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Submitted URL: https://fa.morganstanley.com/thefiskmorrisongroup
Effective URL: https://advisor.morganstanley.com/the-fisk-morrison-group
Submission: On February 14 via manual from DE — Scanned from DE
Effective URL: https://advisor.morganstanley.com/the-fisk-morrison-group
Submission: On February 14 via manual from DE — Scanned from DE
Form analysis 4 forms found in the DOM
POST
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<div class="ContactForm-privacyPledgeSection"><span class="ContactForm-privacyLinkText">Morgan Stanley is committed to safeguarding your information:</span>
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<a href="https://www.morganstanley.com/privacy-pledge" title="Your Privacy Choices" target="_blank" data-ya-track="privacylink" rel="nofollow noopener noreferrer">Read Our Privacy Pledge<span class="sr-only wcag-new-tab-hover">Link Opens in New Tab</span></a>
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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="given-name" data-interaction-name="contact now start" data-track-id="analytics-tracking-fa"
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<div id="bttc-TeamCarousel-modal2-collapse" class="collapse">
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<div class="ContactForm-privacyPledgeSection"><span class="ContactForm-privacyLinkText">Morgan Stanley is committed to safeguarding your information:</span>
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<a href="https://www.morganstanley.com/privacy-pledge" title="Your Privacy Choices" target="_blank" data-ya-track="privacylink" rel="nofollow noopener noreferrer">Read Our Privacy Pledge<span class="sr-only wcag-new-tab-hover">Link Opens in New Tab</span></a>
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</form>POST
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<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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<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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class="ContactForm-labelText">Personal Phone (optional)</span></label></div>
</div>
</fieldset>
<fieldset class="ContactForm-fieldset ContactForm-fieldset--collapsible js-ContactForm-collapsibleFieldset">
<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#bttc-contact-collapse" aria-expanded="false" aria-controls="bttc-contact-collapse"><span
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<path d="m0 0h30v5h-30z"></path>
<path d="m0 5h30l-15 16z" fill="currentColor"></path>
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THE FISK MORRISON GROUP AT MORGAN STANLEY
Gregory M FiskJohn E MorrisonJohn Morrison, CFP®Melissa A. Bednarczyk
Direct:
(914) 225-8222(914) 225-8222
Contact Us
OUR MISSION STATEMENT
We offer experience, intellectual capital and dedicated personal service to help
you meet your life goals.
Our Story and ServicesOur ProcessDigital ToolsMonthly ContentLocation
MISSION STATEMENT
We believe that working as a team help to provide you with the access to the
most appropriate solutions, and helps to ensure that you benefit from the
highest levels of service. While we bring complementary skills and perspectives
to our clients, we also share a commitment to responding to your needs promptly,
professionally and thoroughly. Our goal is to earn your confidence not only
through the quality of solutions we provide to you, but also the excellence with
which we deliver them.
Services Include
* Retirement PlanningFootnote1
* Financial PlanningFootnote2
* Lending Products
* Life InsuranceFootnote3
* Long Term Care InsuranceFootnote4
* Wealth Consulting
* Wealth ManagementFootnote5
* Estate Planning StrategiesFootnote6
Check the background of Our Firm and Investment Professionals on FINRA's
BrokerCheckLink Opens in New Tab.*
OUR PROCESS: THE FISK MORRISON METHOD
We can help you with a particular financial need or create a comprehensive plan
that takes all of your financial needs and goals into account. Our method looks
at your wealth from all sides. This leads to solutions that not only have the
ability to help you achieve your financial goals but also to transcend them and
safeguard against unforeseen life events.
Step 1: Discovery & Goal Setting
Let's begin with a thorough discussion to explain and ascertain your needs,
wants, and values. It is important to us that we have a thorough understanding
of every facet of your life that affects your financial goals and decisions.
Every financial strategy should be unique because everyone is different.
Step 2: Analysis, Strategy & Planning
To conduct a full assessment of your financial situation, we make use of a range
of financial planning and risk analysis tools. We then implement up a
comprehensive financial plan that will help you accumulate, safeguard, and
transfer wealth in line with your objectives.
Step 3: Implementation
Your assets will be transferred to Morgan Stanley once you give your approval.
We start implementing the additional techniques we described in your plan once
they are in line with your tailored investment strategy.
Step 4: Ongoing Monitoring
Our relationship with you is extremely important to us, and we want to keep it
that way. We communicate with you frequently to provide account updates.
Additionally, we keep tabs on how well you're doing in achieving each of your
objectives and adjust your financial plan as need when your circumstances
change.
MODERN WEALTH MANAGEMENT TOOLS
We offer a comprehensive suite of tools to manage your wealth more effectively
in today's busy world. We are happy to assist you in signing up for any of these
services.
Morgan Stanley Online
When you sign up for MSO, you can conveniently and securely manage your account
online or on your mobile device.
Learn More About MSO
Morgan Stanley Mobile App
The Morgan Stanley Mobile App gives you the same capabilities as Morgan Stanley
Online - all from the convenience of your own phone. It also offers features to
simplify your everyday finances. These include mobile check deposit and Send
Money with Zelle, a convenient way to send and receive money.
Click Here to Learn More
Total Wealth View
Complete your financial profile with Total Wealth View. By linking your external
account information, you will benefit from more educated and holistic wealth
planning, and convenient connectivity.
Learn More About Total Wealth View
Goals Based Planning System
The best method to get guidance and create a well-rounded wealth strategy is to
work with Morgan Stanley and its cutting-edge asset management technology. Learn
more about the benefits of utilizing our cutting-edge planning technology to
assist you in achieving any financial objectives you may have.
Learn More About GPS
Digital Vault
Keeping important documents and financial records organized and readily
available is one of the best gifts you can give those you love. In the event of
catastrophe or serious illness, disability or death, your Family Records
Organizer can immediately provide vital, timely information to both your family
and professional advisors. The Digital Vault on Morgan Stanley Online and the
Mobile App allows you and your clients to build a central, shared document
library where all documents are stored using encryption.
Learn More About Digital Vault
E-Delivery
eDelivery provides you with the ability to view statements and other Firm
documents electronically in lieu of paper. Clients who are registered in Morgan
Stanley Online may enroll in eDelivery. Currently, documents available through
eDelivery include statements, trade confirmations and prospectuses, general
correspondence, selected Internal Revenue Service (IRS) approved tax documents,
syndicate offerings, shareholder communications, and portfolio reports.
eDelivery Client Guide
E-Sign
To use eSign, all you need is a valid email address and phone number. The
personal identification number (PIN) can be delivered via phone call or via text
message. Here are the steps to complete the signing process.
Use eSign Today
E-Authorization
With E-Authorization, you no longer need to sign a paper Letter of Authorization
(LOA) to authorize a wire transfer request.
Click Here to Learn More
LifeView Intelligent Planning
LifeView is a suite of planning tools that includes goal-specific analysis that
we can use with our clients to create a realistic, integrated strategy that
incorporates the various aspects of an individual’s financial life, including
investments and cash management needs.
LifeView Questionnaire
Aladdin - Intelligent Risk Management
Portfolio Risk Platform – Powered by Aladdin is a risk management platform that
provides comprehensive risk estimation and reporting across a broad range of
asset classes and security types. This platform provides both an overview and a
detailed view to better enable risk to be effectively monitored and managed.
Aladdin - Portfolio Risk Platform
MONTHLY CONTENT
This is a community space for new monthly content and educational resources to
benefit you, your friends and your family. We invite you to learn and grow
through these resources. If there are any topics you love or anything you would
like to learn more about, please feel free to reach out to us so that we can
provide the great content you are looking for.
The GIC Weekly
Anxiety may be building among the more cautious investors who haven't ridden the
latest wave of stock market enthusiasm. But big-picture thinking should remind
investors of what really matters in the long run.
Read The Latest Report
Thoughts On The Market Podcast
With investors anticipating earnings surprises for US stocks, the outlook for
municipal bonds is looking brighter.
Listen To The Latest Episode
U.S. Equity Strategy: Weekly Warm Up
Fiscal constraints limit policy response at a time when cyclical risks persist.
Market breadth reflects this dynamic as the S&P 500 defends key technical
support. We share takeaways from our roundtable with industry analysts, our
latest consumer survey and our Dividend Playbook report.
View The Latest Report
Weekly Spotlight: Why Investors Shouldn’t ‘Fight the Fed’
Despite the Fed’s hawkish messaging, investors keep buying up U.S. stocks,
sending valuations higher. Here’s why that could be a mistake.
Click To Read More
2023 Midyear Investment Outlook
Investors should consider high-quality long-duration bonds, equities in Japan
and emerging markets, and mortgage-backed securities through the end of 2023.
Click To Read More
A Parent's Guide to Talking to Your Kids About Money
Tell your kids about it. Even young children will appreciate that you’re saving
for their future. Plus, it shows you value education and have high expectations
for their achievement that they are likely to want to live up to.
Click To Learn More
LOCATION
2000 Westchester Ave 1nc
Purchase, NY 10577
US
Direct:
(914) 225-8222(914) 225-8222
MEET THE FISK MORRISON GROUP
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GREGORY M FISK
Senior Vice President, Financial Advisor
--------------------------------------------------------------------------------
Visit Gregory M Fisk on LinkedIn
Email Gregory M Fisk
Phone:
(914) 225-8200(914) 225-8200
Contact Me
View My Bio
JOHN E MORRISON
Senior Vice President, Financial Advisor, Senior Portfolio Management Director,
Senior Vice President, Workplace Advisor - Equity Compensation
--------------------------------------------------------------------------------
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Visit John E Morrison on LinkedIn
Email John E Morrison
Phone:
(914) 225-8220(914) 225-8220
Contact Me
View My Bio
JOHN MORRISON, CFP®
Financial Advisor
--------------------------------------------------------------------------------
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Email John Morrison
Phone:
(914) 225-0022(914) 225-0022
Contact Me
View My Bio
MELISSA A. BEDNARCZYK
Vice President, Wealth Management Associate
--------------------------------------------------------------------------------
Email Melissa A. Bednarczyk
Phone:
(914) 225-8222(914) 225-8222
JESEMIA LAWRENCE
Senior Registered Associate
--------------------------------------------------------------------------------
Email Jesemia Lawrence
Phone:
(914) 225-0166(914) 225-0166
Next
ABOUT GREGORY M FISK
Gregory Fisk is a seasoned financial advisor with more than 30 years of
experience and a solid reputation for unwavering integrity. Having worked in
numerous market and economic environments, he offers a depth of first-hand
experience.
Greg joined Morgan Stanley ten years ago, following six years at UBS Securities.
He began his career with Prudential Securities. Greg is highly skilled at
utilizing the full resources of Morgan Stanley to offer his clients a broad
range of investments.
Making clients feel comfortable is important to Greg. To accomplish this
objective, he devotes as much time as necessary to understand their needs,
places as much emphasis on seeking to protect wealth as he does on growing it,
and helps provide personalized solutions to help them reach their goals.
Additionally, he meticulously helps monitor his clients’ portfolios regularly to
help ensure they remain on track in seeking their pre-determined financial
objectives. Along the way, he keeps his client well-informed, providing them
with high level of reassurance in his ability.
Greg is a graduate of Boston College, where he majored in English and
Psychology. He is married and has three children. His hobbies include golf,
fishing and reading. He also enjoys making a meaningful contribution in the
community, a character trait instilled in him by his mother at an early age.
Greg is past president of the local American Cancer Society, past board member
of the United Way of Westchester, and past chairman of the Community Hospital of
Dobbs Ferry. He is a current member of the Quad Village Rotary Club and a board
member of St. John’s Riverside Hospital.
CRC 2815741
Securities Agent: CA, CO, CT, DC, DE, FL, GA, HI, IA, IL, MA, MD, ME, MI, MS,
NC, NH, NJ, NM, NY, OH, OR, PA, WA, VT, VA, TX, TN, SC, RI, LA, AZ; General
Securities Representative; Investment Advisor Representative; Transactional
Futures/Commodities; Managed Futures
NMLS#: 1255689
ABOUT JOHN E MORRISON
John is a seasoned Financial Advisor with Morgan Stanley, recognized by Forbes
as a 2020 “Best-in-State Wealth Advisor, who focuses primarily on financial,
retirement and estate planning strategies. He is highly adept at helping clients
create personalized financial plans that help facilitate a desired lifestyle and
preserve wealth for future generations.
John has been in financial services since graduating from Mercy College with a
Bachelor of Science degree in business administration and marketing in 1989.
Over that time, he has built a loyal following with clients because he embodies
certain attributes that nurture rewarding long-term relationships.
Deeply interested in people, John takes the time to learn as much as possible
about his clients before addressing their financial needs and goals. He
emphasizes a collaborative relationship and travels the country to meet
face-to-face with his clients. This approach enables his clients to establish a
strong foundation of trust in him.
In his effort to give investors all the attention they require, John serves a
limited number of clients. While he relies on the extensive resources of Morgan
Stanley to help meet his clients’ needs, he also has long-standing relationships
with respected accountants, attorneys and insurance specialists in the
community.
John and his wife, Debbie, have four beautiful grown children, all of whom have
graduated college and are flourishing in their careers. John and his family
reside in Ridgefield, CT and he is an active member of the community. When his
children were young, he coached baseball and basketball, among other sports.
Today, he serves actively in leadership positions at his church, St. Stephen’s
as well as serving on the board of Lifting Up Westchester. John is an avid
golfer and enjoys the challenging aspects that the game offers.
CRC 2815603
Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Awarded Jan 2020) Data compiled by SHOOK Research LLC based
on time period from 6/30/18 - 6/30/19.
Learn more about my specialty in Equity CompensationLink Opens in New Tab
Securities Agent: OH, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, IL, MA, MD, ME,
MI, MS, NC, NH, NJ, NM, NY, OR, PA, RI, SC, TN, TX, VA, VT, WA, LA; General
Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1255463
ABOUT JOHN MORRISON
John is a CFP® certified Morgan Stanley Financial Advisor who focuses primarily
on investment, insurance, retirement and estate planning strategies. He is
highly adept at helping clients create personalized financial plans that help
facilitate a desired lifestyle and preserve wealth for future generations.
John joined Morgan Stanley immediately following his graduation from Endicott
College, where he was a varsity baseball pitcher, with a Bachelor of Science
degree in business administration in 2014. During the subsequent four years he
became ensconced in the Morgan Stanley culture, making the most of those
opportunities to reach his goal of becoming a Financial Advisor.
Through his myriad experiences within Morgan Stanley Wealth Management, John has
a deep knowledge of the vast resources provided to him by the firm, all aimed at
heightening the client experience. In his effort to give his clients the care
and attention they deserve, John takes the time to learn as much as possible
about his clients before addressing their financial needs and goals, proactively
following up on a regular basis to ensure his clients comfortability and
success.
Passionate about working towards a better future for all, John believes deeply
in the exciting and rapidly growing movement of Impact Investing, which entails
investing in companies who take seriously their role to generate a measurable,
beneficial social and environmental impact alongside a competitive financial
return.
John lives in New York City and is actively involved in his community, mostly
through serving as a Chair on the Junior Committee for the Inner-City
Scholarship Fund, which aims to change the lives of children with financial
needs through tutoring sessions, sports leagues and cultural field trips.
Continuing from his playing days at Endicott, John is an avid sports fan with a
particular interest in baseball, basketball, football and golf.
Securities Agent: IA, CA, NY, NC, FL, WA, NV, MT, MN, MD, TX, SD, HI, WY, RI,
NM, NH, MO, ID, NJ, CO, SC, ME, AZ, MA, UT, OH, MI, AL, DE, VT, WI, VA, DC, TN,
IL, PA, OR, KS, CT, GA, AR, MS, LA; General Securities Representative;
Investment Advisor Representative
NMLS#: 1797195
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CONTACT GREGORY M FISK
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Best Time to Contact
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Family Wealth Management
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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 Strategies
Ultra High Net Worth Investing
Wealth Transfer Planning / Inheritance
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Charitable Giving
Estate Planning Strategies
Family Wealth Management
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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
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Navigating Divorce Finances
Pre-Liquidity Event
Retirement Planning
Tax Planning Strategies
Ultra High Net Worth Investing
Wealth Transfer Planning / Inheritance
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CONTACT JOHN MORRISON
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Your Name*
First Name
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Afternoon
Evening
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Charitable Giving
Estate Planning Strategies
Family Wealth Management
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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 Strategies
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
Morgan Stanley is committed to safeguarding your information:
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Wealth Management
From Our Team
THE PLAYBOOK: A MILLENNIAL'S GUIDE TO LIFE & MONEY
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RETIREMENT
Working with you to understand your life goals and develop a personalized wealth
strategy. Today and for the years to come.
* 401(k) Rollovers
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TAX-SMART STRATEGIES FOR YOUR RETIREMENT
Smart tax planning can help you save more for retirement and keep more of what
you’ve already saved. Consider these tax-efficient retirement planning
strategies.
INVESTING
Working closely with you to guide your wealth and investments through the most
challenging market cycles.
* Asset Management
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* Traditional Investments
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MEGATRENDS: HOW TO INVEST IN THE AI BOOM
Artificial intelligence is set to become a $3 trillion industry in the next
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FAMILY
Creating customized financial strategies for the challenges that today’s
families face.
* Estate Planning Strategies
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HOW TO TAKE THE EMOTION OUT OF INVESTING
Recognizing your impulses when investing can help you sharpen your
decision-making. Here’s how.
BUSINESS PLANNING
Helping you on key aspects of your business such as ownership, liquidity and
developing opportunities.
* Succession Planning
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PLANNING FOR LIFE AFTER SELLING A BUSINESS
Selling your business can mean big changes for your life, both personally and
financially. Know how to make the most of your windfall.
PHILANTHROPY
Making sure your philanthropic dollars are managed with the same high quality
service as the rest of your wealth.
* Endowments
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DONOR ADVISED FUNDS: A TAX-EFFICIENT WAY TO MANAGE YOUR GIVING
There’s more to charitable giving than you may realize. Here’s one method that
provides flexibility and can help maximize your impact.
FINANCIAL WELLNESS
Enhancing Financial Wellness enables your workforce to do their best work.
Companies that invest in financial wellness have an opportunity to:
* Reduce employee stress,
* Improve retention and engagement, and
* Set themselves apart by offering comprehensive financial wellness benefits.
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Your people look to you for financial guidance. Here’s why employers should help
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THE AGE OF AI AND OTHER TRENDS IN TECH AND BEYOND
AI beyond the hype, a potential breakthrough in health tech, a near-term
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and ideas to help protect yourself online.
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certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, and CFP® (with plaque
design) in the United States, which it authorizes use of by individuals who
successfully complete CFP Board’s initial and ongoing certification
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1When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley
Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”)
provide “investment advice” regarding a retirement or welfare benefit plan
account, an individual retirement account or a Coverdell education savings
account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms
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
applicable. When Morgan Stanley provides investment education, takes orders on
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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.
2024 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's (March 2024) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2024. This ranking was determined based on an
evaluation process conducted by Barron's for the period from Oct 2022-Sept 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 an 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
assessment of Barron's and 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
2024 Barron's Top 100 Financial Advisors
Source: Barron's (May 2024) Barron's Top 100 Financial Advisors awarded in 2024.
This ranking was determined based on an evaluation process conducted by Barron's
for the period from Jan 2023-Dec 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 an 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 assessment 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
2024 Barron's Top 100 Institutional Consulting Teams
Source: Barron's (May 2024) Barron's Top 100 Institutional Consulting Teams
ranking awarded in 2024. This ranking was determined based on an evaluation
process conducted by Barron's for the period from Jan 2023-Dec 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 an 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 assessment
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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
2024 Barron's Top 100 Women Financial Advisors
Source: Barron's (July 2024) Barron's Top 100 Women Financial Advisors ranking
awarded in 2024. This ranking was determined based on an evaluation process
conducted by Barron's for the period from Apr 2023-Mar 2024. 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 an
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 assessment 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
2024 Barron's Top 250 Private Wealth Management Teams
Source: Barron's (May 2024) Barron's Top 250 Private Wealth Management Teams
ranking awarded in 2024. This ranking was determined based on an evaluation
process conducted by Barron's for the period from Jan 2023-Dec 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 an 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 assessment
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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
2024 Forbes America's Top Women Wealth Advisors & Forbes Top Women Wealth
Advisors Best-In- State
Source: Forbes.com (February 2024) 2024 Forbes America's Top Women Wealth
Advisors & Forbes Top Women Wealth Advisors Best-In- State rankings awarded in
2024. This ranking was determined based on an evaluation process conducted by
SHOOK Research LLC (the research company) in partnership with Forbes (the
publisher) for the period from 9/30/22-9/30/23. 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 Financial
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 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
2024 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth
Advisors Best-in-State
Source: Forbes.com (August 2024) 2024 Forbes America's Top Next-Gen Wealth
Advisors & Top Next-Gen Wealth Advisors Best-In-State ranking awarded in 2024.
This ranking was determined based on an evaluation process conducted by SHOOK
Research LLC (the research company) in partnership with Forbes (the publisher)
for the period from 3/31/23-3/31/24. 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 Financial 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 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
2024 Forbes America’s Top Wealth Advisors & Best-In-State Wealth Advisors
Source: Forbes.com (April 2024) 2024 Forbes America’s Top Wealth Advisors and
Best-In- State Wealth Advisors rankings awarded in 2024. This ranking was
determined based on an evaluation process conducted by SHOOK Research LLC (the
research company) in partnership with Forbes (the publisher) for the period from
6/30/22-6/30/23. 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 Financial 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 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
2024 Forbes America’s Top Wealth Management Teams
Source: Forbes.com (November 2024) 2024 Forbes America’s Top Wealth Management
Teams ranking awarded in 2024. This ranking was determined based on an
evaluation process conducted by SHOOK Research LLC (the research company) in
partnership with Forbes (the publisher) for the period from 3/31/23–3/31/24.
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 Financial 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 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
2024 Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Jan 2024) 2024 Forbes Best-In-State Wealth Management Teams
ranking awarded in 2024. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) for 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
Financial 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 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.
© 2024 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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