Inside illo Special Report Financial Advisers April 2020
© Daniel Pudles

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

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

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

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

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

We added that information to our own research on the candidates, including data from regulatory filings.

The formula the FT uses to grade advisers is based on six broad factors and calculates a numeric score for each adviser

These factors are:

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

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

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

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

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

Online accessibility illustrates commitment to providing investors with easy access and transparent contact information.

Among the top factors in our scoring, assets under management accounted for an average of 70 per cent of each adviser’s score. Also, AUM growth rate (examined over a three-year period to June 30 2019, to emphasise long-term performance) accounted for an average of 18 per cent. The FT also places a cap on the number of advisers from any one state that corresponds to the distribution of millionaires across the US.

We present the FT 400 as an elite group, not a competitive ranking. We acknowledge that ranking the industry’s top advisers from 1 to 400 would be futile, since each takes different approaches and has different specialisations.

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

The FT 400 Top Financial Advisers
High Net Worth
($1m - $10m)
Ultra-High Net Worth (>$10m)Institutional
Roberts, JeffAmeriprise Financial ServicesBirminghamXXXX
Runkle, Robert F.Merrill Lynch Wealth ManagementMontgomeryXXX
Callaway, RyanAmeriprise Financial ServicesAnchorageXXXX
Crawford, BrianWells Fargo AdvisorsTucsonXXXX
Harnden, Stephen P.Ameriprise Financial ServicesPeoriaXXX
Schultz, Steven L.UBS Wealth ManagementPhoenixXXXX
Tocco, Judith A.Tocco Financial Services/LPL FinancialTucsonXXX
Abrams, Michael L.Wells Fargo AdvisorsPalo AltoXX
Anton, Michael S.Ameriprise Financial ServicesWoodland HillsXX
Arbogast, Peter V.Merrill Private Wealth ManagementSan FranciscoX
Basch, Andrew B.Morgan Stanley Private Wealth ManagementLos AngelesXXX
Breen, Michael J.Merrill Private Wealth ManagementSan FranciscoX
Burbank, MikeMorgan Stanley Private Wealth ManagementSan FranciscoXX
Campbell, GwendolynMerrill Private Wealth ManagementSan FranciscoXX
Chase, AndyMorgan Stanley Private Wealth ManagementMenlo ParkXXX
Chopra, AshMerrill Private Wealth ManagementSan FranciscoX
Copeland, MarkSEIANewport BeachXXX
Corradini, DrewJ.P. Morgan SecuritiesSan FranciscoXXX
Curtis, Mark T.Morgan Stanley GraystonePalo AltoXXX
Daniel, BrandtJ.P. Morgan Private BankLos AngelesX
daRoza, TonyMerrill Private Wealth ManagementSan FranciscoX
DiLeva, Vince A.SEIARedondo BeachXXX
Douglass, MarkMorgan Stanley Private Wealth ManagementMenlo ParkXX
Eisenhauer, David J.Northwestern MutualWalnut CreekXXX
Freides, Drew S.UBS Private Wealth ManagementLos AngelesXXX
Fullmer, GregMorgan Stanley Private Wealth ManagementLos AngelesXXX
Genovese, Michael T.Genovese Burford & BrothersSacramentoXXXX
Gensler, Daniel G.The Gensler Group/LPL FinancialCoronadoXXX
Gluck, TraceyJ.P. Morgan SecuritiesLos AngelesXXX
Goldstein, Adam S.Ameriprise Financial ServicesCalabasasXXX
Green, RickWells Fargo AdvisorsLos AngelesXXXX
Griepp, TroyMorgan Stanley Private Wealth ManagementSan FranciscoXXX
Guimarin, AlmaMorgan Stanley Wealth ManagementSan JoseXXXX
Harries, ScottUBS Private Wealth ManagementLos AngelesXXX
Hearst, Jr., Dennis J.J.P. Morgan Private BankSan FranciscoX
Holmes, Brian D.Signature Estate & Investment AdvisorsLos AngelesXXX
Horgan, Daniel C.Raymond JamesNewport BeachXXX
Jones, Richard B.Merrill Private Wealth ManagementLos AngelesXX
Kelly, InnaMorgan Stanley Wealth ManagementSan FranciscoXXX
Keusayan, Karen V.Wells Fargo AdvisorsLos AngelesXXXX
Klein, Jerome S.Merrill Private Wealth ManagementLos AngelesX
Krenzin, RandyWells Fargo AdvisorsSan JoseXXX
La Pointe, David B.La Pointe Wealth Advisors/LPL FinancialTemeculaXXXX
Lee, GrantMorgan Stanley Private Wealth ManagementSan FranciscoXX
McDonald, KarenMorgan Stanley Wealth ManagementPalo AltoXXXX
McKelvy, J. DorianMorgan Stanley Wealth ManagementMenlo ParkXXXX
Milia, JohnWells Fargo AdvisorsIrvineXXX
Minkoff, StevenAmeriprise Financial ServicesSan FranciscoXXXX
Morgan, Mark S.Morgan Stanley Wealth ManagementFolsomXXX
Papadoyannis, GeorgeAmeriprise Financial ServicesSan MateoXXXX
Piliero, ThomasMorgan Stanley Private Wealth ManagementSan FranciscoXX
Reilly, Sean M.Merrill Lynch Wealth ManagementSan FranciscoXXXX
Schaffer, PatrickJ.P. Morgan Private BankLos AngelesX
Schulten, MarkTSG Wealth ManagementLong BeachXXXX
Schwarz, Donald L.RBC Wealth ManagementBeverly HillsXXX
Selig, Steven P.Merrill Lynch Wealth ManagementLos AngelesXXX
Severo, PatrickRBC Wealth ManagementBeverly HillsXXX
Shadden, John T.Morgan Stanley Private Wealth ManagementLong BeachXXX
Smith, Lawrence E.UBS Wealth ManagementBreaXXXX
Tanabe, KeithMerrill Lynch Wealth ManagementLos AngelesXXXX
Tolan, Mark P.Ameriprise Financial ServicesSan DimasXXX
Traum, Jeffrey D.Morgan Stanley Private Wealth ManagementMenlo ParkXXX
Van Hoorickx, EmilyUBS Wealth ManagementSan JoseXX
Vaughan, Gregory V.Morgan Stanley Private Wealth ManagementMenlo ParkXX
Wacker, RogerUBS Private Wealth ManagementLos AngelesXXX
Walsh, Daniel T.Merrill Lynch Wealth ManagementPalo AltoXX
Waxman, ScottMorgan Stanley Private Wealth ManagementSan FranciscoXXX
Wong, Benjamin W.Viewpoint Financial NetworkPleasantonXXXX
Young, Cheryl L.Morgan Stanley Wealth ManagementLos GatosXXX
Yu, GillianMorgan Stanley Private Wealth ManagementSan FranciscoX
Yu, SeanMorgan Stanley Private Wealth ManagementPasadenaXXX
Zafari, RezaMerrill Private Wealth ManagementLos AngelesXX
Zager, Drew J.Morgan Stanley Private Wealth ManagementLos AngelesX
Zanolli, Stephen M.Merrill Lynch Wealth ManagementPalo AltoXX
Beukelman, JonathanUBS Private Wealth ManagementDenverXXX
Cooper, Gary A.UBS Wealth ManagementDenverXXX
Di Ianni, Donna M.Merrill Lynch Wealth ManagementAspenXX
Cerniglia, JasonAmeriprise Financial ServicesMysticXXX
Chieco, PeterMorgan Stanley Wealth ManagementGreenwichXX
Couzens, Jr., Matthew C.Ameriprise Financial ServicesGlastonburyX
Cox, Joe M.Webster Wealth AdvisorsStamfordXX
Fagella, Anthony M.Alex. Brown/Raymond JamesGreenwichXX
Fry, Christopher L.Ameriprise Financial ServicesSouthingtonXX
Goodwin, Richard T.Merrill Lynch Wealth ManagementMadisonXXX
Gottfried, JoshuaGottfried & Somberg Wealth ManagementGlastonburyXX
Hassan, RichAlex. Brown/Raymond JamesGreenwichX
Jones, Mark R.Ameriprise Financial ServicesMiddleburyXXXX
Nelson, Justin D.J.P. Morgan Private BankGreenwichXX
Segal, Jeffrey A.C.I.G. Private Wealth ManagementGlastonburyXXXX
Somberg, MatthewGottfried & Somberg Wealth ManagementGlastonburyXXX
Wunder, Matthew S.Northwestern Mutual - Wunder FinancialWestportXXXX
Orth, Kimberlee M.Ameriprise Financial ServicesWilmingtonXXXX
Irwin, DonaldJ.P. Morgan Private BankWashingtonX
New, James M.UBS Private Wealth ManagementWashingtonXXX
Rietano, ThomasMerrill Private Wealth ManagementWashingtonX
Schaefer, Diane C.RBC Wealth ManagementWashingtonXXX
Adessi, Steven C.Merrill Lynch Wealth ManagementMiamiXXXX
Barcena, Ignacio A.Wells Fargo AdvisorsMiamiXXX
Bermont, Peter L.The Bermont Advisory Group of Raymond JamesCoral GablesXXX
Bober, MichaelUBS Private Wealth ManagementBoca RatonXX
Cabrera, JoseRaymond JamesCoral GablesXXXX
Chiavacci, LouisMerrill Private Wealth ManagementCoral GablesX
Comeau, Richard A.J.P. Morgan SecuritiesMiamiXX
Fetterman, Sean M.UBS Wealth ManagementBoca RatonXXX
Flaharty, Shon E.Flaharty Asset Management/LPL FinancialClearwaterXXXX
Garvin, ChrisUBS Wealth ManagementFort LauderdaleXXXX
Hausinger, JeffAll Seasons Wealth/Raymond JamesTampaXXX
Hill, Christopher E.Wells Fargo AdvisorsMiamiXXXX
Lytell, Matthew B.Northwestern Mutual - Riverwalk Wealth AdvisorsTampaXXXX
McLaughlin, Jim M.Princeton Wealth Advisors of Raymond JamesVero BeachXXXX
Moll, Todd A.Provenance Wealth Advisors/Raymond JamesFort LauderdaleXX
Moreno, Jose AlbertoMorgan Stanley Wealth ManagementMiamiXXX
Reiser, David R.J.P. Morgan SecuritiesMiami
(Mr Reiser’s primary office is in Providence, Rhode Island)
Stephens, Jason E.UBS Private Wealth ManagementNaplesXX
Valdes, Michael J.Merrill Private Wealth ManagementTampaXX
Ventrice, EdUBS Private Wealth ManagementBoca RatonXX
Walsh, Jr., JosephWalsh & Associates/LPL FinancialSarasotaXXXX
Harbour, AndrewMorgan Stanley GraystoneAtlantaXXX
Hines, Michael L.Consolidated Planning Corporation/Raymond JamesAtlantaXXXX
Jenkins, Brian G.J.P. Morgan SecuritiesAtlantaXXX
Westmoreland, RodMerrill Private Wealth ManagementAtlantaXX
Wickham, Malon M.Wells Fargo AdvisorsColumbusXX
Fujimoto, EricAmeriprise Financial ServicesHonoluluXX
Boles, David R.J.P. Morgan Private BankChicagoX
Cohen, BenjaminRaymond James & AssociatesChicagoXXX
Cooper, Charles T.J.P. Morgan Private BankChicagoX
Davis, TedMorgan Stanley Wealth ManagementChicagoXXX
Desai, AjayUBS Private Wealth ManagementChicagoX
Flury, Ryan J.J.P. Morgan Private BankChicagoX
Fries, DanielMerrill Lynch Wealth ManagementChicagoXXXX
Griffo, Andrew D.Morgan Stanley Wealth ManagementChicagoXXXX
Held, Richard M.UBS Wealth ManagementChicagoXXX
Koney, Kevin C.Ameriprise Financial ServicesOrland ParkXX
Ledebuhr, Peter E.Ledebuhr Wealth Management/LPL FinancialNapervilleXXXX
Magnesen, Scott K.Morgan Stanley Wealth ManagementOak BrookXXX
McKee, MattJ.P. Morgan Private BankChicagoX
Oberlander, Sharon F.Merrill Lynch Wealth ManagementChicagoXXX
Sakach, MichaelMorgan Stanley GraystoneChicagoXX
Schuster, ScottDashboard Wealth Advisors/Raymond JamesOak BrookXXXX
Spahn, Kevin M.Northwestern Mutual - Spahn FinancialLombardXX
Watson, Philip J.Ameriprise Financial ServicesDowners GroveXXXX
White, BrettAmeriprise Financial ServicesOakbrook TerraceXX
Whitney, James F.Morgan Stanley GraystoneChicagoXX
Cooke, ChrisCooke Financial Group at Sanctuary WealthIndianapolisXXX
Lehman, Randall T.Northwestern Mutual - Summit Financial GroupFort WayneXXXX
Payne, EricMerrill Lynch Wealth ManagementIndianapolisXXX
Perry, John D.Morgan Stanley Wealth ManagementIndianapolisXX
Wise, Mark E.Northwestern Mutual - Wise FinancialIndianapolisXXXX
Ask, Jerry K.Jerry K. Ask Investment Services/Raymond JamesCedar RapidsXXX
Boesen, BryanMorgan Stanley Wealth ManagementDes MoinesXXX
McGill, EdNorthwestern Mutual - McGill Junge Wealth ManagementUrbandaleXXXX
Ranallo, Anthony L.Merrill Lynch Wealth ManagementWest Des MoinesXXXX
Spielman, Jan M.Ameriprise Financial ServicesStorm LakeXXX
Evans, Ray D.Infinitas Wealth CounselOverland ParkXX
Ewing, Paul W.Prosperity Advisors/Cetera AdvisorsOverland ParkXXX
Donohue, Dean M.Ameriprise Financial ServicesLouisvilleXXXX
Eustis, Curtis D.Merrill Lynch Wealth ManagementNew OrleansXXX
Lyons IV, Charlton H.Ameriprise Financial ServicesShreveportXXXX
Simmons, Charles L.Ameriprise Financial ServicesMetairieXXXX
Jackson, James L.RBC Wealth ManagementPortlandXXXX
Baum, Patricia P.RBC Wealth ManagementAnnapolisXXXX
Dingle, Frank W.RBC Wealth ManagementBaltimoreXXX
Etergino, Ann MarieRBC Wealth ManagementChevy ChaseXXX
Hart, Micah R.SunTrust Investment ServicesColumbiaXX
Keetley, Richard A.Janney Montgomery ScottBaltimoreXX
Lee, Thomas P.Lee, Sipe and Associates/Raymond JamesRockvilleXXXX
Morgan III, William A.Ameriprise Financial ServicesEllicott CityXXXX
Pearce, Kent V.Merrill Lynch Wealth ManagementTowsonXXX
Richmond, TraciThe Meakem Group/Raymond JamesBethesdaXX
Smith III, H. JamesRBC Wealth ManagementBaltimoreXXX
Bartholomew, Thomas J.Bartholomew & CompanyWorcesterXXXX
Bergstrom, Brandon L.Merrill Lynch Wealth ManagementBeverlyXXXX
Beynon, Charles M.Ameriprise Financial ServicesBostonXXXX
Botta, Frank A.J.P. Morgan SecuritiesBostonXXX
Brede, Debra K.D.K. Brede Investment Management CompanyNeedhamXXXX
Gage, Douglas B.Ameriprise Financial ServicesAuburndaleXXX
Kaplan, Susan C.Kaplan Financial Services/LPL FinancialNewton Lower FallsXXXX
Levsky, AdrianUBS Wealth ManagementSpringfieldXXX
McCauley, Paul J.Merrill Private Wealth ManagementBostonX
Mullin, Mary B.Merrill Lynch Wealth ManagementBostonXXXX
Noonan, Peter C.J.P. Morgan SecuritiesBostonXXX
Nuwayhid, Ramzi N.Merrill Private Wealth ManagementBostonXX
Princi, PeterMorgan Stanley GraystoneBostonXXX
Ramsay, Peter A.Ameriprise Financial ServicesNorwellXXX
Sharma, RajMerrill Private Wealth ManagementBostonXXX
Sugar, AlexRBC Wealth ManagementBostonXXX
Wilson, Daniel T.Ameriprise Financial ServicesAuburndaleXXXX
Aho, Mark A.Mark Aho Financial Group/Raymond JamesMarquetteXXX
Ferhadson, KevinAmeriprise Financial ServicesTroyXXX
Fratarcangeli, JeffreyFratarcangeli Wealth ManagementBirminghamXXX
Gavin, MichaelGavin & Associates/Raymond JamesMidlandXXXX
Locniskar, DanaMerrill Private Wealth ManagementTroyXXX
Migliazzo, FrankMerrill Private Wealth ManagementTroyX
Rosloniec, MichaelMorgan Stanley GraystoneGrand RapidsXXX
Schmidt, Martin L.Northwestern Mutual - Cranbrook FinancialTroyX
Vigi, JonUBS Private Wealth ManagementBirminghamXXX
Wyman, Timothy W.Center for Financial Planning/Raymond JamesSouthfieldXXX
Baune, BradNorthwestern Mutual - Baune FinancialMendota HeightsXXXX
Close, Louis D.UBS Private Wealth ManagementMinneapolisXX
Doroff, Randy G.Ameriprise Financial ServicesMinneapolisXXX
Erpelding, MichaelNorthwestern Mutual - Erpelding Wealth ManagementEdinaXXXX
Howe, Aaron M.RBC Wealth ManagementWayzataXX
Marks, BennettMarks Group Wealth Management/LPL FinancialMinnetonkaXXX
Slaggie, Michael J.Raymond James Financial ServicesWinonaXXXX
Sweet, Bryan J.Sweet Financial Services/Raymond JamesFairmontXXXX
Thoen, Gregory M.Ameriprise Financial ServicesAustinXXX
Mosby III, Bill (Rush)UBS Wealth ManagementJacksonXXXX
Burke, Thomas A.Syntegra Private Wealth GroupChesterfieldXXXX
Moeller, Michael L.Wells Fargo AdvisorsChesterfieldXXXX
Murray, Seth C.Ameriprise Financial ServicesSpringfieldXXXX
Harrison, TimNorthwestern Mutual - Harrison Financial ServicesOmahaXXXX
Leinen, ScottRBC Wealth ManagementOmahaXXXX
Lee, GeoffreyAmeriprise Financial ServicesHendersonXXXX
Bonfiglio, Robert A.Ameriprise Financial ServicesBedfordXXX
Bonevento, MichaelIntellectual Capital Group/LPL FinancialWallXXX
Deatherage, Mary M.Morgan Stanley Private Wealth ManagementLittle FallsXXX
Fendrick, MarkUBS Wealth ManagementMt. LaurelXXX
Kugel, Elliott M.Merrill Lynch Wealth ManagementBridgewaterXXX
Maltese, JamesMerrill Lynch Wealth ManagementIselinXX
Matina, Joseph P.UBS Private Wealth ManagementShort HillsXX
McGinley, ChristineUBS Wealth ManagementMt. LaurelXXXX
McPeak, NeilWells Fargo AdvisorsLinwoodXXXX
Ricca, Michael J.Morgan Stanley Wealth ManagementFlorham ParkXXX
Schwartz, Andy M.Bleakley Financial Group/LPL FinancialFairfieldXXX
Schwartz, Daniel S.UBS Private Wealth ManagementParamusX
Shegoski, MarcUBS Wealth ManagementPrincetonXXX
Weinerman, David S.Morgan Stanley Wealth ManagementFlorham ParkXXX
Cochran, BrianJohn Moore Associates/Raymond JamesAlbuquerqueXXX
Adamsky, Jonathan A.UBS Wealth ManagementNew YorkXX
Agresta, EdmundMorgan Stanley Private Wealth ManagementNew YorkXX
Allora, Christopher J.Merrill Private Wealth ManagementNew YorkXX
Basu, RonMorgan Stanley Private Wealth ManagementNew YorkXX
Beiley, Eric P.Steward Partners/Raymond JamesNew YorkXXX
Beyer, DavidMorgan Stanley Wealth ManagementNew YorkXXXX
Bieber, DavidMorgan Stanley Private Wealth ManagementNew YorkXXX
Bryan, Jeffrey M.Merrill Private Wealth ManagementNew YorkXX
Burrows, Bruce A.Morgan Stanley Wealth ManagementGarden CityXXXX
Cannata, Steven J.Merrill Lynch Wealth ManagementNew YorkXXXX
Cannataro, Louis S.Northwestern Mutual - Cannataro Park Avenue FinancialNew YorkXX
Cohen, Leigh E.Merrill Private Wealth ManagementNew YorkX
Covell, James A.RBC Wealth ManagementNew YorkXXXX
Duff, Brian M.J.P. Morgan Private BankNew YorkX
Epstein, Adam F.UBS Private Wealth ManagementNew YorkXXX
Ferreira, Artur V.UBS Wealth ManagementNew YorkX
Ginsburg, KatherineJ.P. Morgan Private BankNew YorkXXX
Grasmeder, Kathleen R.Morgan Stanley Wealth ManagementGlens FallsXXXX
Gunderson, Louise F.UBS Wealth ManagementNew YorkXXXX
Halbfinger, Martin L.UBS Wealth ManagementNew YorkXXX
Hart, AndrewMorgan Stanley Private Wealth ManagementNew YorkX
Karetsky, MarcMorgan Stanley Private Wealth ManagementNew YorkXX
Kass, JonathanMerrill Lynch Wealth ManagementNew YorkXXX
Katz, Jason M.UBS Wealth ManagementNew YorkXXXX
Kelton, RichardThe Kelton Financial Group/Raymond JamesLathamXXX
Kilduff, Sean T.UBS Private Wealth ManagementNew YorkXX
Kilroy, Robert L.Northwestern Mutual - Point Wealth ManagementMelvilleXXX
Klingman, GerardKlingman & Associates/Raymond JamesNew YorkXXX
Klotz, JeffreyUBS Wealth ManagementNew YorkXXX
Kokubo, Sergio S.UBS Wealth ManagementNew YorkX
Kraus, Andrew P.Merrill Private Wealth ManagementNew YorkXX
Lea-Howarth, Claire A.J.P. Morgan Private BankNew YorkXX
Lindia, FabioJ.P. Morgan Private BankNew YorkXX
Luftman, MichaelFortis Lux FinancialNew YorkXXX
Malkin, JoshuaMorgan Stanley Private Wealth ManagementNew YorkXXX
Massaro, FernandoMorgan Stanley Wealth ManagementNew YorkXXXX
May, W. CorbyMerrill Lynch Wealth ManagementGarden CityXX
Mayer, JordanJ.P. Morgan SecuritiesNew YorkXXX
McGinty, Robert J.Merrill Private Wealth ManagementNew YorkXX
Millman, IraMorgan Stanley Wealth ManagementNew YorkXXX
Mitchell, NeilMorgan Stanley Private Wealth ManagementNew YorkXXX
Morton, Ellen W.J.P. Morgan Private BankNew YorkXX
Myers, Jonathon L.Ameriprise Financial ServicesVestalXXX
Newman, William J.Northwestern Mutual - The Atrium Financial GroupAlbanyXXX
O'Connell, DanielMerrill Lynch Wealth ManagementGarden CityXXX
Paradise, Michael D.Merrill Private Wealth ManagementNew YorkXX
Pastolove, CraigMorgan Stanley Private Wealth ManagementNew YorkXX
Pintado Caravita di Sirignano, RicardoUBS Wealth ManagementNew YorkXX
Rabito, RussellUBS Wealth ManagementNew YorkXXX
Raphalian, Brian E.Merrill Private Wealth ManagementNew YorkXX
Rasulo, John P.J.P. Morgan SecuritiesNew YorkXX
Rechtschaffen, AlanUBS Wealth ManagementNew YorkXXX
Rosenthal, Adam S.UBS Private Wealth ManagementNew YorkXX
Rosenthal, Peter W.UBS Wealth ManagementJerichoXXX
Rubin, ShawnMorgan Stanley Private Wealth ManagementNew YorkXXX
Schalk, Thomas P.Merrill Lynch Wealth ManagementGreat NeckXX
Schoff, William L.UBS Wealth ManagementRochesterXXX
Schubach, ClarkJ.P. Morgan SecuritiesNew YorkXXX
Schwartz, Eric A.Merrill Private Wealth ManagementNew YorkXX
Schwartz, Stephen A.Northwestern Mutual - Pioneer FinancialNew YorkXXX
Stackman, ScottUBS Private Wealth ManagementNew YorkXXX
Sukhin, AndrewMorgan Stanley Private Wealth ManagementNew YorkX
Sullivan, ThomasMerrill Lynch Wealth ManagementGarden CityXXX
Taggart, Michael M.J.P. Morgan SecuritiesNew YorkXX
Taylor, TallieMorgan Stanley GraystoneNew YorkXX
Tennant, Steven A.Northwestern Mutual - Tennant FinancialBallston LakeXX
Terzioglu, AhmetMorgan Stanley Wealth ManagementRochesterXXX
Vessa, John L.Morgan Stanley Wealth ManagementNew YorkXXX
Vinder, Ron J.Morgan Stanley Private Wealth ManagementNew YorkX
Weil, NoelMerrill Private Wealth ManagementNew YorkX
Winderbaum, Anna S.Morgan Stanley Private Wealth ManagementNew YorkXXX
Winik, JeffreyMorgan Stanley Wealth ManagementNew YorkXX
Witover, M. KennethUBS Private Wealth ManagementNew YorkXX
Zeller, MarkUBS Wealth ManagementNew YorkXXX
Zinman, RichardMorgan Stanley Private Wealth ManagementNew YorkXX
Hoge, Brett W.BB&T Scott & StringfellowWinston-SalemXX
Landau, Adam B.Morgan Stanley Private Wealth ManagementCharlotteX
McCardell, JohnMerrill Lynch Wealth ManagementCharlotteXX
McCarthy, BobRBC Wealth ManagementRaleighXXX
Rakestraw, David W.BB&T Scott & StringfellowRaleighXXXX
Seamen III, George S.Merrill Lynch Wealth ManagementRaleighXXXX
Walker, MarkAmeriprise Financial ServicesCharlotteXXXX
Bird, Joel L.Ameriprise Financial ServicesBismarckXXXX
Draeger, Dennis A.Ameriprise Financial ServicesFargoXXX
Schlafman, Dave A.Ameriprise Financial ServicesBismarckXXXX
Broughton, Michael P.Ameriprise Financial ServicesCincinnatiXXX
Bruegge, KevinMerrill Private Wealth ManagementCincinnatiXX
Carbetta, PaulAmeriprise Financial ServicesWorthingtonXXXX
Carver, Randy A.Carver Financial Services/Raymond JamesMentorXXXX
Chaddock, Jeffery D.Ameriprise Financial ServicesGahannaXXXX
Chornyak, Joseph A.Chornyak & AssociatesColumbusXXXX
Chornyak, Jr., Joseph A.Chornyak & AssociatesColumbusXXXX
Mauk, Robert A.Chornyak & AssociatesColumbusXXXX
Motta, PeterMerrill Private Wealth ManagementColumbusXX
Myeroff, KevinNCA Financial PlannersClevelandXXXX
Shane, Jon R.Merrill Lynch Wealth ManagementPepper PikeXXXX
Singer, DavidMerrill Private Wealth ManagementCincinnatiXX
Cheek, Cameron L.UBS Wealth ManagementPortlandXXXX
McGee, Judith A.McGee Wealth Management/Raymond JamesPortlandXXXX
Boland, RobbRBC Wealth ManagementPhiladelphiaXXX
Jugan, AJAmeriprise Financial ServicesPittsburghXXXX
Kahl, VirgilSpring Ridge Financial GroupWyomissingXXX
Keller, Harry E.Voya Financial AdvisorsConshohockenXX
Martin, James F.Morgan Stanley Private Wealth ManagementWest ConshohockenXX
Parker, Sr., John J.Wells Fargo AdvisorsPhiladelphiaXXX
Policare, LisaPenn Wealth Planning/LPL FinancialNew HopeX
Rimmel, James W.UBS Wealth ManagementPittsburghXXXX
Rohr, Peter A.Merrill Private Wealth ManagementPhiladelphiaX
Seiler, Thomas A.The Seiler Group of Raymond JamesNewtownXXX
Smith, Kevin J.Janney Montgomery ScottYorkXXXX
Spanos, Samuel W.Raymond James & AssociatesBeaverXXXX
Kibler, E. RobertsonMerrill Private Wealth ManagementColumbiaXXX
Migliore, Richard T.Merrill Lynch Wealth ManagementColumbiaXXX
Nelson, ToddMerrill Lynch Wealth ManagementSioux FallsXXX
Quello, Nathan S.Loft Advisors/Raymond JamesSioux FallsXXXX
Liles, Malcolm H.BairdNashvilleXXXX
Mayer, WardRaymond James & AssociatesMemphisXXXX
Roberson, Timothy R.Merrill Lynch Wealth ManagementBrentwoodX
Smith, Earnest (Trey)SunTrust Investment ServicesNashvilleXXX
Stein, Michael E.Wells Fargo AdvisorsMemphisXXXX
Trentham, Brent L.Ameriprise Financial ServicesAlcoaXXXX
Williams, Thomas L.Merrill Lynch Wealth ManagementMemphisXXXX
Bertino, RobUBS Private Wealth ManagementDallasX
Blessing, KalitaQuest Capital Management/Raymond JamesDallasXX
Blonkvist, Kevin M.RBC Wealth ManagementMidlandXXXX
Bruce, BradleyMerrill Lynch Wealth ManagementFort WorthXXX
de Groot, FrederickMerrill Lynch Wealth ManagementThe WoodlandsXX
Gladstein, MarkMerrill Lynch Wealth ManagementHoustonXXXX
Heuer, SusanMerrill Lynch Wealth ManagementHoustonXXXX
Lorch, Howard S.The Lorch Group of Wells Fargo AdvisorsHoustonXXXX
Mainord, MarcusJ.P. Morgan Private BankFort WorthXX
Martin, John E.Raymond James & AssociatesAustinXXXX
McMeen, RobertParkway Wealth Management Group/Raymond JamesPlanoXXX
Muldoon, KathleenCarter Financial Management/Raymond JamesDallasXX
Murphy, Jr., William H.Wells Fargo AdvisorsThe WoodlandsXXX
Pearcy, Van M.Van Pearcy's Wealth Services Team/Raymond JamesMidlandXXXX
Pennington, Darrell R.Ameriprise Financial ServicesHoustonXXX
Peterson, Donald S.UBS Private Wealth ManagementDallasXXX
Schneider, Jacob B.J.P. Morgan Private BankFort WorthX
Smith, Thad F.J.P. Morgan SecuritiesDallasXX
Runia, Dane W.Merrill Private Wealth ManagementProvoXXX
Beden, Craig J.Beden Wealth ManagementViennaXXX
Carradice, JTAmeriprise Financial ServicesFalls ChurchXXX
Cassaday, Stephan Q.Cassaday & CompanyMcLeanXXXX
Fitzgerald, JimNorthwestern Mutual - Fitzgerald Financial GroupRichmondXXXX
Hamilton, Simon R.B.BairdRestonXXX
Kim, SusanAmeriprise Financial ServicesViennaXXXX
Krell, ChristopherCassaday & CompanyMcLeanXXXX
Kurtz, JonathanVoya Financial AdvisorsViennaXXXX
Lewis, John B.BB&T Scott & StringfellowRichmondXXXX
Stokes, Nolan W.Northwestern MutualFairfaxXXX
Strange, Allan H.Janney Montgomery ScottRichmondXXXX
Braun, DeanMorgan Stanley Private Wealth ManagementSeattleX
Hartvigson, Grant E.Rainier Financial Group/LPL FinancialSeattleXXXX
Hollomon, Stephen J.Merrill Lynch Wealth ManagementSeattleXXX
Matthews, Michael S.UBS Private Wealth ManagementBellevueXXX
Munster, BruceMerrill Private Wealth ManagementBellevueXX
Ragen, CameronBairdSeattleXXX
Samples, Justin T.Ameriprise Financial ServicesVancouverXXXX
Scannell, Erin J.Ameriprise Financial ServicesMercer IslandXXXX
West, LowryMorgan Stanley Private Wealth ManagementSeattleX
Houchins, David L.BB&T Scott & StringfellowCharlestonXXXX
Broeske, Patrick M.Lakeside Wealth Management/LPL FinancialFond du LacXXXX
Burish, AndrewUBS Wealth ManagementMadisonXXXX
Calvelli, Christopher M.BairdMilwaukeeXXX
David, JerryNorthwestern Mutual - Prescient Financial SolutionsMilwaukeeXX
Doughty, ChristopherGentian Financial/Raymond JamesMequonXXX
Fox III, Edward (Ted) C.Ameriprise Financial ServicesWausauXXX
Heckmann, MatthewNorthwestern Mutual - Heckmann FinancialMiddletonXXXX
Klein, Michael G.BairdMilwaukeeXX
Kowal, JeffreyKowal Investment Group/Raymond JamesWaukeshaXXXX
Maleki, Saede P.Northwestern Mutual - Beauchamp Maleki GroupMilwaukeeXX

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

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