealth Advisor Moms
Source: Workingmother.com (October, 2018) 2018 Working Mother Magazine & SHOOK
Research's Top Wealth Advisor Moms ranking awarded in 2018. This ranking was
determined based on an evaluation process conducted by SHOOK Research LLC (the
research company) in partnership with Working Mother Magazine (the publisher)
during the period from 3/31/17 - 3/31/18. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Working Mother Magazine. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Barron's Hall of Fame
Barron's Hall Of Fame 2019 List
Source: The Barron’s “Hall of Fame” list, published throughout 2020 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2019) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2019. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2017- Sept
2018. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2019) 2019 Barron's Top 100 Financial Advisors
awarded in 2019. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2017 - Dec 2018. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2019) 2019 Barron's Top 100 Women Financial Advisors
ranking awarded in 2019. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2018 - Mar 2019.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Barron's Top 50 Institutional Consultants
Source: Barron's.com (April 2019) 2019 Barron's Top 50 Institutional Consultants
ranking awarded in 2019. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Dec 2017 - Dec 2018.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Barron's Top 50 Private Wealth Advisory Teams
Source: Barron's.com (April 2019) 2019 Barron's Top 50 Private Wealth Advisory
Teams ranking awarded in 2019. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2017 - Dec
2018 Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Financial Times 400 Top Financial Advisors
Source: ft.com (Apr 2019) 2019 Financial Times 400 Top Financial Advisors
awarded in 2019. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 6/30/15-6/30/18. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to the Financial Times in to obtain or use the ranking. This
ranking is based on quantifiable and objective criteria, including, but not
limited to, AUM, compliance record, years of experience, AUM growth rate,
industry certifications and online accessibility. Ratings are based on the
opinion of the Financial Times and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance. For
more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Financial Times 401 Top Retirement Advisors
Source: ft.com (Oct 2019) 2019 Financial Times 401 Top Retirement Advisors
awarded in 2019. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 12/31/15 - 12/31/18.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Five Star Wealth Manager Award
This award was issued in 2019 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Forbes America's Top Wealth Advisors
Source: Forbes.com (Sept 2019) 2019 Forbes America's Top Wealth Advisors ranking
awarded in 2019. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 3/31/18 - 3/31/19. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Forbes America's Top Women Wealth Advisors
Source: Forbes.com (April 2019) 2019 Forbes America's Top Women Wealth Advisors
ranking awarded in 2019. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 9/30/17 - 9/30/18. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Feb 2019) 2019 Forbes Best-In- State Wealth Advisors
rankings awarded in 2019. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 6/30/17 - 6/30/18. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Forbes Top Next-Gen Wealth Advisors
Source: Forbes.com (June 2019) 2019 Forbes Top Next-Gen Wealth Advisors ranking
awarded in 2019. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 3/31/18 - 3/31/19. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 NAPA Top DC Advisor Multi-Office Firms
Source: napa-net.org (March 2020) awarded in 2020. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported defined
contribution (DC) assets under advisement (AUA) as of Dec. 31, 2019. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to NAPA to obtain or use the ranking. Nominees must be
individual advisor team/offices with a defined contribution book of business, in
a single physical location. To be considered, firms had to submit responses to
an application form, including information about their practices, notably their
defined contribution (DC) assets under advisement. The list is created and
conducted by the National Association of Plan Advisors, an affiliate
organization of the American Retirement Association, a non-profit association.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 NAPA Top DC Advisor Teams
2019 NAPA’s Top DC Advisor Teams
Source: napa-net.org (March 2020) awarded in 2020. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported assets
under advisement as of Dec 31, 2019. Neither Morgan Stanley Smith Barney LLC nor
its Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain
or use the ranking. Nominees must be individual advisor team/offices with a
defined contribution book of business, in a single physical location. To be
considered, firms had to submit responses to an application form, including
information about their practices, notably their defined contribution (DC)
assets under advisement. The list is created and conducted by the National
Association of Plan Advisors, an affiliate organization of the American
Retirement Association, a non-profit association. Ratings are based on the
opinion of NAPA and may not be representative of any one client’s experience nor
indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 NAPA Top Women Advisors
Source: napa-net.org (October 2019) awarded in 2019. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2018
– Aug 2019. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2019) awarded in 2019. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2018 – Aug 2019. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2019) awarded in 2019. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2019.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 PLANSPONSOR Retirement Plan Adviser of the Year
Source: planadviser.com (May 2019) awarded in 2019. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/18 – 12/31/18. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER or ISS Media to
obtain or use the ranking. This ranking is based on a mixture of qualitative and
quantitative measures, including tenure in the business, focus on retirement
plan business as a percentage of practice revenue, willingness to serve in a
fiduciary role to clients plans, and a review of essay answers and compliance
records. These criteria are utilized for each of the categories in which this
award is given. Ratings are based on the opinion of ISS Media and may not be
representative of any one client’s experience nor indicative of the financial
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Working Mother Magazine & SHOOK Research's Top Wealth Advisor Moms
Source: Workingmother.com (October, 2019) 2019 Working Mother Magazine & SHOOK
Research's Top Wealth Advisor Moms ranking awarded in 2019. This ranking was
determined based on an evaluation process conducted by SHOOK Research LLC (the
research company) in partnership with Working Mother Magazine (the publisher)
during the period from 3/31/18- 3/31/19. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Working Mother Magazine. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Barron's Hall of Fame
Barron's Hall Of Fame 2020 List
Source: The Barron’s “Hall of Fame” list, published throughout 2020 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2020) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2020. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2018- Sept
2019. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2020) 2020 Barron's Top 100 Financial Advisors
awarded in 2020. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2018 - Dec 2019. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2020) 2020 Barron's Top 100 Women Financial Advisors
ranking awarded in 2020. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2019 - Mar 2020.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Barron's Top 50 Institutional Consulting Teams
Source: Barron's.com (April 2020) 2020 Barron's Top 50 Institutional Consulting
Teams ranking awarded in 2020. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2018 - Dec
2019. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Barron's Top 50 Private Wealth Management Teams
Source: Barron's.com (April 2020) 2020 Barron's Top 50 Private Wealth Management
Teams ranking awarded in 2020. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2018 - Dec
2019. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Financial Times 400 Top Financial Advisors
Source: ft.com (Apr 2020) 2020 Financial Times 400 Top Financial Advisors
awarded in 2020. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 6/30/16-6/30/19. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to the Financial Times in to obtain or use the ranking. This
ranking is based on quantifiable and objective criteria, including, but not
limited to, AUM, compliance record, years of experience, AUM growth rate,
industry certifications and online accessibility. Ratings are based on the
opinion of the Financial Times and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance. For
more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Financial Times 401 Top Retirement Advisors
Source: ft.com (Oct 2020) 2020 Financial Times 401 Top Retirement Advisors
awarded in 2020. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 12/31/16 - 12/31/19.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Five Star Wealth Manager Award
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Forbes America's Top Wealth Advisors
Source: Forbes.com (August 2020) 2020 Forbes America's Top Wealth Advisors
ranking awarded in 2020. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 3/31/19 - 3/31/20. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2020 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Forbes America's Top Women Wealth Advisors
Source: Forbes.com (April 2020) 2020 Forbes America's Top Women Wealth Advisors
ranking awarded in 2020. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 9/30/18 - 9/30/19. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Jan 2020) 2020 Forbes Best-In- State Wealth Advisors
rankings awarded in 2020. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 6/30/18 - 6/30/19. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Forbes Top Next-Gen Wealth Advisors
Source: Forbes.com (July 2020) 2020 Forbes Top Next-Gen Wealth Advisors ranking
awarded in 2020. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 3/31/19 - 3/31/20. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 NAPA Top DC Advisor Multi-Office Firms
Source: napa-net.org (March 2021) awarded in 2021. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported defined
contribution (DC) assets under advisement (AUA) as of Dec. 31, 2020. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to NAPA to obtain or use the ranking. Nominees must be
individual advisor team/offices with a defined contribution book of business, in
a single physical location. To be considered, firms had to submit responses to
an application form, including information about their practices, notably their
defined contribution (DC) assets under advisement. The list is created and
conducted by the National Association of Plan Advisors, an affiliate
organization of the American Retirement Association, a non-profit association.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 NAPA Top DC Advisor Teams
2020 NAPA’s Top DC Advisor Teams
Source: napa-net.org (March 2021) awarded in 2021. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported assets
under advisement as of Dec 31, 2020. Neither Morgan Stanley Smith Barney LLC nor
its Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain
or use the ranking. Nominees must be individual advisor team/offices with a
defined contribution book of business, in a single physical location. To be
considered, firms had to submit responses to an application form, including
information about their practices, notably their defined contribution (DC)
assets under advisement. The list is created and conducted by the National
Association of Plan Advisors, an affiliate organization of the American
Retirement Association, a non-profit association. Ratings are based on the
opinion of NAPA and may not be representative of any one client’s experience nor
indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 NAPA Top Women Advisors
Source: napa-net.org (October 2020) awarded in 2020. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2019
– Aug 2020. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2020) awarded in 2020. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2019 – Aug 2020. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2020) awarded in 2020. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2020.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Working Mother Magazine & SHOOK Research's Top Wealth Advisor Moms
Source: Workingmother.com (September 2020) 2020 Working Mother Magazine & SHOOK
Research's Top Wealth Advisor Moms ranking awarded in 2020. This ranking was
determined based on an evaluation process conducted by SHOOK Research LLC (the
research company) in partnership with Working Mother Magazine (the publisher)
during the period from 3/31/19 - 3/31/20. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Working Mother Magazine. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 Barron's Hall of Fame
Barron's Hall Of Fame 2021 List
Source: The Barron’s “Hall of Fame” list, published throughout 2021 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2021) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2021. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2019- Sept
2020. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2021) 2021 Barron's Top 100 Financial Advisors
awarded in 2021. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2019 - Dec 2020. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Barron's Top 100 Institutional Consulting Teams
Source: Barron's.com (April 2021) 2021 Barron's Top 100 Institutional Consulting
Teams ranking awarded in 2021. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2019 - Dec
2020. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Barron's Top 100 Private Wealth Management Teams
Source: Barron's.com (April 2021) 2021 Barron's Top 100 Private Wealth
Management Teams ranking awarded in 2021. This ranking was determined based on
an evaluation process conducted by Barron's during the period from Dec 2019 -
Dec 2020. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2021) 2021 Barron's Top 100 Women Financial Advisors
ranking awarded in 2021. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2020 - Mar 2021.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Five Star Wealth Manager Award
This award was issued in 2021 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Forbes America's Top Wealth Advisors
Source: Forbes.com (August 2021) 2021 Forbes America's Top Wealth Advisors
ranking awarded in 2021. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 3/31/20 - 3/31/21. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2021 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Forbes America's Top Women Wealth Advisors
Source: Forbes.com (March 2021) 2021 Forbes America's Top Women Wealth Advisors
ranking awarded in 2021. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 9/30/19 - 9/30/20. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 Forbes America’s Top Next-Gen Wealth Advisors
Source: Forbes.com (Sept 2021) 2021 Forbes America's Top Next-Gen Wealth
Advisors ranking awarded in 2021. This ranking was determined based on an
evaluation process conducted by SHOOK Research LLC (the research company) in
partnership with Forbes (the publisher) during the period from 3/31/20 -
3/31/21. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the
ranking. This ranking is based on in-person and telephone due diligence meetings
to evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Feb 2021) 2021 Forbes Best-In- State Wealth Advisors
rankings awarded in 2021. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 6/30/19 - 6/30/20. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 NAPA Top DC Advisor Multi-Office Firms
Source: napa-net.org (March 2022) awarded in 2022. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported defined
contribution (DC) assets under advisement (AUA) as of Dec. 31, 2021. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to NAPA to obtain or use the ranking. Nominees must be
individual advisor team/offices with a defined contribution book of business, in
a single physical location. To be considered, firms had to submit responses to
an application form, including information about their practices, notably their
defined contribution (DC) assets under advisement. The list is created and
conducted by the National Association of Plan Advisors, an affiliate
organization of the American Retirement Association, a non-profit association.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 NAPA Top DC Advisor Teams
2021 NAPA’s Top DC Advisor Teams
Source: napa-net.org (March 2022) awarded in 2022. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported assets
under advisement as of Dec 31, 2021. Neither Morgan Stanley Smith Barney LLC nor
its Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain
or use the ranking. Nominees must be individual advisor team/offices with a
defined contribution book of business, in a single physical location. To be
considered, firms had to submit responses to an application form, including
information about their practices, notably their defined contribution (DC)
assets under advisement. The list is created and conducted by the National
Association of Plan Advisors, an affiliate organization of the American
Retirement Association, a non-profit association. Ratings are based on the
opinion of NAPA and may not be representative of any one client’s experience nor
indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 NAPA Top Women Advisors
Source: napa-net.org (October 2021) awarded in 2021. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2020
– Aug 2021. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 NAPA's Top Retirement Plan Advisors Under 40 (Aces)
Source: napa-net.org (November 2021) awarded in 2021. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2020 – Aug 2021. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2021) awarded in 2021. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2021.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 Working Mother Magazine & SHOOK Research's Top Wealth Advisor Moms
Source: Workingmother.com (October, 2021) 2021 Working Mother Magazine & SHOOK
Research's Top Wealth Advisor Moms ranking awarded in 2021. This ranking was
determined based on an evaluation process conducted by SHOOK Research LLC (the
research company) in partnership with Working Mother Magazine (the publisher)
during the period from 3/31/20 - 3/31/21. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Working Mother Magazine. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 Barron's Hall of Fame
Barron's Hall Of Fame 2022 List
Source: The Barron’s “Hall of Fame” list, published throughout 2022 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2022) 2022 Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2022. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2020 - Sept
2021. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2022) 2022 Barron's Top 100 Financial Advisors
awarded in 2022. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2020 - Dec 2021. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Barron's Top 100 Institutional Consulting Teams
Source: Barron's.com (April 2022) 2022 Barron's Top 100 Institutional Consulting
Teams ranking awarded in 2022. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2020 - Dec
2021. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Barron's Top 100 Private Wealth Management Teams
Source: Barron's.com (April 2022) 2022 Barron's Top 100 Private Wealth
Management Teams ranking awarded in 2022. This ranking was determined based on
an evaluation process conducted by Barron's during the period from Dec 2020 -
Dec 2021. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2022) 2022 Barron's Top 100 Women Financial Advisors
ranking awarded in 2022. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2021 - Mar 2022.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Five Star Wealth Manager Award
This award was issued in 2022 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Forbes America's Top Wealth Advisors
Source: Forbes.com (August 2022) 2022 Forbes America's Top Wealth Advisors
ranking awarded in 2022. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 3/31/21 - 3/31/22. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Forbes America's Top Women Wealth Advisors & Forbes Top Women Wealth
Advisors Best-In- State
Source: Forbes.com (February 2022) 2022 Forbes America's Top Women Wealth
Advisors & Forbes Top Women Wealth Advisors Best-In- State rankings awarded in
2022. This ranking was determined based on an evaluation process conducted by
SHOOK Research LLC (the research company) in partnership with Forbes (the
publisher) during the period from 9/30/20 - 9/30/21. Neither Morgan Stanley
Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a
fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth
Advisors Best-in-State
Source: Forbes.com (August 2022) 2022 Forbes America's Top Next-Gen Wealth
Advisors and Top Next-Gen Wealth Advisors Best-In-State ranking awarded in 2022.
This ranking was determined based on an evaluation process conducted by SHOOK
Research LLC (the research company) in partnership with Forbes (the publisher)
during the period from 3/31/21 - 3/31/22. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Forbes America’s Top Wealth Management Teams
Source: Forbes.com (November 2022) 2022 Forbes America’s Top Wealth Management
Teams ranking awarded in 2022. This ranking was determined based on an
evaluation process conducted by SHOOK Research LLC (the research company) in
partnership with Forbes (the publisher) during the period from 3/31/21 –
3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the
ranking. This ranking is based on in-person and telephone due diligence meetings
to evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (April 2022) 2022 Forbes Best-In- State Wealth Advisors
rankings awarded in 2022. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 6/30/20 - 6/30/21. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 NAPA Top Women Advisors
Source: napa-net.org (October 2022) awarded in 2022. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2021
– Aug 2022. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 NAPA's Top Retirement Plan Advisors Under 40 (Aces)
Source: napa-net.org (November 2022) awarded in 2022. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2022 – Aug 2021. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 PLANADVISER Retirement Plan Adviser of the Year
Source: planadviser.com (May 2022) awarded in 2022. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/21 – 12/31/21. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER or ISS Media to
obtain or use the ranking. This ranking is based on a mixture of qualitative and
quantitative measures, including tenure in the business, focus on retirement
plan business as a percentage of practice revenue, willingness to serve in a
fiduciary role to clients plans, and a review of essay answers and compliance
records. These criteria are utilized for each of the categories in which this
award is given. Ratings are based on the opinion of ISS Media and may not be
representative of any one client’s experience nor indicative of the financial
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2022) awarded in 2022. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2022.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2023 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2023) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2023. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2021 - Sept
2022. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC
2023 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2023) Barron's Top 100 Financial Advisors awarded in
2022. This ranking was determined based on an evaluation process conducted by
Barron's during the period from Dec 2021 - Dec 2022. Neither Morgan Stanley
Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a
fee to Barron's to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of Barron's and this ranking may not be representative of any one
client’s experience. This ranking is not indicative of the Financial Advisor’s
future performance. Morgan Stanley Smith Barney LLC is not affiliated with
Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P. All
rights reserved.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC
2023 Barron's Top 100 Institutional Consulting Teams
Source: Barron's.com (April 2023) Barron's Top 100 Institutional Consulting
Teams ranking awarded in 2023. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2021 - Dec
2022. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC
2023 Barron's Top 100 Private Wealth Management Teams
Source: Barron's.com (April 2023) Barron's Top 100 Private Wealth Management
Teams ranking awarded in 2023. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2021 - Dec
2022. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC
2023 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2023) Barron's Top 100 Women Financial Advisors
ranking awarded in 2023. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2022 - Mar 2023.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC
2023 Forbes America's Top Women Wealth Advisors & Forbes Top Women Wealth
Advisors Best-In- State
Source: Forbes.com (February 2023) Forbes America's Top Women Wealth Advisors &
Forbes Top Women Wealth Advisors Best-In- State rankings awarded in 2023. This
ranking was determined based on an evaluation process conducted by SHOOK
Research LLC (the research company) in partnership with Forbes (the publisher)
during the period from 9/30/21 - 9/30/22. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC for placement on its rankings. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience; investors must carefully choose the right Financial
Advisor or team for their own situation and perform their own due diligence.
This ranking is not indicative of the Financial Advisor’s future performance.
Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or
Forbes. For more information, see www.SHOOKresearch.com.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
2023 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth
Advisors Best-in-State
2023 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth
Advisors Best-in-State Source: Forbes.com (August 2023) Forbes America's Top
Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-In-State ranking
awarded in 2023. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 3/31/22 - 3/31/23. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC for placement on its rankings. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience; investors must carefully choose
the right Financial Advisor or team for their own situation and perform their
own due diligence. This ranking is not indicative of the Financial Advisor’s
future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK
Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC
2023 Forbes America’s Top Wealth Advisors & Best-In-State Wealth Advisors
2023 Forbes America’s Top Wealth Advisors & Best-In-State Wealth Advisors
Source: Forbes.com (April 2023) Forbes America’s Top Wealth Advisors and
Best-In- State Wealth Advisors rankings awarded in 2023. This ranking was
determined based on an evaluation process conducted by SHOOK Research LLC (the
research company) in partnership with Forbes (the publisher) during the period
from 6/30/21 - 6/30/22. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC
for placement on its rankings. This ranking is based on in-person and telephone
due diligence meetings to evaluate each advisor qualitatively, a major component
of a ranking algorithm that includes client retention, industry experience,
review of compliance records, firm nominations, and quantitative criteria,
including assets under management and revenue generated for their firms.
Investment performance is not a criterion. Rankings are based on the opinions of
SHOOK Research LLC and this ranking may not be representative of any one
client’s experience; investors must carefully choose the right Financial Advisor
or team for their own situation and perform their own due diligence. This
ranking is not indicative of the Financial Advisor’s future performance. Morgan
Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes.
For more information, see www.SHOOKresearch.com.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
2023 Forbes America’s Top Wealth Management Teams
2023 Forbes America’s Top Wealth Management Teams Source: Forbes.com (November
2023) Forbes America’s Top Wealth Management Teams ranking awarded in 2023. This
ranking was determined based on an evaluation process conducted by SHOOK
Research LLC (the research company) in partnership with Forbes (the publisher)
during the period from 3/31/22 – 3/31/23. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC for placement on its rankings. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience; investors must carefully choose the right Financial
Advisor or team for their own situation and perform their own due diligence.
This ranking is not indicative of the Financial Advisor’s future performance.
Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or
Forbes. For more information, see www.SHOOKresearch.com.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
2023 Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Jan 2023) 2023 Forbes Best-In-State Wealth Management Teams
ranking awarded in 2023. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC for placement on its rankings. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience; investors must
carefully choose the right Financial Advisor or team for their own situation and
perform their own due diligence. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
401kWire's 300 Most Influential DC Advisors 2011
The 401kWire’s 300 Most Influential DC Advisors as identified by 401kWire using
quantitative criteria selected from a pool of over 3,000 nominations from the
industry and the 401kWire’s editorial staff. The list of the 300 Most
Influential DC Advisors was selected from more than 120,000 reader votes as well
as from input from last year’s Top 40 Advisors and from distributors working
with the advisors. Quantitative factors include, but are not limited to, total
assets, production, average account size, years in the business and other
statistics about the advisors’ practices gathered directly from the nominees.
Investment performance is not a criterion. The rating may not be representative
of any one client’s experience and is not indicative of the Financial Advisor’s
future performance. Neither Morgan Stanly Smith Barney LLC nor its Financial
Advisors pay a fee to 401kWire in exchange for the rating.
A
ASPPA 401(k) Leadership Award
Source: ASPPA’s ASPPA 401(k) Leadership Award is designed to acknowledge a
specific accomplishment and/or contribution by an individual or group of
individuals within the 401(k) industry. This Award, sponsored by Morningstar,
recognizes leadership, innovation and significant influence within the
retirement industry targeting the sales, marketing and establishment of 401(k)
plans. Firms review and approve nominations of individuals who match the ASPPA
Award criteria. Individuals are judged based on qualitative information
collected from the nomination form, and potentially from interviews with the
Award Committee. Finalists are entitled to receive paid airfare, conference
registration, and three nights’ hotel accommodations to The ASPPA 401(k) SUMMIT.
For more information on the award, go to http://www.aspa.org. The award is not
indicative of the Financial Advisor’s future performance. Neither Morgan Stanley
Smith Barney LLC nor its Financial Advisors pay a fee to ASPPA in exchange for
the award.
B
Baltimore Business Journal 40 Under 40 Most Influential Business Leaders 1997
Source: Baltimore Business Journal, “40 under 40 Most Influential Business
Leaders”, August 1997. The award is based upon a recipient’s application and not
upon any qualitative or quantitative criteria relating specifically to one’s
position as a Financial Advisor. As such, the award is not representative of any
client’s experience nor is it indicative of the Financial Advisor’s future
performance. Neither Morgan Stanley Smith Barney LLC nor any of its Financial
Advisors pay a fee to the Baltimore Business Journal in exchange for the rating.
Baltimore Business Journal 40 Under 40 Most Influential Business Leaders 2007
Source: Baltimore Business Journal, “40 under 40 Most Influential Business
Leaders”, August 2007. The award is based upon a recipient’s application and not
upon any qualitative or quantitative criteria relating specifically to one’s
position as a Financial Advisor. As such, the award is not representative of any
client’s experience nor is it indicative of the Financial Advisor’s future
performance. Neither Morgan Stanley Smith Barney LLC nor any of its Financial
Advisors pay a fee to the Baltimore Business Journal in exchange for the rating.
Baltimore Jewish Times Up-and-Coming Young Professionals 2009
Source: Baltimore Jewish Times, Up-and-Coming Young Professionals, March 2009.
The award is based upon a recipient’s application and not upon any qualitative
or quantitative criteria relating specifically to one’s position as a Financial
Advisor. As such, the award is not representative of any client’s experience
nor is it indicative of the Financial Advisor’s future performance. Neither
Morgan Stanley Smith Barney nor any of their Financial Advisors pay a fee to the
Baltimore Jewish Times in exchange for the rating.
Barron's Top Women Advisors Summit Attendees 2016
This advisor, in addition to the award recipients, was one of several hundred
financial advisors who were selected by their firms to attend the annual
Barron’s Top Women Advisors Summit, hosted by Barron’s magazine to promote best
practices in the industry and the value of advice to the investing public. The
invitation-only conference was held at The Breakers in Palm Beach, FL, from
November 30th to December 2nd This exclusive conference is designed to promote
best practices and generate new ideas across the industry. Participants attended
workshops, many led by the Top 100 Women Financial Advisors, that explored
current issues ranging from business development ideas through managing
high-net-worth accounts and families to portfolio management and retirement
planning.
Barron's Top Women Advisors Summit Attendees 2017-2019
This advisor, in addition to the award recipients, was one of several hundred
financial advisors who were selected by their firms to attend the annual
Barron’s Top Women Advisors Summit, hosted by Barron’s magazine to promote best
practices in the industry and the value of advice to the investing public. The
invitation-only conference was held at The Breakers in Palm Beach, FL. This
exclusive conference is designed to promote best practices and generate new
ideas across the industry. Participants attended workshops, many led by the Top
100 Women Financial Advisors, that explored current issues ranging from business
development ideas through managing high-net-worth accounts and families to
portfolio management and retirement planning.
Barron's Top Women Advisors Summit Attendees 2020
This advisor, in addition to the award recipients, was one of several hundred
financial advisors who were selected by their firms to attend the annual
Barron’s Top Women Advisors Summit, hosted by Barron’s magazine to promote best
practices in the industry and the value of advice to the investing public. The
invitation-only conference was held virtually. This exclusive conference is
designed to promote best practices and generate new ideas across the industry.
Participants attended workshops, many led by the Top 100 Women Financial
Advisors, that explored current issues ranging from business development ideas
through managing high-net-worth accounts and families to portfolio management
and retirement planning.
Barron’s Top Women Advisors Summit Attendees 2015 Summit
This advisor in addition to the award recipients, was one of several hundred
financial advisors who were selected by their firms to attend the 10th annual
Barron’s Top Women Advisors Summit, hosted by Barron’s magazine, to promote best
practices in the industry and the value of advice to the investing public. The
invitation-only conference was held at The Breakers in Palm Beach, Florida, from
December 2 to 4. This exclusive conference is designed to promote best practices
and generate new ideas across the industry. Participants attended workshops,
many led by the Top 100 Women Financial Advisors, that explored current issues
ranging from business development ideas through managing high net worth accounts
and families to portfolio management and retirement planning.
Barron’s Winner’s Circle Top Advisors Summit 2013
This advisor, in addition to the award recipients, was one of approximately 500
financial advisors who were selected by their firms to attend the eighth annual
Barron’s Winner’s Circle Top Women Advisors Summit, hosted by Barron’s magazine,
to promote best practices in the industry and the value of advice to the
investing public. The invitation-only conference was held at The Breakers in
Palm Beach, Florida, from December 4 to 6. This exclusive conference is designed
to promote best practices and generate new ideas across the industry.
Participants attended workshops, led by the Top 100 Women Financial Advisors,
that explored current issues ranging from business development ideas through
managing high net worth accounts and families to portfolio management and
retirement planning.
C
Chicago’s Notable Financial Advisers 2018
Chicago’s Notable Financial Advisors 2018, October 22, 2018, as appearing in
Crain’s Chicago Business, is based on nominations made to Crain’s. The criteria
are that nominees must be based in the Chicago area, currently employed full
time at a financial institution or company offering wealth management services,
have a minimum of five years’ experience, oversee at least $10 million in assets
under advisement and contributions within the industry. The rating is not
indicative of the Financial Advisors’ future performance. Neither Morgan Stanley
Smith Barney LLC nor its Financial Advisors paid a fee to Crain’s in exchange
for the award.
Coalition Greenwich Quality Leader Award 2021
Source: Coalition Greenwich 2021 U.S. Institutional Investors Study (April
2022). The 2021 Greenwich Quality Leader in Overall U.S. Investment Consulting
(Large Firms) designation was awarded to three firms and is based on the results
of interviews conducted by Coalition Greenwich. Between July and October 2021,
Coalition Greenwich interviewed 811 individuals from 661 of the largest
tax-exempt funds in the United States, including corporate and union funds,
public funds, and endowment and foundation funds, with either pension or
investment pool assets greater than $150 million. The award is the product of
numerical scores in Coalition Greenwich’s proprietary studies that are generated
from the study interviews. In addition to study interviews, the award is based
on other criteria including assets under management and industry experience.
Investment performance is not a criterion because client objectives and risk
tolerances vary, and advisors rarely have audited performance reports. Neither
Morgan Stanley Smith Barney LLC nor Graystone Consulting pays a fee to Coalition
Greenwich in exchange for the award; Graystone does not pay to have its clients
participate in the study. The award is not indicative of participating firm’s
nor their financial advisors’ past or future performance and may not be
representative of any one client's experience because the results represent an
average of all experiences of responding clients only. Coalition Greenwich is a
division of CRISIL. Morgan Stanley is not affiliated with Coalition Greenwich. ©
2022 Morgan Stanley Smith Barney LLC. Member SIPC. Graystone Consulting, a
business of Morgan Stanley Smith Barney LLC.
Coalition Greenwich Quality Leader Award 2022
Source: Coalition Greenwich 2022 U.S. Institutional Investors Study (April
2023). The 2022 Greenwich Quality Leader in Overall U.S. Investment Consulting
(Large Firms) designation was awarded to three firms and is based on the results
of interviews conducted by Coalition Greenwich. Between February and November
2022, Coalition Greenwich interviewed 727 individuals from 590 of the largest
tax-exempt funds in the United States, including corporate and union funds,
public funds, and endowment and foundation funds, with either pension or
investment pool assets greater than $150 million. The award is the product of
numerical scores in Coalition Greenwich’s proprietary studies that are generated
from the study interviews. In addition to study interviews, the award is based
on other criteria including assets under management and industry experience.
Investment performance is not a criterion because client objectives and risk
tolerances vary, and advisors rarely have audited performance reports. Neither
Morgan Stanley Smith Barney LLC nor Graystone Consulting pays a fee to Coalition
Greenwich in exchange for the award; Graystone does not pay to have its clients
participate in the study. The award is not indicative of participating firm’s
nor their financial advisors’ past or future performance and may not be
representative of any one client's experience because the results represent an
average of all experiences of responding clients only. Coalition Greenwich is a
division of CRISIL. Morgan Stanley is not affiliated with Coalition Greenwich. ©
2023 Morgan Stanley Smith Barney LLC. Member SIPC. Graystone Consulting, a
business of Morgan Stanley Smith Barney LLC.
Crain's Notable Women in Finance 2020
Source: Crain’s New York Business, December 7, 2020. Financial Advisors are
chosen for this list at the sole discretion of the publication, and selection is
not based on any quantitative criteria that is consistent across all listed
Advisors.. The Nominees must work within the five boroughs of New York City or
in the counties of Westchester, Bergen, Nassau or Rockland and must have worked
in a financial advisory capacity for a minimum of five years. The rating may not
be representative of any one client’s experience and is not indicative of the
Financial Advisor’s past or future performance. Neither Morgan Stanley Smith
Barney LLC nor its Advisors have paid a fee in exchange for this listing. All
investing entails risks that investors should endeavor to understand before then
invest.
F
Financial Planning’s Top 40 Under 40 2022
Financial Planning’s Top 40 Under 40 asks brokerage firms to nominate their top
young brokers. Of those nominated, Financial Planning bases its rankings on
quantitative and qualitative criteria. Financial Advisors are ranked by their
annual trailing-12 month production (as of Sept 31, 2021). The rating is not
indicative of the advisor's future performance. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors pay a fee to Financial Planning in
exchange for the rating.
Financial Times Top 400 Financial Advisors 2019
The Financial Times 400 Top Financial Advisors is an independent listing
produced annually by the Financial Times (April 2019). The FT 400 is based on
data gathered from advisors, broker-dealer home offices, regulatory disclosures,
and the FT’s research. The listing reflects each advisor’s status in six primary
areas: assets under management (AUM), asset growth, compliance record,
experience, credentials and online accessibility. This award does not evaluate
the quality of services provided to clients and is not indicative of this
advisor’s future performance. Neither Morgan Stanley nor the advisors pay a fee
to the Financial Times in exchange for inclusion in the FT 400.
Financial Times Top 401 Retirement Plan Advisors 2018
Source: The Financial Times 401 Top Retirement Advisors is an independent
listing produced annually by the Financial Times (September 2018). The FT 401 is
based on data gathered from advisors, regulatory disclosures, and the FT's
research. The listing reflects each advisor's status in seven primary areas: DC
plan assets under management (AUM), DC AUM growth rate, specialization in DC
plans, years of experience, advanced industry credentials, compliance record and
DC plan participation rate. This award does not evaluate the quality of services
provided to clients and is not indicative of the Financial Advisor's future
performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors pays a fee to the Financial Times in exchange for the
rating.
G
Greenwich Associates 2018 Quality Leader Award
Source: Greenwich Associates, April 25, 2019. The 2018 Greenwich Quality Leader
in Overall U.S. Investment Consulting (Mid-Size Firms) designation was awarded
to three firms and is based on the results of interviews conducted by Greenwich
Associates as described above. The award is the product of numerical scores in
Greenwich Associates’ proprietary studies that are generated from the study
interviews. In addition to study interviews, the award is based on other
criteria including assets under management and industry experience. Investment
performance is not a criterion because client objectives and risk tolerances
vary, and advisors rarely have audited performance reports. Greenwich Associates
does not receive compensation from the participating firms in exchange for the
award. The clients’ quantitative responses to the questions may not be
representative of any one client’s experience and are not indicative of the
participating firm’s nor their financial advisor’s future performance. Neither
Graystone Consulting nor Morgan Stanley Smith Barney LLC ("Morgan Stanley") paid
a fee to Greenwich Associates in exchange for the award. Morgan Stanley is not
affiliated with Greenwich Associates.
M
Maryland Daily Record Top 100 Women
Source: Maryland Daily Record, "Top 100 Women",1998, 2004 and 2007. The award is
based upon a recipient’s application and not upon any qualitative and
quantitative criteria relating specifically to one’s position as a Financial
Advisor. As such the award is not representative of any client’s experience nor
is it indicative of the Financial Advisor’s future performance. The publication
states that it considers four factors in compiling its list: accomplishments to
date, contributions to the industry, leadership, and promise. Neither Morgan
Stanley Smith Barney nor any of their Financial Advisors pay a fee to the
Maryland Daily Record in exchange for the rating.
N
NABCAP Premier Wealth Advisors (5-Star Local List)
"Source: NABCAP: Premier Wealth Advisors, Omaha Magazine, Over 5,000 direct
contacts and over 40,000 indirect contacts were made to seek participation
and/or nomination of participants in the Premier Wealth Advisor Program. The
number of individuals contacted varies based on the size of the local market.
NABCAP uses a methodology that it has created that includes both quantitative
and qualitative criteria, including, but not limited to, financial planning,
education, experience and compliance record. NABCAP contracts with Rank Premier
Advisors to administer its evaluation process. NABCAP’s evaluation and ranking
program (including the evaluation and validation process and the list of NABCAP
Premier Advisors) is an independent third-party assessment based on objective,
unbiased questions (the ""Program""). The Program is structured to ensure a
comprehensive and objective evaluation of financial advisory practices. NABCAP’s
methodology includes, but is not limited to (i) average assets per client, (ii)
average number of clients per advisor, (iii) financial advisor to support staff
ratio, and (iv) financial advisor and support staff credentials/designations.
For more information on NABCAP’s methodology, go to nabcap.org.
Premier Wealth Advisors do not pay a fee to be included in the final list of
NABCAP Premier Wealth Advisors.
The overall evaluation score of a wealth manager may not be representative of
any one client’s evaluation.
The inclusion of a wealth manager on the list should not be construed as an
endorsement of the wealth manager by NABCAP or Omaha Magazine.
The rating is not indicative of the Financial Advisor’s future performance."
O
On Wall Street’s Top 100 Branch Manager Honorees
On Wall Street’s Top 100 Branch Manager Honorees, as identified by On Wall
Street, uses criteria, such as achievements during the year; ability to
identify, recruit, develop, retain and reward talented Financial Advisors and
dedication to the goal of providing superior client service. The Honorees are
selected from the pool of nominees by judges chosen by On Wall Street. The
rating may not be representative of any one client’s experience and is not
indicative of the Branch Manager’s future performance. Neither Morgan Stanley
Smith Barney LLC nor its Branch Managers pay a fee to On Wall Street in exchange
for the rating.
On Wall Street’s Top 40 Under 40
On Wall Street’s Top 40 Under 40 asks brokerage firms to nominate their top
young brokers. Of those nominated, On Wall Street bases its rankings on
quantitative and qualitative criteria. Financial Advisors are ranked by their
annual trailing 12-month production (as of September 30, 2014). The rating is
not indicative of the advisor’s future performance. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors pay a fee to On Wall Street in exchange
for the rating.
On Wall Street’s Top 75 Branch Managers 2018
Source: On Wall Street "The Top 75 Branch Managers," September 04, 2018. The
rating may not be representative of any one client’s experience because it
reflects a sample of all of the experiences of the Branch Manager’s clients nor
may it be indicative of future performance. Neither Morgan Stanley Smith Barney
LLC nor any of its Branch Office Managers pay a fee to On Wall Street in
exchange for the rating.
P
PLANADVISER Top 100 Retirement Plan Advisers 2018
Source: PLANADVISER.com, January/February 2018. The 2018 PLANADVISER Top 100
Retirement Plan Advisers award is compiled from responses to the PLANADVISER
Retirement Plan Adviser Survey. It is based solely from a set of quantitative
variables and information from a survey supplied by the advisers themselves. A
sub-segment of the questions was used to determine eligibility for the Top 100.
The rating is not indicative of the Financial Adviser’s future performance.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisers paid a fee to
PLANADVISER in exchange for the rating.
PLANADVISER Top 100 Retirement Plan Advisers 2019
Source: PLANADVISER.com, January/February 2019. The 2019 PLANADVISER Top 100
Retirement Plan Advisers award is compiled from responses to the PLANADVISER
Retirement Plan Adviser Survey. It is based solely from a set of quantitative
variables and information from a survey supplied by the advisers themselves. A
sub-segment of the questions was used to determine eligibility for the Top 100.
The rating is not indicative of the Financial Adviser’s future performance.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisers paid a fee to
PLANADVISER in exchange for the rating.
PLANADVISER Top 100 Retirement Plan Advisers 2020
Source: PLANADVISER.com, March 2020 – The "PLANADVISER’S 2020 Top 100 Retirement
Plan Advisers" list is compiled from responses to the PLANADVISER Retirement
Plan Adviser Survey. The list is drawn solely from a set of quantitative
variables and information in the survey supplied by the advisers themselves. A
sub-segment of the questions was used to determine eligibility for the Top 100.
The rating is not indicative of the Financial Advisor's future performance.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors paid a fee to
Plan Advisor in exchange for the rating.
PLANADVISER Top 100 Retirement Plan Advisers 2021
Source: PLANADVISER.com, July 2021 – The "PLANADVISER’S 2021 Top 100 Retirement
Plan Advisers" list is compiled from responses to the PLANADVISER Retirement
Plan Adviser Survey. The list is drawn solely from a set of quantitative
variables and information in the survey supplied by the advisers themselves. A
sub-segment of the questions was used to determine eligibility for the Top 100.
The rating is not indicative of the Financial Advisor's future performance.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors paid a fee to
Plan Advisor in exchange for the rating.
R
Registered REP.'s List of Top 100 Wirehouse Advisors 2015
Source: REP. magazine, October 2015. Advisors on the Top 100 Wirehouse Advisors
list are ranked exclusively by assets under management custodied at the four
wirehouse firms. Only advisors for whom 80 percent or more of assets
corresponded to retail clients were eligible for the list. Assets under
management are as of the end of the second quarter 2015. REP. magazine and
WealthManagement.com do not receive any compensation from the financial
advisors, participating firms, affiliates or the media in exchange for rankings.
REP. Magazine Top 50 Wirehouse Women 2014
REP. magazine’s Top 50 Wirehouse Women, October 1, 2014. Advisors on the Top 50
Wirehouse Women list are ranked exclusively by assets under management custodied
at their firm. Only advisors for whom 80 percent or more of assets corresponding
to retail clients were eligible for the list. Assets under management are as of
the end of the first quarter 2014. REP. magazine and WealthManagement.com do not
receive any compensation from the financial advisors, participating firms,
affiliates or the media in exchange for rankings.
REP. Magazine's Top 40 Wirehouse Advisors Under 40 2013
Source: REP. magazine’s Top 40 Wirehouse Advisors Under 40, August 5, 2013.
Selected Financial Advisors are ranked exclusively by assets under management
custodied at their firm. Only Financial Advisors for whom 60 percent or more of
assets correspond to retail clients were eligible for the list. Financial
Advisors must be under the age of 40 as of August 2013. The rating is not
indicative of the Financial Advisor’s future performance. Neither the Financial
Advisor nor Morgan Stanley Wealth Management pays a fee to REP. magazine in
exchange for the ranking.
Research Magazine's 130 Top-Ranked Advisor Teams in America
Source: Research Magazine’s 130 Top-Ranked Advisor Teams in America, as
identified by The Winner’s Circle®, LLC, bases its rankings on qualitative
criteria: professionals with a minimum of seven years’ financial services
experience, acceptable compliance records, client retention reports, customer
satisfaction and more. With over 7,000 nominations compiled on an annual basis,
Financial Advisor teams are quantitatively ranked based on varying types of
revenues and assets advised by the financial professional, with weightings
associated for each. Additional measures include: in-depth interviews and
discussions with senior management, peers, and customers, and telephone-based
and in-person interviews with the nominees. Because individual client portfolio
performance varies and is typically unaudited, this ranking focuses on customer
satisfaction and quality of advice. For more information on ranking methodology,
go to www.WCorg.com. The rating may not be representative of any one client’s
experience because it reflects a sample of all of the experiences of the
Financial Advisor’s clients. The rating is not indicative of the Financial
Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors pay a fee to The Winner’s Circle in exchange for the rating.
Research Magazine’s Top-Ranked Teams in America
Source: Research magazine’s Top-Ranked Teams in America, as identified by
Research magazine, uses quantitative and qualitative criteria and selects from a
pool of over 3,000 nominations. Financial Advisors in the Top-Ranked Teams have
a minimum of seven years of financial services experience. Qualitative factors
include, but are not limited to, compliance record, interviews with senior
management and philanthropic work. Investment performance is not a criterion.
The rating may not be representative of any one client’s experience and is not
indicative of the Financial Advisor’s future performance. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors pay a fee to Research in
exchange for the rating. Research is a registered trademark of Dow Jones &
Company, L.P. All rights reserved.
Reuters AdvicePoint
Source: Reuters AdvicePoint bases its rankings exclusively on quantitative
criteria, such as assets under management, size of the book, and an acceptable
compliance record. Reuters accepts nominations from Financial Advisors. The
rating is not indicative of the Financial Advisor’s future performance. Morgan
Stanley Smith Barney LLC does not pay a fee to Reuters in exchange for the
rating.
W
Washingtonian Magazine Wealth Manager Award 2012
Source: Washingtonian, November 2012. Washingtonian’s They Know Money bases its
ratings on quantitative and qualitative criteria, including, but not limited to:
surveys to Washington-area financial professionals, nominations submitted to
them by firms based upon assets under management, degrees, and certifications.
The rating may not be representative of any one client’s experience. The rating
is not indicative of the Financial Advisor’s future performance. Neither Morgan
Stanley Smith Barney LLC nor any of their Financial Advisors pay a fee to
Washingtonian in exchange for the rating.
The individual(s) mentioned as the {Portfolio Manager or Portfolio Management
Team} is/are {a} Financial Advisor(s) with Morgan Stanley, participating in the
Morgan Stanley Portfolio Management program. The Portfolio Management program is
an investment advisory program in which the client’s Financial Advisor invests
the client’s assets on a discretionary basis in a range of securities. The
Portfolio Management program is described in the applicable Morgan Stanley ADV
Part 2, available at www.morganstanley.com/ADV or from your Financial Advisor.
Winner’s Circle Top 50
The Winner’s Circle®, LLC, bases its rankings on qualitative criteria:
professionals with a minimum of seven years’ financial services experience,
acceptable compliance records, client retention reports, customer satisfaction
and more. With over 7,000 nominations compiled on an annual basis, Financial
Advisors are quantitatively ranked based on varying types of revenues and assets
advised by the financial professional, with weightings associated for each.
Additional measures include: in-depth interviews and discussions with senior
management, peers, and customers, and telephone-based and in-person interviews
with the nominees. Because individual client portfolio performance varies and is
typically unaudited, this ranking focuses on customer satisfaction and quality
of advice. For more information on ranking methodology, go to www.WCorg.com. The
rating may not be representative of any one client’s experience because it
reflects a sample of all of the experiences of the Financial Advisor’s clients.
The rating is not indicative of the Financial Advisor’s future performance.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors pay a fee to
The Winner’s Circle in exchange for the rating.
Worth Top 100 Wealth Advisors
Source: Worth magazine’s Top 100 Wealth Advisors, bases its rankings on
qualitative criteria that include: professional designations and educational
credentials, professional experience, acceptable compliance records, outlook on
the investment climate, model portfolio returns, and client retention rate.
Worth editors receive thousands of nominations nationwide from Worth readers and
investment professionals. Nominated advisors are then asked to complete an
extensive survey. All credentials and designations are verified and nominee
compliance records are verified. For more information on ranking methodology,
go to
www.worth.com/Editorial/Wealth-Management/Advisors/subarticles/Taking-the-Measure-of-Your-Managers-The-Top-100-Methodology.asp.
The rating may not be representative of any one client’s experience because it
reflects a sample of all of the experiences of the Financial Advisor’s clients.
The rating is not indicative of the Financial Advisor’s future performance.
Morgan Stanley Smith Barney LLC does not pay a fee to Worth magazine in exchange
for the rating.
Worth Top 250 Wealth Advisors
Source: Worth magazine’s Top 250 Wealth Advisors, bases its rankings on
qualitative criteria that include: professional designations and educational
credentials, professional experience, acceptable compliance records, outlook on
the investment climate, model portfolio returns and client retention rate.
Worth editors receive thousands of nominations nationwide from Worth readers and
investment professionals. Nominated advisors are then asked to complete an
extensive survey. All credentials and designations are verified and nominee
compliance records are verified. For more information on ranking methodology,
go to www.worth.com/Index.asp. The rating may not be representative of any one
client’s experience because it reflects a sample of all of the experiences of
the Financial Advisor’s clients. The rating is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC does not pay a
fee to Worth magazine in exchange for the rating.
CRC 4864638 10/2022
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