advisor.morganstanley.com
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23.201.243.190
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URL:
https://advisor.morganstanley.com/the-henley-furlong-group
Submission: On June 05 via api from US — Scanned from DE
Submission: On June 05 via api from US — Scanned from DE
Form analysis 4 forms found in the DOM
POST
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value="Team Website"><input type="hidden" name="00N1K00000fcWdp" id="MS_Application_ID" value=""><input type="hidden" name="00N1K00000fcWdk" id="MS_ECID" value=""><input type="hidden" name="00N1K00000fcWdu" id="MS_Time_Stamp" value=""><input
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name="00N4100000f70iu" value="047" data-title="FA Number"><input type="hidden" name="00N4100000f70iv" value="11079190" data-title="FA Federation ID"><input type="hidden" name="debug" value="1"><input type="hidden" name="debugEmail"
value="FAwebsites@morganstanley.com"><input type="hidden" name="env" value="prod"><input type="hidden" name="captchaToken" value=""><input type="hidden" name="00N4100000f7iVJ" value="Chase.Henley@morganstanley.com"
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value="Bryan.Furlong@morganstanley.com" data-title="FA Notification Recipient 3">
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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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<fieldset class="ContactForm-fieldset ContactForm-fieldset--contact is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">How can we contact you?*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label is-required"><input autocomplete="email" name="email" placeholder="Email" required="" type="email"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="phone"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="mobile"
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</div>
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<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#bttc-TeamCarousel-modal0-collapse" aria-expanded="false" aria-controls="bttc-TeamCarousel-modal0-collapse"><span
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<path d="m0 0h30v5h-30z"></path>
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<div id="bttc-TeamCarousel-modal0-collapse" class="collapse">
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Morning"><span class="ContactForm-labelText">Morning</span></label></div>
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Afternoon"><span class="ContactForm-labelText">Afternoon</span></label></div>
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Evening"><span class="ContactForm-labelText">Evening</span></label></div>
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<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#investment-needs-TeamCarousel-modal0-collapse" aria-expanded="false"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16300" name="00N4100000f70ix" type="checkbox" value="General Investment Advice"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="5928594" name="00N4100000f70ix" type="checkbox" value="Global Sports and Entertainment"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16301" name="00N4100000f70ix" type="checkbox" value="Help with Special Needs or Disabilities"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16302" name="00N4100000f70ix" type="checkbox"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="363325" name="00N4100000f70ix" type="checkbox" value="Internationally Based Investor / Family"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="5632834" name="00N4100000f70ix" type="checkbox" value="Investing With Impact"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16303" name="00N4100000f70ix" type="checkbox" value="LGBT Financial Planning"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16304" name="00N4100000f70ix" type="checkbox" value="Liability Management"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16306" name="00N4100000f70ix" type="checkbox" value="Pre-Liquidity Event"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16307" name="00N4100000f70ix" type="checkbox" value="Retirement Planning"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16309" name="00N4100000f70ix" type="checkbox" value="Tax Planning"><span
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<div class="ContactForm-footer">
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</form>POST
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value="Team Website"><input type="hidden" name="00N1K00000fcWdp" id="MS_Application_ID" value=""><input type="hidden" name="00N1K00000fcWdk" id="MS_ECID" value=""><input type="hidden" name="00N1K00000fcWdu" id="MS_Time_Stamp" value=""><input
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value="FAwebsites@morganstanley.com"><input type="hidden" name="env" value="prod"><input type="hidden" name="captchaToken" value=""><input type="hidden" name="00N4100000f7iVJ" value="Chase.Henley@morganstanley.com"
data-title="FA Notification Recipient 1"><input type="hidden" name="00N4100000f7iVK" value="Shawn.Henley@morganstanley.com" data-title="FA Notification Recipient 2"><input type="hidden" name="00N4100000f7iVL"
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<fieldset class="ContactForm-fieldset ContactForm-fieldset--name is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">Your Name*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="given-name" data-interaction-name="contact now start" data-track-id="analytics-tracking-fa"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="family-name" name="last_name" placeholder="Last Name" required="" type="text"><span
class="ContactForm-labelText">Last Name</span></label></div>
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<fieldset class="ContactForm-fieldset ContactForm-fieldset--contact is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">How can we contact you?*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label is-required"><input autocomplete="email" name="email" placeholder="Email" required="" type="email"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="phone"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="mobile"
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</div>
</fieldset>
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<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#bttc-TeamCarousel-modal1-collapse" aria-expanded="false" aria-controls="bttc-TeamCarousel-modal1-collapse"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Morning"><span class="ContactForm-labelText">Morning</span></label></div>
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<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#investment-needs-TeamCarousel-modal1-collapse" aria-expanded="false"
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<div id="investment-needs-TeamCarousel-modal1-collapse" class="collapse">
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16698" name="00N4100000f70ix" type="checkbox" value="Charitable Giving"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16300" name="00N4100000f70ix" type="checkbox" value="General Investment Advice"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16301" name="00N4100000f70ix" type="checkbox" value="Help with Special Needs or Disabilities"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="5632834" name="00N4100000f70ix" type="checkbox" value="Investing With Impact"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16303" name="00N4100000f70ix" type="checkbox" value="LGBT Financial Planning"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16304" name="00N4100000f70ix" type="checkbox" value="Liability Management"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16305" name="00N4100000f70ix" type="checkbox" value="Navigating Divorce Finances"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16306" name="00N4100000f70ix" type="checkbox" value="Pre-Liquidity Event"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16310" name="00N4100000f70ix" type="checkbox" value="Ultra High Net Worth Investing"><span
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<div id="household-assets-TeamCarousel-modal1-collapse" class="collapse">
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70iw" type="radio" value="Less than $250,000"><span class="ContactForm-labelText">Less than
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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 name="00N4100000f70iw" type="radio" value="$250,000 - $1 million"><span class="ContactForm-labelText">$250,000 - $1
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</form>POST
<form class="ContactForm js-ContactForm" data-env="prod" method="POST" data-js-ya-cid="96595d1b-1b55-4f9b-a910-5c42edc5c66c">
<div class="ContactForm-requiredFieldsMessage" id="ContactModal-describedBy2">* Required Fields</div><input type="hidden" name="formType" value="wealth"><input type="hidden" name="retURL" value="http://"><input type="hidden" name="lead_source"
value="Team Website"><input type="hidden" name="00N1K00000fcWdp" id="MS_Application_ID" value=""><input type="hidden" name="00N1K00000fcWdk" id="MS_ECID" value=""><input type="hidden" name="00N1K00000fcWdu" id="MS_Time_Stamp" value=""><input
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name="00N4100000f70iu" value="186" data-title="FA Number"><input type="hidden" name="00N4100000f70iv" value="14818897" data-title="FA Federation ID"><input type="hidden" name="debug" value="1"><input type="hidden" name="debugEmail"
value="FAwebsites@morganstanley.com"><input type="hidden" name="env" value="prod"><input type="hidden" name="captchaToken" value=""><input type="hidden" name="00N4100000f7iVJ" value="Chase.Henley@morganstanley.com"
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<fieldset class="ContactForm-fieldset ContactForm-fieldset--name is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">Your Name*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="given-name" data-interaction-name="contact now start" data-track-id="analytics-tracking-fa"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="family-name" name="last_name" placeholder="Last Name" required="" type="text"><span
class="ContactForm-labelText">Last Name</span></label></div>
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<fieldset class="ContactForm-fieldset ContactForm-fieldset--contact is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">How can we contact you?*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label is-required"><input autocomplete="email" name="email" placeholder="Email" required="" type="email"><span
class="ContactForm-labelText">Email</span></label></div>
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="phone"
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class="ContactForm-labelText">Work Phone (optional)</span></label></div>
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="mobile"
pattern="(\+?\d{1,3}[-.,\s]?)?((\(?\d{1,2}\)?[-.,\s]?\d{4}[-.,\s]?\d{4})|(\(?\d{3}\)?[-.,\s]?\d{3}[-.,\s]?\d{4}))([-.,\s]{0,2}(([E|e]xt|x|X)[:.,|]?)\s?\d+)?" placeholder="Personal Phone (optional)" type="tel"><span
class="ContactForm-labelText">Personal Phone (optional)</span></label></div>
</div>
</fieldset>
<fieldset class="ContactForm-fieldset ContactForm-fieldset--team ContactForm-fieldset--collapsible js-ContactForm-collapsibleFieldset">
<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#bttc-TeamCarousel-modal2-collapse" aria-expanded="false" aria-controls="bttc-TeamCarousel-modal2-collapse"><span
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<path d="m0 5h30l-15 16z" fill="currentColor"></path>
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<div id="bttc-TeamCarousel-modal2-collapse" class="collapse">
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Morning"><span class="ContactForm-labelText">Morning</span></label></div>
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Afternoon"><span class="ContactForm-labelText">Afternoon</span></label></div>
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Evening"><span class="ContactForm-labelText">Evening</span></label></div>
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<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#investment-needs-TeamCarousel-modal2-collapse" aria-expanded="false"
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<div id="investment-needs-TeamCarousel-modal2-collapse" class="collapse">
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16698" name="00N4100000f70ix" type="checkbox" value="Charitable Giving"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16299" name="00N4100000f70ix" type="checkbox" value="Estate Planning"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16300" name="00N4100000f70ix" type="checkbox" value="General Investment Advice"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="5928594" name="00N4100000f70ix" type="checkbox" value="Global Sports and Entertainment"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16301" name="00N4100000f70ix" type="checkbox" value="Help with Special Needs or Disabilities"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16302" name="00N4100000f70ix" type="checkbox"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="363325" name="00N4100000f70ix" type="checkbox" value="Internationally Based Investor / Family"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="5632834" name="00N4100000f70ix" type="checkbox" value="Investing With Impact"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16303" name="00N4100000f70ix" type="checkbox" value="LGBT Financial Planning"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16304" name="00N4100000f70ix" type="checkbox" value="Liability Management"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16305" name="00N4100000f70ix" type="checkbox" value="Navigating Divorce Finances"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16306" name="00N4100000f70ix" type="checkbox" value="Pre-Liquidity Event"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16307" name="00N4100000f70ix" type="checkbox" value="Retirement Planning"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16309" name="00N4100000f70ix" type="checkbox" value="Tax Planning"><span
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<legend class="ContactForm-legend"><button class="ContactForm-collapseToggle" type="button" data-toggle="collapse" data-target="#household-assets-TeamCarousel-modal2-collapse" aria-expanded="false"
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<path d="m0 0h30v5h-30z"></path>
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<div id="household-assets-TeamCarousel-modal2-collapse" class="collapse">
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70iw" type="radio" value="Less than $250,000"><span class="ContactForm-labelText">Less than
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<div class="ContactForm-footer">
<div class="ContactForm-submitButtonWrapper"><input class="ContactForm-submitButton" type="submit" name="submit" value="Submit" data-ya-track="submit" role="button" data-track-id="analytics-tracking-fa" data-interaction-name="contact submit">
</div>
</div>
<div style="display: none;"></div>
</form>POST
<form class="ContactForm js-ContactForm" data-env="prod" method="POST" data-js-ya-cid="96595d1b-1b55-4f9b-a910-5c42edc5c66c">
<div class="ContactForm-requiredFieldsMessage" id="ContactModal-describedBycontact">* Required Fields</div><input type="hidden" name="formType" value="wealth"><input type="hidden" name="retURL" value="http://"><input type="hidden"
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<fieldset class="ContactForm-fieldset ContactForm-fieldset--name is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">Your Name*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="given-name" data-interaction-name="contact now start" data-track-id="analytics-tracking-fa"
name="first_name" placeholder="First Name" required="" type="text"><span class="ContactForm-labelText">First Name</span></label></div>
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label is-required"><input autocomplete="family-name" name="last_name" placeholder="Last Name" required="" type="text"><span
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</fieldset>
<fieldset class="ContactForm-fieldset ContactForm-fieldset--contact is-required">
<legend class="ContactForm-legend"><span class="ContactForm-legendText">How can we contact you?*</span></legend>
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label is-required"><input autocomplete="email" name="email" placeholder="Email" required="" type="email"><span
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="phone"
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<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input autocomplete="tel" data-validation-message="Please enter a valid telephone number" name="mobile"
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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
class="ContactForm-legendText">Best Time to Contact</span><svg viewBox="0 0 30 21" class="icon icon-notch ContactForm-collapsibleIcon">
<g fill="none" fill-rule="evenodd">
<path d="m0 0h30v5h-30z"></path>
<path d="m0 5h30l-15 16z" fill="currentColor"></path>
</g>
</svg></button></legend>
<div id="bttc-contact-collapse" class="collapse">
<div class="ContactForm-fieldsetInputs l-row">
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Morning"><span class="ContactForm-labelText">Morning</span></label></div>
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Afternoon"><span class="ContactForm-labelText">Afternoon</span></label></div>
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-6-up"><label class="ContactForm-label"><input name="00N4100000f70ip" type="radio" value="Evening"><span class="ContactForm-labelText">Evening</span></label></div>
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</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="#investment-needs-contact-collapse" aria-expanded="false" aria-controls="investment-needs-contact-collapse"><span
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<g fill="none" fill-rule="evenodd">
<path d="m0 0h30v5h-30z"></path>
<path d="m0 5h30l-15 16z" fill="currentColor"></path>
</g>
</svg></button></legend>
<div id="investment-needs-contact-collapse" class="collapse">
<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"><input data-numeric-value="16698" name="00N4100000f70ix" type="checkbox" value="Charitable Giving"><span
class="ContactForm-labelText">Charitable Giving</span></label></div>
<div class="ContactForm-inputWrapper l-col-xs-12 l-col-sm-12 l-col-md-12-up"><label class="ContactForm-label"><input data-numeric-value="16299" name="00N4100000f70ix" type="checkbox" value="Estate Planning"><span
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THE HENLEY FURLONG GROUP AT MORGAN STANLEY
Shawn HenleyBryan FurlongChase Henley
Direct:
(925) 730-3859(925) 730-3859
Contact Us
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OUR MISSION STATEMENT
Working with you to help preserve and grow wealth for your long-term goals
Our Story and ServicesKnowledge & ExperienceWho We ServeOur ProcessModern Wealth
ToolsLocation
OUR STORY & SERVICES
Why Choose The Henley Furlong Group:
At The Henley Furlong Group our relationships with clients extend far beyond
investing with an emphasis on building value through an unparalleled level of
service and experience.
Our commitment to you starts with setting the expectation of receiving a high
touch, one-on-one level of service backed by the power of a resource-rich global
firm in Morgan Stanley. In other words, our client service model focuses on the
symbiotic relationship between listening and communicating in order to develop a
tailored investment approach that collectively meets your vision and
expectations. We understand the complexities involved with managing wealth and
would be honored to assist you in your journey.
Services Include
* Financial PlanningFootnote1
* Wealth PlanningFootnote2
* Retirement PlanningFootnote3
* Alternative InvestmentsFootnote4
* Professional Portfolio ManagementFootnote5
* 401(k) Rollovers
* Qualified Retirement PlansFootnote6
* Municipal BondsFootnote7
* Estate Planning StrategiesFootnote8
* Trust AccountsFootnote9
* Lending Products
* Long Term Care InsuranceFootnote10
* AnnuitiesFootnote11
* 529 PlansFootnote12
* Sustainable InvestingFootnote13
Check the background of Our Firm and Investment Professionals on FINRA's
BrokerCheckLink Opens in New Tab.*
EXPERIENCE
Combining Morgan Stanley's vast resources with nearly 100-years of combined
experience, our team is fully equipped to help you with your financial goals.
Our team has worked with each other so long that we consider each other family,
and this allows us to work efficiently with one another to deliver an
unparalleled level of service. Over the years, we have helped our clients
navigate a wide variety of personal situations and economic conditions. This
extensive level of experience enables us to provide advice for our clients to
help reach their goals.
Podcast: Thoughts On The Market
Mike Wilson, Chief Investment Officer and Chief US Equity Strategist for Morgan
Stanley, provides perspectives on the forces that are shaping the market as he
leads a discussion on the latest trends in the financial marketplace.
Click here to listen to Podcast
Podcast: Morgan Stanley Ideas
The Morgan Stanley Ideas Podcast shares revealing stories about the world of
business, finance, technology and beyond.
Click here to listen to Podcast
Research: Global Investment Committee Weekly Report
Global Investment Committee member Lisa Shalett headlines this weekly look at
markets, asset class performance and fixed income.
Click Here for the GIC Weekly Report
2022 Income Tax Tables
Click Here to View Tax Tables
Quarterly Newsletter
Quarterly we like to highlight specific market updates and feature what we
believe our clients should focus on.
Click Here to Read
BUILDING LONGSTANDING RELATIONSHIPS
Our family wealth practice is built on the development of deep and enduring
relationships and the delivery of comprehensive wealth management services. We
work with a broad range of clients and industry professionals who value and
respect our years of experience and collaborative approach.
Individuals and Families
We enjoy serving the needs of individuals and their families who have
accumulated a higher level of wealth or who have experienced a significant life
event, such as transitioning to retirement, selling a business, or losing a
spouse. These events require a seasoned advisor who understands the complexities
of these special situations and has the insights to achieve results.
Business Owners
We have worked closely with business owners and entrepreneurs for decades. We
understand the tremendous focus it takes to be successful and the challenges
they face. We provide the solutions needed to address their unique
circumstances, so they can remain focused on their work and their careers.
Industry Professionals
We believe you are entitled to the best advice possible. As a result, we often
collaborate with specialists across Morgan Stanley, as well as other
professionals within the industry who are considered experts in their fields. In
addition, we enjoy working in partnership with your accountant and estate
attorney to gain the precise knowledge needed to effectively manage your wealth,
while helping ensure all recommendations are fully aligned and implemented.
Goals We Help You Achieve
• Managing a life-changing event
• Minimizing taxes, while optimizing investment
performance
• Managing risk and providing family protection – from
loss of life to loss of health
• Financing a major acquisition
• Achieving long-term charitable goals
• Educating the next generation to manage wealth
effectively
WORKING WITH YOU
As your dedicated wealth management team, our role is to tailor a personalized
financial strategy which fits your needs. In our experience working with
clients, we have developed a step-by-step approach to service:
Discovery Process
We take the time to fully understand you and your family. Whether you’re
planning for retirement, purchasing a home, or living out your golden years – we
consider all of your challenges, goals, and aspirations when building your
financial picture.
Forming Your Strategy
Using your life goals as our compass, we create a risk-balanced strategy which
maps a clear path to helping you achieve your success.
Implementing Your Plan
We apply extensive research and analysis, and also utilize Morgan Stanley’s full
suite of resources, to ensure swift decisive action in all market scenarios.
Measuring Your Success
We check in with you to deliver metrics around your portfolio, and ultimately
measure trajectory towards your goals. Our ultimate mission is your success and
well-being.
MANAGING YOUR MONEY IN THE 21ST CENTURY
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 (MSO)
When you sign up for MSO, you can conveniently and securely manage your account
online or on your mobile device.
Click Here to Learn More
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
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
E-Sign
E-Sign is a digital, paperless alternative to the traditional means of obtaining
signatures for necessary paperwork. There is no registration process to begin
using E-Sign – all you need is a valid email address and phone number.
Click Here to Learn More
E-Delivery
E-Delivery allows you to securely save, print, send and receive documents at any
time from both Morgan Stanley Online and the Morgan Stanley Mobile App.
Click Here to Learn More
Digital Vault
The Digital Vault allows you to build a centralized library for all your
documents using encryption.
Click Here to Learn More
Total Wealth View
With this service, you can view all your assets and liabilities together –
whether held at Morgan Stanley or elsewhere – in one place for a comprehensive
overview of your assets.
Click Here to Learn More
Goals Planning System (GPS)
GPS is our financial planning software. It helps define what you want out of
life, so we can create a financial framework to bring these goals to fruition.
Click Here to Learn More
LOCATION
4309 Hacienda Drive
Ste 200
Pleasanton, CA 94588
US
Direct:
(925) 730-3859(925) 730-3859
MEET THE HENLEY FURLONG GROUP
Prev
SHAWN HENLEY
Senior Vice President, Wealth Advisor, Senior Portfolio Management Director
--------------------------------------------------------------------------------
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Phone:
(925) 730-3863(925) 730-3863
Contact Me
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BRYAN FURLONG
Senior Vice President, Financial Advisor, Portfolio Management Director
--------------------------------------------------------------------------------
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Phone:
(925) 730-3819(925) 730-3819
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CHASE HENLEY
Financial Advisor, Financial Planning Specialist, Senior Portfolio Manager
--------------------------------------------------------------------------------
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Visit Chase Henley on LinkedIn
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Phone:
(925) 730-3859(925) 730-3859
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View My Bio
CINDY SUTTIO
Portfolio Associate
--------------------------------------------------------------------------------
Email Cindy Suttio
Phone:
(925) 730-3832(925) 730-3832
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ABOUT SHAWN HENLEY
Shawn is a Senior Vice President and Portfolio Management Director with Morgan
Stanley Wealth Management. He has 34 years of experience helping high-net-worth
individuals and their families grow their wealth and preserving it for their
legacies. Shawn and his team are based in Morgan Stanley’s Pleasanton, CA
office; however, they work with many clients throughout the United States.
“Family Life” is Shawn’s focus, both personally & professionally, which is why
he has dedicated his practice to building relationships with multiple
generations of his clients. Together with the client, he will create a
comprehensive wealth management plan that will address the many “life stages”
which include: Educational Planning for children, Investment Management for all
ages, Retirement Planning, and once retired, Income Distribution in the most tax
efficient way.
Shawn grew up in Southern and Northern California. He is a graduate of St.
Mary’s College in Moraga, CA with a degree in Business & Economics. Shawn and
his wife, Angie, have resided in Pleasanton for the past 28 years. They have two
sons, Chase and Braxton, two golden retrievers Maximillian & Tazzie….as well as
two cats Gigi & Oscar.
Shawn is a member and distinguished Past President of the San Leandro Kiwanis
Club. He is also an active member of the Pleasanton North Rotary Club. For the
past 23 years, Shawn has helped with the Alameda County Special Olympics which
is very near and dear to his heart. His hobbies include golf, fishing, traveling
with his wife, and swimming with Max & Tazzie.
His greatest satisfaction comes when his clients refer their children &
grandchildren, as he strongly believes: “You can never be too young to start
investing in the stock market”!
Securities Agent: WY, WA, VA, TX, TN, PA, OR, OH, NY, NV, NM, NJ, NH, NE, NC,
MT, MO, MN, LA, KS, IN, IL, ID, FL, CO, CA, AZ, OK; General Securities
Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1282897
CA Insurance License #: 0A82932
ABOUT BRYAN FURLONG
Bryan Furlong is a Senior Vice President, Wealth Advisor at Morgan Stanley with
over 35 years of experience. He was born and raised in San Francisco and
received his Bachelor of Science degree at the University of San Francisco.
Bryan’s philosophy is to be a good listener and get an understanding of his
client’s needs, wants, and desires for their investments. He uses this
information to put a strategy in place to help his clients achieve their
financial goals. All the while making sure his clients understand exactly what
their investments are doing and how they work. Having his clients trust and
confidence is a top priority for Bryan.
When Bryan isn’t working hard for his clients, he loves to golf but wishes he
was better at it. He has a love for collecting and tasting wine, and he is a big
sports fan of Bay Area teams.
Bryan’s mantra is to try and always look at the glass half full, never half
empty.
Securities Agent: NM, NV, NY, OH, OK, OR, PA, TN, TX, VA, WA, WY, IL, ID, HI,
FL, DC, CT, CO, CA, AZ, MN, IN, KS, LA, MA, MD, MO, MT, NC, NH, NJ; General
Securities Representative; Investment Advisor Representative
NMLS#: 1282808
ABOUT CHASE HENLEY
Chase was born and raised in Pleasanton, California and graduated from Amador
Valley high school. He left for the east coast to attend Amherst College, a
top-ranked liberal arts school in western Massachusetts, where he also played
baseball. Chase graduated from Amherst College with a Bachelor of Arts degree in
Statistics. Over the course of his four years in school, he was a member of a
New England Small College Athletic Conference (NESCAC) championship team,
three-time member of the NESCAC All-Academic team, and was elected into the U.S.
national statistics honor society, Mu Sigma Rho.
Chase currently specializes in financial planning and analysis for the Henley
Furlong Group.
In his free time, Chase loves being outside. His hobbies include hiking,
fishing, and golfing. Chase is also an active member of the Pleasanton North
Rotary Club where he does volunteer work and gives back to his hometown
community.
Securities Agent: MN, NC, TN, OK, VA, MT, LA, OR, WY, NV, MO, NJ, NY, ID, AZ,
TX, UT, KS, FL, OH, PA, WA, CA, AL, IN, IL, MD, CO, DC, NE, NM, NH; General
Securities Representative; Investment Advisor Representative
NMLS#: 1915550
CA Insurance License #: 4024332
ABOUT CINDY SUTTIO
Cindy joined Morgan Stanley in 2010 as Senior Registered Client Associate, then
became a Portfolio Associate. She has an extensive domestic and international
Wealth Management background.
She holds Series 7, Series 66, Series 9 and 10 and brings to the team her wealth
of knowledge in the industry.
In her spare time, Cindy enjoys traveling, hiking, spend time with family and
try new recipes.
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CONTACT SHAWN HENLEY
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Best Time to Contact
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Evening
Investment Needs
Charitable Giving
Estate Planning
General Investment Advice
Global Sports and Entertainment
Help with Special Needs or Disabilities
Institution, Government Entity, Foundation or Endowment
Internationally Based Investor / Family
Investing With Impact
LGBT Financial Planning
Liability Management
Navigating Divorce Finances
Pre-Liquidity Event
Retirement Planning
Tax Planning
Ultra High Net Worth Investing
Wealth Transfer Planning / Inheritance
Household Assets
Less than $250,000
$250,000 - $1 million
Above $1 million
Above $5 million
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CONTACT BRYAN FURLONG
* Required Fields
Your Name*
First Name
Last Name
How can we contact you?*
Email
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Personal Phone (optional)
Best Time to Contact
Morning
Afternoon
Evening
Investment Needs
Charitable Giving
Estate Planning
General Investment Advice
Global Sports and Entertainment
Help with Special Needs or Disabilities
Institution, Government Entity, Foundation or Endowment
Internationally Based Investor / Family
Investing With Impact
LGBT Financial Planning
Liability Management
Navigating Divorce Finances
Pre-Liquidity Event
Retirement Planning
Tax Planning
Ultra High Net Worth Investing
Wealth Transfer Planning / Inheritance
Household Assets
Less than $250,000
$250,000 - $1 million
Above $1 million
Above $5 million
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CONTACT CHASE HENLEY
* Required Fields
Your Name*
First Name
Last Name
How can we contact you?*
Email
Work Phone (optional)
Personal Phone (optional)
Best Time to Contact
Morning
Afternoon
Evening
Investment Needs
Charitable Giving
Estate Planning
General Investment Advice
Global Sports and Entertainment
Help with Special Needs or Disabilities
Institution, Government Entity, Foundation or Endowment
Internationally Based Investor / Family
Investing With Impact
LGBT Financial Planning
Liability Management
Navigating Divorce Finances
Pre-Liquidity Event
Retirement Planning
Tax Planning
Ultra High Net Worth Investing
Wealth Transfer Planning / Inheritance
Household Assets
Less than $250,000
$250,000 - $1 million
Above $1 million
Above $5 million
THE POWER OF PARTNERSHIPS
By partnering with experienced individuals across wealth disciplines, Morgan
Stanley Financial Advisors can align specialized resources with your custom
needs and deliver strategic guidance through the familiarity and trust of
existing relationships
MICHELLE WALSH
Private Banker
--------------------------------------------------------------------------------
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ABOUT MICHELLE WALSH
Michelle Walsh is a Private Banker serving Morgan Stanley’s Wealth Management
offices in California.
Michelle began her career in financial services in 1983. Prior to joining Morgan
Stanley in 2020, she was a Custom Credit Executive and Wealth Management Banker
at Merrill Lynch. She also was a Premier Client Manager at Bank of America and
Regional Consumer Market Manager at BB&T Bank.
Michelle received a Bachelor of Science in Business Administration and Marketing
from Shepherd University. She currently resides in Danville, California with her
family. Outside of work, Michelle volunteers for Habit for Humanity and the
Contra Costa Food Bank. She enjoys traveling with family and friends.
NMLS#: 637456
Private Bankers, Ultra High Net Worth (“UHNW”) Sales Specialists, Lending
Advisors, Mortgage Consultants, Relationship Managers, Cash Management
Specialists, Associate Private Bankers are employees of Morgan Stanley Private
Bank, National Association.
Banking products and services are offered by Morgan Stanley Private Bank,
National Association, Member FDIC.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and
not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into
arrangements with banks and other third parties to assist in offering certain
banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith
Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A
BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Wealth Management
From Our Team
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PORTFOLIO INSIGHTS
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FAMILY
Creating customized financial strategies for the challenges that today’s
families face.
* Estate Planning Strategies
* 529 Plans / Education Savings Planning
* Long Term Care Insurance
* Special Needs Planning
* Trust Services
Learn More about Family
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THINKING ABOUT YOUR LEGACY? WHY YOU MAY NEED A TRUST
You can’t take it with you, but through a trust, you can define how you want
your life’s work and wealth to continue to benefit the people and causes you
love and care for.
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
* IRA Plans
* Retirement income strategies
* Retirement plan participants
* Annuities
Learn More about Retirement
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ARE YOU PREPARED FOR RETIRED LIFE?
Your retirement has the potential to be the most fulfilling period of your
life–but you need to have a plan for your time as well as your finances.
INVESTING
Working closely with you to guide your wealth and investments through the most
challenging market cycles.
* Asset Management
* Wealth Planning
* Traditional Investments
* Alternative Investments
* Impact Investing
Learn More about Investing
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3 INVESTING THEMES FOR THE NEXT BULL MARKET
Explore long-term investment opportunities to watch when the market shifts from
bear to bull.
MORE FROM MORGAN STANLEY
4.60% Annual Percentage Yield Preferred SavingsLink Opens in New Tab
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4.60% ANNUAL PERCENTAGE YIELD PREFERRED SAVINGS
Morgan Stanley clients with eligible brokerage accounts can earn 4.60% APY
through deposits into our Preferred Savings Program for qualifying cash. Contact
our team to learn more or click here for more details. Terms apply.
Eating in and Dining Out in 2023Link Opens in New Tab
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EATING IN AND DINING OUT IN 2023
Inflation, consumer sentiment and a shift from pandemic norms should define the
year ahead for food-related businesses, with packaged foods and pizza delivery
expected to fare better than restaurants overall.
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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
opportunity in PCs and more trends in technology and beyond.
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START THE NEW YEAR OFF WITH A COMPLETE FINANCIAL VIEW
Spending + Budgeting allows you to manage your everyday spending across all your
accounts - both at Morgan Stanley and at outside financial institutions all in
one place. Start Today.
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HELP IMPROVE YOUR AFTER-TAX RETURNS WITH TAX MANAGEMENT SERVICES
Help keep more of your returns and potentially reduce tax liability with a
tax-managed investment portfolio. Learn more.
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CYBERSECURITY RESOURCES
At Morgan Stanley, safeguarding your assets and personal information is among
our highest priorities. Learn about our security measures and use our resources
and ideas to help protect yourself online.
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A $695 ANNUAL ENGAGEMENT BONUS
For eligible Platinum CashPlus Brokerage Account clients with The Platinum Card®
from American Express Exclusively for Morgan Stanley. Certain Morgan Stanley
Debit Card holders may also qualify. Terms apply.
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2023 GLOBAL MACRO OUTLOOK: INFLATION PEAKS, GROWTH SLOWS
Next year is likely to see weaker growth, less inflation and the end of rate
hikes, with the U.S. narrowly missing a recession, Europe contracting and Asia
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1Morgan Stanley offers a wide array of brokerage and advisory services to its
clients, each of which may create a different type of relationship with
different obligations to you. Please consult with your Financial Advisor to
understand these differences or review our Understanding Your Brokerage and
Investment Advisory Relationships brochure available at
www.morganstanley.com/wealth-relationshipwithms/pdfs/understandingyourrelationship.pdf.
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2Morgan Stanley offers a wide array of brokerage and advisory services to its
clients, each of which may create a different type of relationship with
different obligations to you. Please consult with your Financial Advisor to
understand these differences or review our Understanding Your Brokerage and
Investment Advisory Relationships brochure available at
www.morganstanley.com/wealth-relationshipwithms/pdfs/understandingyourrelationship.pdf.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan
Stanley Financial Advisors and Private Wealth Advisors do not provide tax or
legal advice. Clients should consult their tax advisor for matters involving
taxation and tax planning and their attorney for matters involving trust and
estate planning, charitable giving, philanthropic planning and other legal
matters.
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3When 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
an unsolicited basis or otherwise does not provide “investment advice”, Morgan
Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For
more information regarding Morgan Stanley’s role with respect to a Retirement
Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are
complex and subject to change. Morgan Stanley does not provide tax or legal
advice. Individuals are encouraged to consult their tax and legal advisors (a)
before establishing a Retirement Account, and (b) regarding any potential tax,
ERISA and related consequences of any investments or other transactions made
with respect to a Retirement Account. Individuals should consult their tax
advisor for matters involving taxation and tax planning and their attorney for
matters involving trust and estate planning, charitable giving, philanthropic
planning and other legal matters.
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4Alternative Investments are speculative and include a high degree of risk. An
investor could lose all or a substantial amount of his/her investment.
Alternative investments are appropriate only for qualified, long-term investors
who are willing to forgo liquidity and put capital at risk for an indefinite
period of time.
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5Morgan Stanley’s investment advisory programs may require a minimum asset level
and, depending on your specific investment objectives and financial position,
may not be appropriate for you. Please see the Morgan Stanley Smith Barney LLC
program disclosure brochure (the “Morgan Stanley ADV”) for more information in
the investment advisory programs available. The Morgan Stanley ADV is available
at www.morganstanley.com/ADV.
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6When 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
an unsolicited basis or otherwise does not provide “investment advice”, Morgan
Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For
more information regarding Morgan Stanley’s role with respect to a Retirement
Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are
complex and subject to change. Morgan Stanley does not provide tax or legal
advice. Individuals are encouraged to consult their tax and legal advisors (a)
before establishing a Retirement Account, and (b) regarding any potential tax,
ERISA and related consequences of any investments or other transactions made
with respect to a Retirement Account. Individuals should consult their tax
advisor for matters involving taxation and tax planning and their attorney for
matters involving trust and estate planning, charitable giving, philanthropic
planning and other legal matters.
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7Municipal bonds may not be appropriate for all investors. Income generated from
an investment in a municipal bond is generally exempt from federal income taxes.
Some income may be subject to state and local taxes and to the federal
alternative minimum tax. Capital gains, if any, are subject to tax.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”) and its Financial Advisors
and Private Wealth Advisors do not provide any tax/legal advice. Consult your
own tax/legal advisor before making any tax or legal-related investment
decisions.
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8Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan
Stanley Financial Advisors and Private Wealth Advisors do not provide tax or
legal advice. Clients should consult their tax advisor for matters involving
taxation and tax planning and their attorney for matters involving trust and
estate planning and other legal matters.
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9Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan
Stanley Financial Advisors and Private Wealth Advisors do not provide tax or
legal advice. Clients should consult their tax advisor for matters involving
taxation and tax planning and their attorney for matters involving trust and
estate planning and other legal matters.
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10Insurance products are offered in conjunction with Morgan Stanley Smith Barney
LLC’s licensed insurance agency affiliates.
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11Annuities are offered in conjunction with Morgan Stanley Smith Barney LLC’s
licensed insurance agency affiliates.
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12Investors should consider many factors before deciding which 529 plan is
appropriate. Some of these factors include: the Plan’s investment options and
the historical investment performance of these options, the Plan’s flexibility
and features, the reputation and expertise of the Plan’s investment manager,
Plan contribution limits and the federal and state tax benefits associated with
an investment in the Plan. Some states, for example, offer favorable tax
treatment and other benefits to their residents only if they invest in the
state’s own Qualified Tuition Program. Investors should determine their home
state’s tax treatment of 529 plans when considering whether to choose an
in-state or out-of-state plan. Investors should consult with their tax or legal
advisor before investing in any 529 Plan or contact their state tax division for
more information. Morgan Stanley Smith Barney LLC does not provide tax and/or
legal advice. Investors should review a Program Disclosure Statement, which
contains more information on investment options, risk factors, fees and expenses
and possible tax consequences.
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13The returns on a portfolio consisting primarily of Environmental, Social and
Governance (“ESG”) aware investments may be lower or higher than a portfolio
that is more diversified or where decisions are based solely on investment
considerations. Because ESG criteria exclude some investments, investors may not
be able to take advantage of the same opportunities or market trends as
investors that do not use such criteria. Diversification does not guarantee a
profit or protect against loss in a declining financial market.
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BrokerCheck*.
The information, products and services described here are intended only for
individuals residing in states where this Financial Advisor is properly
registered as described in this site.
Morgan Stanley reserves the right, to the extent permitted under applicable law,
to retain and monitor all electronic communications. Morgan Stanley will not
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The securities/instruments, services, investments and investment strategies
discussed in this material may not be appropriate for all investors. The
appropriateness of a particular investment, investment strategy or service will
depend on an investor's individual circumstances and objectives. Morgan Stanley
Smith Barney LLC recommends that investors independently evaluate particular
investments, strategies and services, and encourages investors to seek the
advice of a Financial Advisor or Private Wealth Advisor. This material does not
provide individually tailored investment advice. It has been prepared without
regard to the individual financial circumstances and objectives of persons who
receive it.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan
Stanley Financial Advisors or Private Wealth Advisors do not provide tax or
legal advice. Individuals should consult their tax advisor for matters involving
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The views, opinions or advice contained within third party websites or materials
are solely those of the author, who is not a Morgan Stanley employee, and do not
necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates.
The strategies and/or investments referenced may not be appropriate for all
investors as the appropriateness of a particular investment or strategy will
depend on an investor's individual circumstances and objectives.
*References to length of service at Morgan Stanley include years at Morgan
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Stanley or its Financial Advisors are acting as experts in this field.
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Awards and Disclosures
#
2008 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2008) 2008 Barron's Top 100 Financial Advisors
awarded in 2008. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2006 - Dec 2007. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2008 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2008) 2008 Barron's Top 100 Women Financial Advisors
ranking awarded in 2008. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2007 - Mar 2008.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2009 Barron's Top 1,000 Financial Advisors: State-by-State
Source: Barron's.com (February 2009) Barron's Top 1,000 Financial Advisors:
State-by-State ranking awarded in 2009. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2007 - Sept
2008. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2009 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2009) 2009 Barron's Top 100 Financial Advisors
awarded in 2009. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2007 - Dec 2008. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2009 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2009) 2009 Barron's Top 100 Women Financial Advisors
ranking awarded in 2009. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2008 - Mar 2009.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2010 Barron's Top 1,000 Financial Advisors: State-by-State
Source: Barron's.com (February 2010) Barron's Top 1,000 Financial Advisors:
State-by-State ranking awarded in 2010. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2008 - Sept
2009. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2010 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2010) 2010 Barron's Top 100 Financial Advisors
awarded in 2010. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2008 - Dec 2009. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2010 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (July 2010) 2010 Barron's Top 100 Women Financial Advisors
ranking awarded in 2010. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2009 - Mar 2010.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2011 Barron's Top 1,000 Financial Advisors: State-by-State
Source: Barron's.com (February 2011) Barron's Top 1,000 Financial Advisors:
State-by-State ranking awarded in 2011. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2009 - Sept
2010. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2011 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2011) 2011 Barron's Top 100 Financial Advisors
awarded in 2011. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2009 - Dec 2010. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2011 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2011) 2011 Barron's Top 100 Women Financial Advisors
ranking awarded in 2011. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2010 - Mar 2011.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2011 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2011) awarded in 2011. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2011.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2011 PLANSPONSOR Retirement Plan Adviser of the Year
Source: planadviser.com (May 2011) awarded in 2011. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/10 – 12/31/10. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER or ISS Media to
obtain or use the ranking. This ranking is based on a mixture of qualitative and
quantitative measures, including tenure in the business, focus on retirement
plan business as a percentage of practice revenue, willingness to serve in a
fiduciary role to clients plans, and a review of essay answers and compliance
records. These criteria are utilized for each of the categories in which this
award is given. Ratings are based on the opinion of ISS Media and may not be
representative of any one client’s experience nor indicative of the financial
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2012 Barron's Top 1,000 Financial Advisors: State-by-State
Source: Barron's.com (February 2012) Barron's Top 1,000 Financial Advisors:
State-by-State ranking awarded in 2012. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2010 - Sept
2011. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2012 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2012) 2012 Barron's Top 100 Financial Advisors
awarded in 2012. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2010 - Dec 2011. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2012 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2012) 2012 Barron's Top 100 Women Financial Advisors
ranking awarded in 2012. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2011 - Mar 2012.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2012 Five Star Wealth Manager Award
This award was issued in 2012 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2012 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2012) awarded in 2012. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2012.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2013 Barron's Hall of Fame
Barron's Hall Of Fame 2013 List
Source: The Barron’s “Hall of Fame” list, published throughout 2015 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2013 Barron's Top 1,000 Financial Advisors: State-by-State
Source: Barron's.com (February 2013) Barron's Top 1,000 Financial Advisors:
State-by-State ranking awarded in 2013. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2011 - Sept
2012. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2013 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2013) 2013 Barron's Top 100 Financial Advisors
awarded in 2013. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2011 - Dec 2012. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2013 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2013) 2013 Barron's Top 100 Women Financial Advisors
ranking awarded in 2013. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2012 - Mar 2013.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2013 Financial Times 400 Top Financial Advisors
Source: ft.com (Apr 2013) 2013 Financial Times 400 Top Financial Advisors
awarded in 2013. This ranking was determined based on an evaluation process
conducted by the Financial Times based on data as of 12/31/12. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to the Financial Times in to obtain or use the ranking. This ranking
is based on quantifiable and objective criteria, including, but not limited to,
AUM, compliance record, years of experience, AUM growth rate, industry
certifications and online accessibility. Ratings are based on the opinion of the
Financial Times and may not be representative of any one client’s experience nor
indicative of the financial advisor’s future performance. For more on
methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2013 Five Star Wealth Manager Award
This award was issued in 2013 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2013 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2013) awarded in 2013. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2013.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2014 Barron's Hall of Fame
Barron's Hall Of Fame 2014 List
Source: The Barron’s “Hall of Fame” list, published throughout 2015 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2014 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (February 2014) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2014. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2012 - Sept
2013. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2014 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2014) 2014 Barron's Top 100 Financial Advisors
awarded in 2014. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2012 - Dec 2013. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2014 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2014) 2014 Barron's Top 100 Women Financial Advisors
ranking awarded in 2014. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2013 - Mar 2014.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2014 Financial Times 400 Top Financial Advisors
Source: ft.com (Mar 2014) 2014 Financial Times 400 Top Financial Advisors
awarded in 2014. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 9/30/12 - 9/30/13.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2014 Five Star Wealth Manager Award
This award was issued in 2014 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2014 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2014) awarded in 2014. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2013 – Aug 2014. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2014 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2014) awarded in 2014. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2014.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 Barron's Hall of Fame
Barron's Hall Of Fame 2015 List
Source: The Barron’s “Hall of Fame” list, published throughout 2015 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (February 2015) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2015. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2013 - Sept
2014. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2015 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2015) 2015 Barron's Top 100 Financial Advisors
awarded in 2015. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2013 - Dec 2014. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2015 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2015) 2015 Barron's Top 100 Women Financial Advisors
ranking awarded in 2015. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2014 - Mar 2015.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2015 Barron's Top 30 Institutional Consultants
Source: Barron's.com (April 2015) 2015 Barron's Top 30 Institutional Consultants
ranking awarded in 2015. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Dec 2013 - Dec 2014.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2015 Financial Times 400 Top Financial Advisors
Source: ft.com (Mar 2015) 2015 Financial Times 400 Top Financial Advisors
awarded in 2015. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 9/30/13 - 9/30/14.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 Financial Times 401 Top Retirement Advisors
Source: ft.com (May 2015) 2015 Financial Times 401 Top Retirement Advisors
awarded in 2015. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 9/30/13 - 9/30/14.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 Five Star Wealth Manager Award
This award was issued in 2015 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2015 NAPA Top Women Advisors
Source: napa-net.org (October 2015) awarded in 2015. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2014
– Aug 2015. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2015) awarded in 2015. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2014 – Aug 2015. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2015) awarded in 2015. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2015.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2015 PLANSPONSOR Retirement Plan Adviser of the Year
Source: planadviser.com (May 2015) awarded in 2015. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/14 – 12/31/14. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER to obtain or use
the ranking. This ranking is based on a mixture of qualitative and quantitative
measures, including tenure in the business, focus on retirement plan business as
a percentage of practice revenue, willingness to serve in a fiduciary role to
clients plans, and a review of essay answers and compliance records. These
criteria are utilized for each of the categories in which this award is given.
Ratings are based on the opinion of ISS Media and may not be representative of
any one client’s experience nor indicative of the financial advisor’s future
performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 Barron's Hall of Fame
Barron's Hall Of Fame 2016 List
Source: The Barron’s “Hall of Fame” list, published throughout 2018 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2016) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2016. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2014 - Sept
2015. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2016 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2016) 2016 Barron's Top 100 Financial Advisors
awarded in 2016. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2014 - Dec 2015. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2016 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2016) 2016 Barron's Top 100 Women Financial Advisors
ranking awarded in 2016. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2015 - Mar 2016.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2016 Barron's Top 30 Institutional Consultants
Source: Barron's.com (April 2016) 2016 Barron's Top 30 Institutional Consultants
ranking awarded in 2016. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Dec 2014 - Dec 2015.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2016 Financial Times 400 Top Financial Advisors
Source: ft.com (Mar 2016) 2016 Financial Times 400 Top Financial Advisors
awarded in 2016. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 9/30/13 - 9/30/15.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 Financial Times 401 Top Retirement Advisors
Source: ft.com (Sept 2016) 2016 Financial Times 401 Top Retirement Advisors
awarded in 2016. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 12/31/13 - 12/31/15.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 Five Star Wealth Manager Award
This award was issued in 2016 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2016 Forbes America's Top Wealth Advisors
Source: Forbes.com (Aug 2016) 2016 Forbes America's Top Wealth Advisors ranking
awarded in 2016. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 6/30/15 - 6/30/16. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2016 NAPA Top Women Advisors
Source: napa-net.org (October 2016) awarded in 2016. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2015
– Aug 2016. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2016) awarded in 2016. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2015 – Aug 2016. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2016) awarded in 2016. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2016.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2016 PLANSPONSOR Retirement Plan Adviser of the Year
Source: planadviser.com (May 2016) awarded in 2016. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/15 – 12/31/15. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER or ISS Media to
obtain or use the ranking. This ranking is based on a mixture of qualitative and
quantitative measures, including tenure in the business, focus on retirement
plan business as a percentage of practice revenue, willingness to serve in a
fiduciary role to clients plans, and a review of essay answers and compliance
records. These criteria are utilized for each of the categories in which this
award is given. Ratings are based on the opinion of ISS Media and may not be
representative of any one client’s experience nor indicative of the financial
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 Barron's Hall of Fame
Barron's Hall Of Fame 2017 List
Source: The Barron’s “Hall of Fame” list, published throughout 2018 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2017) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2017. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2015 - Sept
2016. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2017) 2017 Barron's Top 100 Financial Advisors
awarded in 2017. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2015 - Dec 2016. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2017) 2017 Barron's Top 100 Women Financial Advisors
ranking awarded in 2017. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2016 - Mar 2017.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Barron's Top 30 Institutional Consultants
Source: Barron's.com (April 2017) 2017 Barron's Top 30 Institutional Consultants
ranking awarded in 2017. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Dec 2015 - Dec 2016.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Financial Times 400 Top Financial Advisors
Source: ft.com (Mar 2017) 2017 Financial Times 400 Top Financial Advisors
awarded in 2017. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 9/30/14-9/30/16. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to the Financial Times in to obtain or use the ranking. This
ranking is based on quantifiable and objective criteria, including, but not
limited to, AUM, compliance record, years of experience, AUM growth rate,
industry certifications and online accessibility. Ratings are based on the
opinion of the Financial Times and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance. For
more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 Financial Times 401 Top Retirement Advisors
Source: ft.com (Sept 2017) 2017 Financial Times 401 Top Retirement Advisors
awarded in 2017. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 12/31/14 - 12/31/16.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 Five Star Wealth Manager Award
This award was issued in 2017 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Forbes Top 500 Next Generation Wealth Advisors
Source: Forbes.com (July 2017) 2017 Forbes Top 500 Next Generation Wealth
Advisors ranking awarded in 2017. This ranking was determined based on an
evaluation process conducted by SHOOK Research LLC (the research company) in
partnership with Forbes (the publisher) during the period from 3/31/16 -
3/31/17. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the
ranking. This ranking is based on in-person and telephone due diligence meetings
to evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Forbes America's Top Wealth Advisors
Source: Forbes.com (Sept 2017) 2017 Forbes America's Top Wealth Advisors ranking
awarded in 2017. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 6/30/16 - 6/30/17. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2017 Forbes America's Top Women Wealth Advisors
Source: Forbes.com (Feb 2017) 2017 Forbes America's Top Women Wealth Advisors
ranking awarded in 2017. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 9/30/15 - 9/30/16. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2017 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 NAPA Top DC Advisor Teams
2017 NAPA’s Top DC Advisor Teams
Source: napa-net.org (March 2018) awarded in 2018. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported assets
under advisement as of Dec 31, 2017. Neither Morgan Stanley Smith Barney LLC nor
its Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain
or use the ranking. Nominees must be individual advisor team/offices with a
defined contribution book of business, in a single physical location. To be
considered, firms had to submit responses to an application form, including
information about their practices, notably their defined contribution (DC)
assets under advisement. The list is created and conducted by the National
Association of Plan Advisors, an affiliate organization of the American
Retirement Association, a non-profit association. Ratings are based on the
opinion of NAPA and may not be representative of any one client’s experience nor
indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 NAPA Top Women Advisors
Source: napa-net.org (October 2017) awarded in 2017. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2016
– Aug 2017. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2017) awarded in 2017. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2016 – Aug 2017. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2017) awarded in 2017. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2017.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 PLANSPONSOR Retirement Plan Adviser of the Year
Source: planadviser.com (May 2017) awarded in 2017. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/16 – 12/31/16. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER or ISS Media to
obtain or use the ranking. This ranking is based on a mixture of qualitative and
quantitative measures, including tenure in the business, focus on retirement
plan business as a percentage of practice revenue, willingness to serve in a
fiduciary role to clients plans, and a review of essay answers and compliance
records. These criteria are utilized for each of the categories in which this
award is given. Ratings are based on the opinion of ISS Media and may not be
representative of any one client’s experience nor indicative of the financial
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2017 Working Mother Magazine & SHOOK Research's Top Wealth Advisor Moms
Source: Workingmother.com (October, 2017) 2017 Working Mother Magazine & SHOOK
Research's Top Wealth Advisor Moms ranking awarded in 2017. This ranking was
determined based on an evaluation process conducted by SHOOK Research LLC (the
research company) in partnership with Working Mother Magazine (the publisher)
during the period from 3/31/16 - 3/31/17. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Working Mother Magazine. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Barron's Hall of Fame
Barron's Hall Of Fame 2018 List
Source: The Barron’s “Hall of Fame” list, published throughout 2018 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2018) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2018. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2016- Sept
2017. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2018) 2018 Barron's Top 100 Financial Advisors
awarded in 2018. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2016 - Dec 2017. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2018) 2018 Barron's Top 100 Women Financial Advisors
ranking awarded in 2018. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2017 - Mar 2018.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 Barron's Top 50 Institutional Consultants
Source: Barron's.com (April 2018) 2018 Barron's Top 50 Institutional Consultants
ranking awarded in 2018. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Dec 2016 - Dec 2017.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 Financial Times 400 Top Financial Advisors
Source: ft.com (Apr 2018) 2018 Financial Times 400 Top Financial Advisors
awarded in 2018. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 6/30/15-6/30/17. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to the Financial Times in to obtain or use the ranking. This
ranking is based on quantifiable and objective criteria, including, but not
limited to, AUM, compliance record, years of experience, AUM growth rate,
industry certifications and online accessibility. Ratings are based on the
opinion of the Financial Times and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance. For
more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Financial Times 401 Top Retirement Advisors
Source: ft.com (Oct 2018) 2018 Financial Times 401 Top Retirement Advisors
awarded in 2018. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 12/31/15 - 12/31/17.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Five Star Wealth Manager Award
2018 Five Star Wealth Manager Award This award was issued in 2018 and based on
the evaluation process below. This evaluation was not based on a specific time
period, but was conducted by Five Star Professional (FSP) that considered, among
other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 Forbes America's Top Wealth Advisors
Source: Forbes.com (Sept 2018) 2018 Forbes America's Top Wealth Advisors ranking
awarded in 2018. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 6/30/17 - 6/30/18. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 Forbes America's Top Women Wealth Advisors
Source: Forbes.com (May 2018) 2018 Forbes America's Top Women Wealth Advisors
ranking awarded in 2018. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 9/30/16 - 9/30/17. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Feb 2018) 2018 Forbes Best-In- State Wealth Advisors
rankings awarded in 2018. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 6/30/16 - 6/30/17. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2018 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Forbes Top 1,000 Next Gen Wealth Advisors
Source: Forbes.com (July 2018) 2018 Forbes Top 1,000 Next Gen Wealth Advisors
ranking awarded in 2018. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 3/31/17 - 3/31/18. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2018 NAPA Top DC Advisor Multi-Office Firms
Source: napa-net.org (March 2019) awarded in 2019. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported defined
contribution (DC) assets under advisement (AUA) as of Dec. 31, 2018. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to NAPA to obtain or use the ranking. Nominees must be
individual advisor team/offices with a defined contribution book of business, in
a single physical location. To be considered, firms had to submit responses to
an application form, including information about their practices, notably their
defined contribution (DC) assets under advisement. The list is created and
conducted by the National Association of Plan Advisors, an affiliate
organization of the American Retirement Association, a non-profit association.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 NAPA Top DC Advisor Teams
2018 NAPA’s Top DC Advisor Teams
Source: napa-net.org (March 2019) awarded in 2019. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported assets
under advisement as of Dec 31, 2018. Neither Morgan Stanley Smith Barney LLC nor
its Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain
or use the ranking. Nominees must be individual advisor team/offices with a
defined contribution book of business, in a single physical location. To be
considered, firms had to submit responses to an application form, including
information about their practices, notably their defined contribution (DC)
assets under advisement. The list is created and conducted by the National
Association of Plan Advisors, an affiliate organization of the American
Retirement Association, a non-profit association. Ratings are based on the
opinion of NAPA and may not be representative of any one client’s experience nor
indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 NAPA Top Women Advisors
Source: napa-net.org (October 2018) awarded in 2018. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2017
– Aug 2018. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2018) awarded in 2018. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2017 – Aug 2018. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2018) awarded in 2018. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2018.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 PLANSPONSOR Retirement Plan Adviser of the Year
Source: planadviser.com (May 2018) awarded in 2018. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/17 – 12/31/17. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER or ISS Media to
obtain or use the ranking. This ranking is based on a mixture of qualitative and
quantitative measures, including tenure in the business, focus on retirement
plan business as a percentage of practice revenue, willingness to serve in a
fiduciary role to clients plans, and a review of essay answers and compliance
records. These criteria are utilized for each of the categories in which this
award is given. Ratings are based on the opinion of ISS Media and may not be
representative of any one client’s experience nor indicative of the financial
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2018 Working Mother Magazine & SHOOK Research's Top Wealth Advisor Moms
Source: Workingmother.com (October, 2018) 2018 Working Mother Magazine & SHOOK
Research's Top Wealth Advisor Moms ranking awarded in 2018. This ranking was
determined based on an evaluation process conducted by SHOOK Research LLC (the
research company) in partnership with Working Mother Magazine (the publisher)
during the period from 3/31/17 - 3/31/18. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Working Mother Magazine. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Barron's Hall of Fame
Barron's Hall Of Fame 2019 List
Source: The Barron’s “Hall of Fame” list, published throughout 2020 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2019) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2019. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2017- Sept
2018. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2019) 2019 Barron's Top 100 Financial Advisors
awarded in 2019. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2017 - Dec 2018. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2019) 2019 Barron's Top 100 Women Financial Advisors
ranking awarded in 2019. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2018 - Mar 2019.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Barron's Top 50 Institutional Consultants
Source: Barron's.com (April 2019) 2019 Barron's Top 50 Institutional Consultants
ranking awarded in 2019. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Dec 2017 - Dec 2018.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Barron's Top 50 Private Wealth Advisory Teams
Source: Barron's.com (April 2019) 2019 Barron's Top 50 Private Wealth Advisory
Teams ranking awarded in 2019. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2017 - Dec
2018 Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Financial Times 400 Top Financial Advisors
Source: ft.com (Apr 2019) 2019 Financial Times 400 Top Financial Advisors
awarded in 2019. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 6/30/15-6/30/18. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to the Financial Times in to obtain or use the ranking. This
ranking is based on quantifiable and objective criteria, including, but not
limited to, AUM, compliance record, years of experience, AUM growth rate,
industry certifications and online accessibility. Ratings are based on the
opinion of the Financial Times and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance. For
more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Financial Times 401 Top Retirement Advisors
Source: ft.com (Oct 2019) 2019 Financial Times 401 Top Retirement Advisors
awarded in 2019. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 12/31/15 - 12/31/18.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Five Star Wealth Manager Award
This award was issued in 2019 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Forbes America's Top Wealth Advisors
Source: Forbes.com (Sept 2019) 2019 Forbes America's Top Wealth Advisors ranking
awarded in 2019. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 3/31/18 - 3/31/19. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 Forbes America's Top Women Wealth Advisors
Source: Forbes.com (April 2019) 2019 Forbes America's Top Women Wealth Advisors
ranking awarded in 2019. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 9/30/17 - 9/30/18. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Feb 2019) 2019 Forbes Best-In- State Wealth Advisors
rankings awarded in 2019. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 6/30/17 - 6/30/18. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Forbes Top Next-Gen Wealth Advisors
Source: Forbes.com (June 2019) 2019 Forbes Top Next-Gen Wealth Advisors ranking
awarded in 2019. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 3/31/18 - 3/31/19. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2019 NAPA Top DC Advisor Multi-Office Firms
Source: napa-net.org (March 2020) awarded in 2020. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported defined
contribution (DC) assets under advisement (AUA) as of Dec. 31, 2019. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to NAPA to obtain or use the ranking. Nominees must be
individual advisor team/offices with a defined contribution book of business, in
a single physical location. To be considered, firms had to submit responses to
an application form, including information about their practices, notably their
defined contribution (DC) assets under advisement. The list is created and
conducted by the National Association of Plan Advisors, an affiliate
organization of the American Retirement Association, a non-profit association.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 NAPA Top DC Advisor Teams
2019 NAPA’s Top DC Advisor Teams
Source: napa-net.org (March 2020) awarded in 2020. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported assets
under advisement as of Dec 31, 2019. Neither Morgan Stanley Smith Barney LLC nor
its Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain
or use the ranking. Nominees must be individual advisor team/offices with a
defined contribution book of business, in a single physical location. To be
considered, firms had to submit responses to an application form, including
information about their practices, notably their defined contribution (DC)
assets under advisement. The list is created and conducted by the National
Association of Plan Advisors, an affiliate organization of the American
Retirement Association, a non-profit association. Ratings are based on the
opinion of NAPA and may not be representative of any one client’s experience nor
indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 NAPA Top Women Advisors
Source: napa-net.org (October 2019) awarded in 2019. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2018
– Aug 2019. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2019) awarded in 2019. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2018 – Aug 2019. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2019) awarded in 2019. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2019.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 PLANSPONSOR Retirement Plan Adviser of the Year
Source: planadviser.com (May 2019) awarded in 2019. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/18 – 12/31/18. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER or ISS Media to
obtain or use the ranking. This ranking is based on a mixture of qualitative and
quantitative measures, including tenure in the business, focus on retirement
plan business as a percentage of practice revenue, willingness to serve in a
fiduciary role to clients plans, and a review of essay answers and compliance
records. These criteria are utilized for each of the categories in which this
award is given. Ratings are based on the opinion of ISS Media and may not be
representative of any one client’s experience nor indicative of the financial
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2019 Working Mother Magazine & SHOOK Research's Top Wealth Advisor Moms
Source: Workingmother.com (October, 2019) 2019 Working Mother Magazine & SHOOK
Research's Top Wealth Advisor Moms ranking awarded in 2019. This ranking was
determined based on an evaluation process conducted by SHOOK Research LLC (the
research company) in partnership with Working Mother Magazine (the publisher)
during the period from 3/31/18- 3/31/19. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Working Mother Magazine. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Barron's Hall of Fame
Barron's Hall Of Fame 2020 List
Source: The Barron’s “Hall of Fame” list, published throughout 2020 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2020) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2020. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2018- Sept
2019. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2020) 2020 Barron's Top 100 Financial Advisors
awarded in 2020. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2018 - Dec 2019. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2020) 2020 Barron's Top 100 Women Financial Advisors
ranking awarded in 2020. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2019 - Mar 2020.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Barron's Top 50 Institutional Consulting Teams
Source: Barron's.com (April 2020) 2020 Barron's Top 50 Institutional Consulting
Teams ranking awarded in 2020. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2018 - Dec
2019. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Barron's Top 50 Private Wealth Management Teams
Source: Barron's.com (April 2020) 2020 Barron's Top 50 Private Wealth Management
Teams ranking awarded in 2020. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2018 - Dec
2019. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Financial Times 400 Top Financial Advisors
Source: ft.com (Apr 2020) 2020 Financial Times 400 Top Financial Advisors
awarded in 2020. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 6/30/16-6/30/19. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to the Financial Times in to obtain or use the ranking. This
ranking is based on quantifiable and objective criteria, including, but not
limited to, AUM, compliance record, years of experience, AUM growth rate,
industry certifications and online accessibility. Ratings are based on the
opinion of the Financial Times and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance. For
more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Financial Times 401 Top Retirement Advisors
Source: ft.com (Oct 2020) 2020 Financial Times 401 Top Retirement Advisors
awarded in 2020. This ranking was determined based on an evaluation process
conducted by the Financial Times during the period from 12/31/16 - 12/31/19.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to the Financial Times in to obtain or use the
ranking. This ranking is based on quantifiable and objective criteria,
including, but not limited to, AUM, compliance record, years of experience, AUM
growth rate, industry certifications and online accessibility. Ratings are based
on the opinion of the Financial Times and may not be representative of any one
client’s experience nor indicative of the financial advisor’s future
performance. For more on methodology please go to www.ft.com/reports.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Five Star Wealth Manager Award
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Forbes America's Top Wealth Advisors
Source: Forbes.com (August 2020) 2020 Forbes America's Top Wealth Advisors
ranking awarded in 2020. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 3/31/19 - 3/31/20. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2020 Morgan Stanley Smith Barney LLC. Member SIPC
2020 Forbes America's Top Women Wealth Advisors
Source: Forbes.com (April 2020) 2020 Forbes America's Top Women Wealth Advisors
ranking awarded in 2020. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 9/30/18 - 9/30/19. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Jan 2020) 2020 Forbes Best-In- State Wealth Advisors
rankings awarded in 2020. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 6/30/18 - 6/30/19. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Forbes Top Next-Gen Wealth Advisors
Source: Forbes.com (July 2020) 2020 Forbes Top Next-Gen Wealth Advisors ranking
awarded in 2020. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 3/31/19 - 3/31/20. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2020 NAPA Top DC Advisor Multi-Office Firms
Source: napa-net.org (March 2021) awarded in 2021. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported defined
contribution (DC) assets under advisement (AUA) as of Dec. 31, 2020. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to NAPA to obtain or use the ranking. Nominees must be
individual advisor team/offices with a defined contribution book of business, in
a single physical location. To be considered, firms had to submit responses to
an application form, including information about their practices, notably their
defined contribution (DC) assets under advisement. The list is created and
conducted by the National Association of Plan Advisors, an affiliate
organization of the American Retirement Association, a non-profit association.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 NAPA Top DC Advisor Teams
2020 NAPA’s Top DC Advisor Teams
Source: napa-net.org (March 2021) awarded in 2021. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported assets
under advisement as of Dec 31, 2020. Neither Morgan Stanley Smith Barney LLC nor
its Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain
or use the ranking. Nominees must be individual advisor team/offices with a
defined contribution book of business, in a single physical location. To be
considered, firms had to submit responses to an application form, including
information about their practices, notably their defined contribution (DC)
assets under advisement. The list is created and conducted by the National
Association of Plan Advisors, an affiliate organization of the American
Retirement Association, a non-profit association. Ratings are based on the
opinion of NAPA and may not be representative of any one client’s experience nor
indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 NAPA Top Women Advisors
Source: napa-net.org (October 2020) awarded in 2020. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2019
– Aug 2020. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns)
Source: napa-net.org (November 2020) awarded in 2020. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2019 – Aug 2020. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2020) awarded in 2020. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2020.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2020 Working Mother Magazine & SHOOK Research's Top Wealth Advisor Moms
Source: Workingmother.com (September 2020) 2020 Working Mother Magazine & SHOOK
Research's Top Wealth Advisor Moms ranking awarded in 2020. This ranking was
determined based on an evaluation process conducted by SHOOK Research LLC (the
research company) in partnership with Working Mother Magazine (the publisher)
during the period from 3/31/19 - 3/31/20. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Working Mother Magazine. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 Barron's Hall of Fame
Barron's Hall Of Fame 2021 List
Source: The Barron’s “Hall of Fame” list, published throughout 2021 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2021) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2021. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2019- Sept
2020. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2021) 2021 Barron's Top 100 Financial Advisors
awarded in 2021. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2019 - Dec 2020. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Barron's Top 100 Institutional Consulting Teams
Source: Barron's.com (April 2021) 2021 Barron's Top 100 Institutional Consulting
Teams ranking awarded in 2021. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2019 - Dec
2020. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Barron's Top 100 Private Wealth Management Teams
Source: Barron's.com (April 2021) 2021 Barron's Top 100 Private Wealth
Management Teams ranking awarded in 2021. This ranking was determined based on
an evaluation process conducted by Barron's during the period from Dec 2019 -
Dec 2020. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2021) 2021 Barron's Top 100 Women Financial Advisors
ranking awarded in 2021. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2020 - Mar 2021.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Five Star Wealth Manager Award
This award was issued in 2021 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Forbes America's Top Wealth Advisors
Source: Forbes.com (August 2021) 2021 Forbes America's Top Wealth Advisors
ranking awarded in 2021. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 3/31/20 - 3/31/21. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2021 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Forbes America's Top Women Wealth Advisors
Source: Forbes.com (March 2021) 2021 Forbes America's Top Women Wealth Advisors
ranking awarded in 2021. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 9/30/19 - 9/30/20. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 Forbes America’s Top Next-Gen Wealth Advisors
Source: Forbes.com (Sept 2021) 2021 Forbes America's Top Next-Gen Wealth
Advisors ranking awarded in 2021. This ranking was determined based on an
evaluation process conducted by SHOOK Research LLC (the research company) in
partnership with Forbes (the publisher) during the period from 3/31/20 -
3/31/21. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the
ranking. This ranking is based on in-person and telephone due diligence meetings
to evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2021 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Feb 2021) 2021 Forbes Best-In- State Wealth Advisors
rankings awarded in 2021. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 6/30/19 - 6/30/20. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 NAPA Top DC Advisor Multi-Office Firms
Source: napa-net.org (March 2022) awarded in 2022. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported defined
contribution (DC) assets under advisement (AUA) as of Dec. 31, 2021. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to NAPA to obtain or use the ranking. Nominees must be
individual advisor team/offices with a defined contribution book of business, in
a single physical location. To be considered, firms had to submit responses to
an application form, including information about their practices, notably their
defined contribution (DC) assets under advisement. The list is created and
conducted by the National Association of Plan Advisors, an affiliate
organization of the American Retirement Association, a non-profit association.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 NAPA Top DC Advisor Teams
2021 NAPA’s Top DC Advisor Teams
Source: napa-net.org (March 2022) awarded in 2022. This ranking was determined
through an evaluation process conducted by NAPA based on self-reported assets
under advisement as of Dec 31, 2021. Neither Morgan Stanley Smith Barney LLC nor
its Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain
or use the ranking. Nominees must be individual advisor team/offices with a
defined contribution book of business, in a single physical location. To be
considered, firms had to submit responses to an application form, including
information about their practices, notably their defined contribution (DC)
assets under advisement. The list is created and conducted by the National
Association of Plan Advisors, an affiliate organization of the American
Retirement Association, a non-profit association. Ratings are based on the
opinion of NAPA and may not be representative of any one client’s experience nor
indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 NAPA Top Women Advisors
Source: napa-net.org (October 2021) awarded in 2021. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2020
– Aug 2021. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 NAPA's Top Retirement Plan Advisors Under 40 (Aces)
Source: napa-net.org (November 2021) awarded in 2021. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2020 – Aug 2021. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2021) awarded in 2021. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2021.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2021 Working Mother Magazine & SHOOK Research's Top Wealth Advisor Moms
Source: Workingmother.com (October, 2021) 2021 Working Mother Magazine & SHOOK
Research's Top Wealth Advisor Moms ranking awarded in 2021. This ranking was
determined based on an evaluation process conducted by SHOOK Research LLC (the
research company) in partnership with Working Mother Magazine (the publisher)
during the period from 3/31/20 - 3/31/21. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Working Mother Magazine. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 Barron's Hall of Fame
Barron's Hall Of Fame 2022 List
Source: The Barron’s “Hall of Fame” list, published throughout 2022 and based on
Barron’s rankings received over the prior 10 years.
The Barron’s Hall of Fame recognizes those advisors who have appeared at least
10 times on one of Barron’s annual Top 100 Advisor rankings. Those rankings are:
Top 100 Advisors, Top 100 Women Advisors, and Top 100 Independent Advisors.
Advisors considered for the Top 100 Advisors rankings have a minimum of seven
years financial services experience and have been employed at their current firm
for at least one year. Financial Advisors are quantitatively ranked based on
varying types of revenues and assets advised by the financial professional, with
weightings associated for each. Because individual client portfolio performance
varies and is typically unaudited, these rankings focus on customer satisfaction
and quality of advice. The rankings may not be representative of any one
client’s experience because they reflect a sample of all of the experiences of
the Financial Advisor’s clients. The rankings are not indicative of the
Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC
nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in
exchange for inclusion on the “Hall of Fame” list or any of its rankings.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights
reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2022) 2022 Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2022. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2020 - Sept
2021. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2022) 2022 Barron's Top 100 Financial Advisors
awarded in 2022. This ranking was determined based on an evaluation process
conducted by Barron's during the period from Dec 2020 - Dec 2021. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to Barron's to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of Barron's and this ranking may not be representative
of any one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P.
All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Barron's Top 100 Institutional Consulting Teams
Source: Barron's.com (April 2022) 2022 Barron's Top 100 Institutional Consulting
Teams ranking awarded in 2022. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2020 - Dec
2021. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Barron's Top 100 Private Wealth Management Teams
Source: Barron's.com (April 2022) 2022 Barron's Top 100 Private Wealth
Management Teams ranking awarded in 2022. This ranking was determined based on
an evaluation process conducted by Barron's during the period from Dec 2020 -
Dec 2021. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2022) 2022 Barron's Top 100 Women Financial Advisors
ranking awarded in 2022. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2021 - Mar 2022.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Five Star Wealth Manager Award
This award was issued in 2022 and based on the evaluation process below. This
evaluation was not based on a specific time period, but was conducted by Five
Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the
wealth manager has not: 1.) Been subject to a regulatory action that resulted in
a license being suspended or revoked, or payment of a fine; 2.) Had more than a
total of three settled or pending complaints filed against them and/or a total
of five settled, pending, dismissed, or denied complaints with any regulatory
authority or FSP’s consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified
award candidates based on industry data and contacted all identified broker
dealers, Registered Investment Advisor firms and FINRA-registered
representatives to gather wealth manager nominations. Self-nominations are not
accepted. Wealth managers and/or their firms do not pay a fee to be considered
or placed on the final list of Five Star Wealth Managers.
For more information on the Five Star award and the research/selection
methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Forbes America's Top Wealth Advisors
Source: Forbes.com (August 2022) 2022 Forbes America's Top Wealth Advisors
ranking awarded in 2022. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 3/31/21 - 3/31/22. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Forbes America's Top Women Wealth Advisors & Forbes Top Women Wealth
Advisors Best-In- State
Source: Forbes.com (February 2022) 2022 Forbes America's Top Women Wealth
Advisors & Forbes Top Women Wealth Advisors Best-In- State rankings awarded in
2022. This ranking was determined based on an evaluation process conducted by
SHOOK Research LLC (the research company) in partnership with Forbes (the
publisher) during the period from 9/30/20 - 9/30/21. Neither Morgan Stanley
Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a
fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on
in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience. This ranking is not indicative of
the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is
not affiliated with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth
Advisors Best-in-State
Source: Forbes.com (August 2022) 2022 Forbes America's Top Next-Gen Wealth
Advisors and Top Next-Gen Wealth Advisors Best-In-State ranking awarded in 2022.
This ranking was determined based on an evaluation process conducted by SHOOK
Research LLC (the research company) in partnership with Forbes (the publisher)
during the period from 3/31/21 - 3/31/22. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
2022 Forbes America’s Top Wealth Management Teams
Source: Forbes.com (November 2022) 2022 Forbes America’s Top Wealth Management
Teams ranking awarded in 2022. This ranking was determined based on an
evaluation process conducted by SHOOK Research LLC (the research company) in
partnership with Forbes (the publisher) during the period from 3/31/21 –
3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the
ranking. This ranking is based on in-person and telephone due diligence meetings
to evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (April 2022) 2022 Forbes Best-In- State Wealth Advisors
rankings awarded in 2022. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 6/30/20 - 6/30/21. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience. This ranking
is not indicative of the Financial Advisor’s future performance. Morgan Stanley
Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more
information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 NAPA Top Women Advisors
Source: napa-net.org (October 2022) awarded in 2022. This ranking was determined
based on an evaluation process conducted by NAPA during the period from Aug 2021
– Aug 2022. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking.
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.
Nominees must be women retirement plan advisors with their own book of business.
Nominees were required to submit responses to an application comprised of a
series of quantitative and qualitative questions about their experience, size
and composition of their practice, awards and recognitions, and industry
contributions, which were then reviewed by a panel of senior advisor industry
experts, who, based on those criteria, and following a broker-check review,
selected the top women advisors. Ratings are based on the opinion of NAPA and
may not be representative of any one client’s experience nor indicative of the
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 NAPA's Top Retirement Plan Advisors Under 40 (Aces)
Source: napa-net.org (November 2022) awarded in 2022. This ranking was
determined based on an evaluation process conducted by NAPA during the period
from Aug 2022 – Aug 2021. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or
use the ranking. Nominations from the list were provided by NAPA
Broker-Dealer/RIA Firm Partners. Nominees must be retirement plan advisors with
their own book of business and less than 40 years of age. Nominees were required
to submit responses to an application comprised of a series of quantitative and
qualitative questions about their experience, size and composition of their
practice, awards and recognitions, and industry contributions, which were then
reviewed by a panel of senior advisor industry experts, who, based on those
criteria, and following a broker-check review, selected the top young advisors.
Ratings are based on the opinion of NAPA and may not be representative of any
one client’s experience nor indicative of the advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 PLANADVISER Retirement Plan Adviser of the Year
Source: planadviser.com (May 2022) awarded in 2022. This ranking was determined
based on an evaluation process conducted by ISS Media during the period from
1/1/21 – 12/31/21. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors paid a fee to PLANADVISER or ISS Media to
obtain or use the ranking. This ranking is based on a mixture of qualitative and
quantitative measures, including tenure in the business, focus on retirement
plan business as a percentage of practice revenue, willingness to serve in a
fiduciary role to clients plans, and a review of essay answers and compliance
records. These criteria are utilized for each of the categories in which this
award is given. Ratings are based on the opinion of ISS Media and may not be
representative of any one client’s experience nor indicative of the financial
advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2022 PLANADVISER Top Retirement Advisors
Source: planadviser.com (May 2022) awarded in 2022. This ranking was determined
based on an evaluation process conducted by ISS Media utilizing data from
responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2022.
The list is drawn solely from a set of quantitative variables and information in
the survey supplied by the advisers themselves. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to
PLANADVISER or ISS Media to obtain or use the ranking. Ratings are based on the
opinion of ISS Media and may not be representative of any one client’s
experience nor indicative of the financial advisor’s future performance.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
2023 Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (March 2023) Barron's Top 1,200 Financial Advisors:
State-by-State ranking awarded in 2023. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Sept 2021 - Sept
2022. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC
2023 Barron's Top 100 Financial Advisors
Source: Barron's.com (April 2023) Barron's Top 100 Financial Advisors awarded in
2022. This ranking was determined based on an evaluation process conducted by
Barron's during the period from Dec 2021 - Dec 2022. Neither Morgan Stanley
Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a
fee to Barron's to obtain or use the ranking. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of Barron's and this ranking may not be representative of any one
client’s experience. This ranking is not indicative of the Financial Advisor’s
future performance. Morgan Stanley Smith Barney LLC is not affiliated with
Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P. All
rights reserved.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC
2023 Barron's Top 100 Institutional Consulting Teams
Source: Barron's.com (April 2023) Barron's Top 100 Institutional Consulting
Teams ranking awarded in 2023. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2021 - Dec
2022. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC
2023 Barron's Top 100 Private Wealth Management Teams
Source: Barron's.com (April 2023) Barron's Top 100 Private Wealth Management
Teams ranking awarded in 2023. This ranking was determined based on an
evaluation process conducted by Barron's during the period from Dec 2021 - Dec
2022. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or
Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking.
This ranking is based on in-person and telephone due diligence meetings to
evaluate each advisor qualitatively, a major component of a ranking algorithm
that includes client retention, industry experience, review of compliance
records, firm nominations, and quantitative criteria, including assets under
management and revenue generated for their firms. Investment performance is not
a criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC
2023 Barron's Top 100 Women Financial Advisors
Source: Barron's.com (June 2023) Barron's Top 100 Women Financial Advisors
ranking awarded in 2023. This ranking was determined based on an evaluation
process conducted by Barron's during the period from Mar 2022 - Mar 2023.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private
Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of Barron's and this ranking may
not be representative of any one client’s experience. This ranking is not
indicative of the Financial Advisor’s future performance. Morgan Stanley Smith
Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark
of Dow Jones & Company, L.P. All rights reserved.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC
2023 Forbes America's Top Women Wealth Advisors & Forbes Top Women Wealth
Advisors Best-In- State
Source: Forbes.com (February 2023) Forbes America's Top Women Wealth Advisors &
Forbes Top Women Wealth Advisors Best-In- State rankings awarded in 2023. This
ranking was determined based on an evaluation process conducted by SHOOK
Research LLC (the research company) in partnership with Forbes (the publisher)
during the period from 9/30/21 - 9/30/22. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC for placement on its rankings. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience; investors must carefully choose the right Financial
Advisor or team for their own situation and perform their own due diligence.
This ranking is not indicative of the Financial Advisor’s future performance.
Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or
Forbes. For more information, see www.SHOOKresearch.com.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
2023 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth
Advisors Best-in-State
2023 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth
Advisors Best-in-State Source: Forbes.com (August 2023) Forbes America's Top
Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-In-State ranking
awarded in 2023. This ranking was determined based on an evaluation process
conducted by SHOOK Research LLC (the research company) in partnership with
Forbes (the publisher) during the period from 3/31/22 - 3/31/23. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors
paid a fee to SHOOK Research LLC for placement on its rankings. This ranking is
based on in-person and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes client
retention, industry experience, review of compliance records, firm nominations,
and quantitative criteria, including assets under management and revenue
generated for their firms. Investment performance is not a criterion. Rankings
are based on the opinions of SHOOK Research LLC and this ranking may not be
representative of any one client’s experience; investors must carefully choose
the right Financial Advisor or team for their own situation and perform their
own due diligence. This ranking is not indicative of the Financial Advisor’s
future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK
Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC
2023 Forbes America’s Top Wealth Advisors & Best-In-State Wealth Advisors
2023 Forbes America’s Top Wealth Advisors & Best-In-State Wealth Advisors
Source: Forbes.com (April 2023) Forbes America’s Top Wealth Advisors and
Best-In- State Wealth Advisors rankings awarded in 2023. This ranking was
determined based on an evaluation process conducted by SHOOK Research LLC (the
research company) in partnership with Forbes (the publisher) during the period
from 6/30/21 - 6/30/22. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC
for placement on its rankings. This ranking is based on in-person and telephone
due diligence meetings to evaluate each advisor qualitatively, a major component
of a ranking algorithm that includes client retention, industry experience,
review of compliance records, firm nominations, and quantitative criteria,
including assets under management and revenue generated for their firms.
Investment performance is not a criterion. Rankings are based on the opinions of
SHOOK Research LLC and this ranking may not be representative of any one
client’s experience; investors must carefully choose the right Financial Advisor
or team for their own situation and perform their own due diligence. This
ranking is not indicative of the Financial Advisor’s future performance. Morgan
Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes.
For more information, see www.SHOOKresearch.com.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
2023 Forbes America’s Top Wealth Management Teams
2023 Forbes America’s Top Wealth Management Teams Source: Forbes.com (November
2023) Forbes America’s Top Wealth Management Teams ranking awarded in 2023. This
ranking was determined based on an evaluation process conducted by SHOOK
Research LLC (the research company) in partnership with Forbes (the publisher)
during the period from 3/31/22 – 3/31/23. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK
Research LLC for placement on its rankings. This ranking is based on in-person
and telephone due diligence meetings to evaluate each advisor qualitatively, a
major component of a ranking algorithm that includes client retention, industry
experience, review of compliance records, firm nominations, and quantitative
criteria, including assets under management and revenue generated for their
firms. Investment performance is not a criterion. Rankings are based on the
opinions of SHOOK Research LLC and this ranking may not be representative of any
one client’s experience; investors must carefully choose the right Financial
Advisor or team for their own situation and perform their own due diligence.
This ranking is not indicative of the Financial Advisor’s future performance.
Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or
Forbes. For more information, see www.SHOOKresearch.com.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
2023 Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Jan 2023) 2023 Forbes Best-In-State Wealth Management Teams
ranking awarded in 2023. This ranking was determined based on an evaluation
process conducted by SHOOK Research LLC (the research company) in partnership
with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither
Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth
Advisors paid a fee to SHOOK Research LLC for placement on its rankings. This
ranking is based on in-person and telephone due diligence meetings to evaluate
each advisor qualitatively, a major component of a ranking algorithm that
includes client retention, industry experience, review of compliance records,
firm nominations, and quantitative criteria, including assets under management
and revenue generated for their firms. Investment performance is not a
criterion. Rankings are based on the opinions of SHOOK Research LLC and this
ranking may not be representative of any one client’s experience; investors must
carefully choose the right Financial Advisor or team for their own situation and
perform their own due diligence. This ranking is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated
with SHOOK Research LLC or Forbes. For more information, see
www.SHOOKresearch.com.
©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
401kWire's 300 Most Influential DC Advisors 2011
The 401kWire’s 300 Most Influential DC Advisors as identified by 401kWire using
quantitative criteria selected from a pool of over 3,000 nominations from the
industry and the 401kWire’s editorial staff. The list of the 300 Most
Influential DC Advisors was selected from more than 120,000 reader votes as well
as from input from last year’s Top 40 Advisors and from distributors working
with the advisors. Quantitative factors include, but are not limited to, total
assets, production, average account size, years in the business and other
statistics about the advisors’ practices gathered directly from the nominees.
Investment performance is not a criterion. The rating may not be representative
of any one client’s experience and is not indicative of the Financial Advisor’s
future performance. Neither Morgan Stanly Smith Barney LLC nor its Financial
Advisors pay a fee to 401kWire in exchange for the rating.
A
ASPPA 401(k) Leadership Award
Source: ASPPA’s ASPPA 401(k) Leadership Award is designed to acknowledge a
specific accomplishment and/or contribution by an individual or group of
individuals within the 401(k) industry. This Award, sponsored by Morningstar,
recognizes leadership, innovation and significant influence within the
retirement industry targeting the sales, marketing and establishment of 401(k)
plans. Firms review and approve nominations of individuals who match the ASPPA
Award criteria. Individuals are judged based on qualitative information
collected from the nomination form, and potentially from interviews with the
Award Committee. Finalists are entitled to receive paid airfare, conference
registration, and three nights’ hotel accommodations to The ASPPA 401(k) SUMMIT.
For more information on the award, go to http://www.aspa.org. The award is not
indicative of the Financial Advisor’s future performance. Neither Morgan Stanley
Smith Barney LLC nor its Financial Advisors pay a fee to ASPPA in exchange for
the award.
B
Baltimore Business Journal 40 Under 40 Most Influential Business Leaders 1997
Source: Baltimore Business Journal, “40 under 40 Most Influential Business
Leaders”, August 1997. The award is based upon a recipient’s application and not
upon any qualitative or quantitative criteria relating specifically to one’s
position as a Financial Advisor. As such, the award is not representative of any
client’s experience nor is it indicative of the Financial Advisor’s future
performance. Neither Morgan Stanley Smith Barney LLC nor any of its Financial
Advisors pay a fee to the Baltimore Business Journal in exchange for the rating.
Baltimore Business Journal 40 Under 40 Most Influential Business Leaders 2007
Source: Baltimore Business Journal, “40 under 40 Most Influential Business
Leaders”, August 2007. The award is based upon a recipient’s application and not
upon any qualitative or quantitative criteria relating specifically to one’s
position as a Financial Advisor. As such, the award is not representative of any
client’s experience nor is it indicative of the Financial Advisor’s future
performance. Neither Morgan Stanley Smith Barney LLC nor any of its Financial
Advisors pay a fee to the Baltimore Business Journal in exchange for the rating.
Baltimore Jewish Times Up-and-Coming Young Professionals 2009
Source: Baltimore Jewish Times, Up-and-Coming Young Professionals, March 2009.
The award is based upon a recipient’s application and not upon any qualitative
or quantitative criteria relating specifically to one’s position as a Financial
Advisor. As such, the award is not representative of any client’s experience
nor is it indicative of the Financial Advisor’s future performance. Neither
Morgan Stanley Smith Barney nor any of their Financial Advisors pay a fee to the
Baltimore Jewish Times in exchange for the rating.
Barron's Top Women Advisors Summit Attendees 2016
This advisor, in addition to the award recipients, was one of several hundred
financial advisors who were selected by their firms to attend the annual
Barron’s Top Women Advisors Summit, hosted by Barron’s magazine to promote best
practices in the industry and the value of advice to the investing public. The
invitation-only conference was held at The Breakers in Palm Beach, FL, from
November 30th to December 2nd This exclusive conference is designed to promote
best practices and generate new ideas across the industry. Participants attended
workshops, many led by the Top 100 Women Financial Advisors, that explored
current issues ranging from business development ideas through managing
high-net-worth accounts and families to portfolio management and retirement
planning.
Barron's Top Women Advisors Summit Attendees 2017-2019
This advisor, in addition to the award recipients, was one of several hundred
financial advisors who were selected by their firms to attend the annual
Barron’s Top Women Advisors Summit, hosted by Barron’s magazine to promote best
practices in the industry and the value of advice to the investing public. The
invitation-only conference was held at The Breakers in Palm Beach, FL. This
exclusive conference is designed to promote best practices and generate new
ideas across the industry. Participants attended workshops, many led by the Top
100 Women Financial Advisors, that explored current issues ranging from business
development ideas through managing high-net-worth accounts and families to
portfolio management and retirement planning.
Barron's Top Women Advisors Summit Attendees 2020
This advisor, in addition to the award recipients, was one of several hundred
financial advisors who were selected by their firms to attend the annual
Barron’s Top Women Advisors Summit, hosted by Barron’s magazine to promote best
practices in the industry and the value of advice to the investing public. The
invitation-only conference was held virtually. This exclusive conference is
designed to promote best practices and generate new ideas across the industry.
Participants attended workshops, many led by the Top 100 Women Financial
Advisors, that explored current issues ranging from business development ideas
through managing high-net-worth accounts and families to portfolio management
and retirement planning.
Barron’s Top Women Advisors Summit Attendees 2015 Summit
This advisor in addition to the award recipients, was one of several hundred
financial advisors who were selected by their firms to attend the 10th annual
Barron’s Top Women Advisors Summit, hosted by Barron’s magazine, to promote best
practices in the industry and the value of advice to the investing public. The
invitation-only conference was held at The Breakers in Palm Beach, Florida, from
December 2 to 4. This exclusive conference is designed to promote best practices
and generate new ideas across the industry. Participants attended workshops,
many led by the Top 100 Women Financial Advisors, that explored current issues
ranging from business development ideas through managing high net worth accounts
and families to portfolio management and retirement planning.
Barron’s Winner’s Circle Top Advisors Summit 2013
This advisor, in addition to the award recipients, was one of approximately 500
financial advisors who were selected by their firms to attend the eighth annual
Barron’s Winner’s Circle Top Women Advisors Summit, hosted by Barron’s magazine,
to promote best practices in the industry and the value of advice to the
investing public. The invitation-only conference was held at The Breakers in
Palm Beach, Florida, from December 4 to 6. This exclusive conference is designed
to promote best practices and generate new ideas across the industry.
Participants attended workshops, led by the Top 100 Women Financial Advisors,
that explored current issues ranging from business development ideas through
managing high net worth accounts and families to portfolio management and
retirement planning.
C
Chicago’s Notable Financial Advisers 2018
Chicago’s Notable Financial Advisors 2018, October 22, 2018, as appearing in
Crain’s Chicago Business, is based on nominations made to Crain’s. The criteria
are that nominees must be based in the Chicago area, currently employed full
time at a financial institution or company offering wealth management services,
have a minimum of five years’ experience, oversee at least $10 million in assets
under advisement and contributions within the industry. The rating is not
indicative of the Financial Advisors’ future performance. Neither Morgan Stanley
Smith Barney LLC nor its Financial Advisors paid a fee to Crain’s in exchange
for the award.
Coalition Greenwich Quality Leader Award 2021
Source: Coalition Greenwich 2021 U.S. Institutional Investors Study (April
2022). The 2021 Greenwich Quality Leader in Overall U.S. Investment Consulting
(Large Firms) designation was awarded to three firms and is based on the results
of interviews conducted by Coalition Greenwich. Between July and October 2021,
Coalition Greenwich interviewed 811 individuals from 661 of the largest
tax-exempt funds in the United States, including corporate and union funds,
public funds, and endowment and foundation funds, with either pension or
investment pool assets greater than $150 million. The award is the product of
numerical scores in Coalition Greenwich’s proprietary studies that are generated
from the study interviews. In addition to study interviews, the award is based
on other criteria including assets under management and industry experience.
Investment performance is not a criterion because client objectives and risk
tolerances vary, and advisors rarely have audited performance reports. Neither
Morgan Stanley Smith Barney LLC nor Graystone Consulting pays a fee to Coalition
Greenwich in exchange for the award; Graystone does not pay to have its clients
participate in the study. The award is not indicative of participating firm’s
nor their financial advisors’ past or future performance and may not be
representative of any one client's experience because the results represent an
average of all experiences of responding clients only. Coalition Greenwich is a
division of CRISIL. Morgan Stanley is not affiliated with Coalition Greenwich. ©
2022 Morgan Stanley Smith Barney LLC. Member SIPC. Graystone Consulting, a
business of Morgan Stanley Smith Barney LLC.
Coalition Greenwich Quality Leader Award 2022
Source: Coalition Greenwich 2022 U.S. Institutional Investors Study (April
2023). The 2022 Greenwich Quality Leader in Overall U.S. Investment Consulting
(Large Firms) designation was awarded to three firms and is based on the results
of interviews conducted by Coalition Greenwich. Between February and November
2022, Coalition Greenwich interviewed 727 individuals from 590 of the largest
tax-exempt funds in the United States, including corporate and union funds,
public funds, and endowment and foundation funds, with either pension or
investment pool assets greater than $150 million. The award is the product of
numerical scores in Coalition Greenwich’s proprietary studies that are generated
from the study interviews. In addition to study interviews, the award is based
on other criteria including assets under management and industry experience.
Investment performance is not a criterion because client objectives and risk
tolerances vary, and advisors rarely have audited performance reports. Neither
Morgan Stanley Smith Barney LLC nor Graystone Consulting pays a fee to Coalition
Greenwich in exchange for the award; Graystone does not pay to have its clients
participate in the study. The award is not indicative of participating firm’s
nor their financial advisors’ past or future performance and may not be
representative of any one client's experience because the results represent an
average of all experiences of responding clients only. Coalition Greenwich is a
division of CRISIL. Morgan Stanley is not affiliated with Coalition Greenwich. ©
2023 Morgan Stanley Smith Barney LLC. Member SIPC. Graystone Consulting, a
business of Morgan Stanley Smith Barney LLC.
Crain's Notable Women in Finance 2020
Source: Crain’s New York Business, December 7, 2020. Financial Advisors are
chosen for this list at the sole discretion of the publication, and selection is
not based on any quantitative criteria that is consistent across all listed
Advisors.. The Nominees must work within the five boroughs of New York City or
in the counties of Westchester, Bergen, Nassau or Rockland and must have worked
in a financial advisory capacity for a minimum of five years. The rating may not
be representative of any one client’s experience and is not indicative of the
Financial Advisor’s past or future performance. Neither Morgan Stanley Smith
Barney LLC nor its Advisors have paid a fee in exchange for this listing. All
investing entails risks that investors should endeavor to understand before then
invest.
F
Financial Planning’s Top 40 Under 40 2022
Financial Planning’s Top 40 Under 40 asks brokerage firms to nominate their top
young brokers. Of those nominated, Financial Planning bases its rankings on
quantitative and qualitative criteria. Financial Advisors are ranked by their
annual trailing-12 month production (as of Sept 31, 2021). The rating is not
indicative of the advisor's future performance. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors pay a fee to Financial Planning in
exchange for the rating.
Financial Times Top 400 Financial Advisors 2019
The Financial Times 400 Top Financial Advisors is an independent listing
produced annually by the Financial Times (April 2019). The FT 400 is based on
data gathered from advisors, broker-dealer home offices, regulatory disclosures,
and the FT’s research. The listing reflects each advisor’s status in six primary
areas: assets under management (AUM), asset growth, compliance record,
experience, credentials and online accessibility. This award does not evaluate
the quality of services provided to clients and is not indicative of this
advisor’s future performance. Neither Morgan Stanley nor the advisors pay a fee
to the Financial Times in exchange for inclusion in the FT 400.
Financial Times Top 401 Retirement Plan Advisors 2018
Source: The Financial Times 401 Top Retirement Advisors is an independent
listing produced annually by the Financial Times (September 2018). The FT 401 is
based on data gathered from advisors, regulatory disclosures, and the FT's
research. The listing reflects each advisor's status in seven primary areas: DC
plan assets under management (AUM), DC AUM growth rate, specialization in DC
plans, years of experience, advanced industry credentials, compliance record and
DC plan participation rate. This award does not evaluate the quality of services
provided to clients and is not indicative of the Financial Advisor's future
performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors
or Private Wealth Advisors pays a fee to the Financial Times in exchange for the
rating.
G
Greenwich Associates 2018 Quality Leader Award
Source: Greenwich Associates, April 25, 2019. The 2018 Greenwich Quality Leader
in Overall U.S. Investment Consulting (Mid-Size Firms) designation was awarded
to three firms and is based on the results of interviews conducted by Greenwich
Associates as described above. The award is the product of numerical scores in
Greenwich Associates’ proprietary studies that are generated from the study
interviews. In addition to study interviews, the award is based on other
criteria including assets under management and industry experience. Investment
performance is not a criterion because client objectives and risk tolerances
vary, and advisors rarely have audited performance reports. Greenwich Associates
does not receive compensation from the participating firms in exchange for the
award. The clients’ quantitative responses to the questions may not be
representative of any one client’s experience and are not indicative of the
participating firm’s nor their financial advisor’s future performance. Neither
Graystone Consulting nor Morgan Stanley Smith Barney LLC ("Morgan Stanley") paid
a fee to Greenwich Associates in exchange for the award. Morgan Stanley is not
affiliated with Greenwich Associates.
M
Maryland Daily Record Top 100 Women
Source: Maryland Daily Record, "Top 100 Women",1998, 2004 and 2007. The award is
based upon a recipient’s application and not upon any qualitative and
quantitative criteria relating specifically to one’s position as a Financial
Advisor. As such the award is not representative of any client’s experience nor
is it indicative of the Financial Advisor’s future performance. The publication
states that it considers four factors in compiling its list: accomplishments to
date, contributions to the industry, leadership, and promise. Neither Morgan
Stanley Smith Barney nor any of their Financial Advisors pay a fee to the
Maryland Daily Record in exchange for the rating.
N
NABCAP Premier Wealth Advisors (5-Star Local List)
"Source: NABCAP: Premier Wealth Advisors, Omaha Magazine, Over 5,000 direct
contacts and over 40,000 indirect contacts were made to seek participation
and/or nomination of participants in the Premier Wealth Advisor Program. The
number of individuals contacted varies based on the size of the local market.
NABCAP uses a methodology that it has created that includes both quantitative
and qualitative criteria, including, but not limited to, financial planning,
education, experience and compliance record. NABCAP contracts with Rank Premier
Advisors to administer its evaluation process. NABCAP’s evaluation and ranking
program (including the evaluation and validation process and the list of NABCAP
Premier Advisors) is an independent third-party assessment based on objective,
unbiased questions (the ""Program""). The Program is structured to ensure a
comprehensive and objective evaluation of financial advisory practices. NABCAP’s
methodology includes, but is not limited to (i) average assets per client, (ii)
average number of clients per advisor, (iii) financial advisor to support staff
ratio, and (iv) financial advisor and support staff credentials/designations.
For more information on NABCAP’s methodology, go to nabcap.org.
Premier Wealth Advisors do not pay a fee to be included in the final list of
NABCAP Premier Wealth Advisors.
The overall evaluation score of a wealth manager may not be representative of
any one client’s evaluation.
The inclusion of a wealth manager on the list should not be construed as an
endorsement of the wealth manager by NABCAP or Omaha Magazine.
The rating is not indicative of the Financial Advisor’s future performance."
O
On Wall Street’s Top 100 Branch Manager Honorees
On Wall Street’s Top 100 Branch Manager Honorees, as identified by On Wall
Street, uses criteria, such as achievements during the year; ability to
identify, recruit, develop, retain and reward talented Financial Advisors and
dedication to the goal of providing superior client service. The Honorees are
selected from the pool of nominees by judges chosen by On Wall Street. The
rating may not be representative of any one client’s experience and is not
indicative of the Branch Manager’s future performance. Neither Morgan Stanley
Smith Barney LLC nor its Branch Managers pay a fee to On Wall Street in exchange
for the rating.
On Wall Street’s Top 40 Under 40
On Wall Street’s Top 40 Under 40 asks brokerage firms to nominate their top
young brokers. Of those nominated, On Wall Street bases its rankings on
quantitative and qualitative criteria. Financial Advisors are ranked by their
annual trailing 12-month production (as of September 30, 2014). The rating is
not indicative of the advisor’s future performance. Neither Morgan Stanley Smith
Barney LLC nor its Financial Advisors pay a fee to On Wall Street in exchange
for the rating.
On Wall Street’s Top 75 Branch Managers 2018
Source: On Wall Street "The Top 75 Branch Managers," September 04, 2018. The
rating may not be representative of any one client’s experience because it
reflects a sample of all of the experiences of the Branch Manager’s clients nor
may it be indicative of future performance. Neither Morgan Stanley Smith Barney
LLC nor any of its Branch Office Managers pay a fee to On Wall Street in
exchange for the rating.
P
PLANADVISER Top 100 Retirement Plan Advisers 2018
Source: PLANADVISER.com, January/February 2018. The 2018 PLANADVISER Top 100
Retirement Plan Advisers award is compiled from responses to the PLANADVISER
Retirement Plan Adviser Survey. It is based solely from a set of quantitative
variables and information from a survey supplied by the advisers themselves. A
sub-segment of the questions was used to determine eligibility for the Top 100.
The rating is not indicative of the Financial Adviser’s future performance.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisers paid a fee to
PLANADVISER in exchange for the rating.
PLANADVISER Top 100 Retirement Plan Advisers 2019
Source: PLANADVISER.com, January/February 2019. The 2019 PLANADVISER Top 100
Retirement Plan Advisers award is compiled from responses to the PLANADVISER
Retirement Plan Adviser Survey. It is based solely from a set of quantitative
variables and information from a survey supplied by the advisers themselves. A
sub-segment of the questions was used to determine eligibility for the Top 100.
The rating is not indicative of the Financial Adviser’s future performance.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisers paid a fee to
PLANADVISER in exchange for the rating.
PLANADVISER Top 100 Retirement Plan Advisers 2020
Source: PLANADVISER.com, March 2020 – The "PLANADVISER’S 2020 Top 100 Retirement
Plan Advisers" list is compiled from responses to the PLANADVISER Retirement
Plan Adviser Survey. The list is drawn solely from a set of quantitative
variables and information in the survey supplied by the advisers themselves. A
sub-segment of the questions was used to determine eligibility for the Top 100.
The rating is not indicative of the Financial Advisor's future performance.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors paid a fee to
Plan Advisor in exchange for the rating.
PLANADVISER Top 100 Retirement Plan Advisers 2021
Source: PLANADVISER.com, July 2021 – The "PLANADVISER’S 2021 Top 100 Retirement
Plan Advisers" list is compiled from responses to the PLANADVISER Retirement
Plan Adviser Survey. The list is drawn solely from a set of quantitative
variables and information in the survey supplied by the advisers themselves. A
sub-segment of the questions was used to determine eligibility for the Top 100.
The rating is not indicative of the Financial Advisor's future performance.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors paid a fee to
Plan Advisor in exchange for the rating.
R
Registered REP.'s List of Top 100 Wirehouse Advisors 2015
Source: REP. magazine, October 2015. Advisors on the Top 100 Wirehouse Advisors
list are ranked exclusively by assets under management custodied at the four
wirehouse firms. Only advisors for whom 80 percent or more of assets
corresponded to retail clients were eligible for the list. Assets under
management are as of the end of the second quarter 2015. REP. magazine and
WealthManagement.com do not receive any compensation from the financial
advisors, participating firms, affiliates or the media in exchange for rankings.
REP. Magazine Top 50 Wirehouse Women 2014
REP. magazine’s Top 50 Wirehouse Women, October 1, 2014. Advisors on the Top 50
Wirehouse Women list are ranked exclusively by assets under management custodied
at their firm. Only advisors for whom 80 percent or more of assets corresponding
to retail clients were eligible for the list. Assets under management are as of
the end of the first quarter 2014. REP. magazine and WealthManagement.com do not
receive any compensation from the financial advisors, participating firms,
affiliates or the media in exchange for rankings.
REP. Magazine's Top 40 Wirehouse Advisors Under 40 2013
Source: REP. magazine’s Top 40 Wirehouse Advisors Under 40, August 5, 2013.
Selected Financial Advisors are ranked exclusively by assets under management
custodied at their firm. Only Financial Advisors for whom 60 percent or more of
assets correspond to retail clients were eligible for the list. Financial
Advisors must be under the age of 40 as of August 2013. The rating is not
indicative of the Financial Advisor’s future performance. Neither the Financial
Advisor nor Morgan Stanley Wealth Management pays a fee to REP. magazine in
exchange for the ranking.
Research Magazine's 130 Top-Ranked Advisor Teams in America
Source: Research Magazine’s 130 Top-Ranked Advisor Teams in America, as
identified by The Winner’s Circle®, LLC, bases its rankings on qualitative
criteria: professionals with a minimum of seven years’ financial services
experience, acceptable compliance records, client retention reports, customer
satisfaction and more. With over 7,000 nominations compiled on an annual basis,
Financial Advisor teams are quantitatively ranked based on varying types of
revenues and assets advised by the financial professional, with weightings
associated for each. Additional measures include: in-depth interviews and
discussions with senior management, peers, and customers, and telephone-based
and in-person interviews with the nominees. Because individual client portfolio
performance varies and is typically unaudited, this ranking focuses on customer
satisfaction and quality of advice. For more information on ranking methodology,
go to www.WCorg.com. The rating may not be representative of any one client’s
experience because it reflects a sample of all of the experiences of the
Financial Advisor’s clients. The rating is not indicative of the Financial
Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its
Financial Advisors pay a fee to The Winner’s Circle in exchange for the rating.
Research Magazine’s Top-Ranked Teams in America
Source: Research magazine’s Top-Ranked Teams in America, as identified by
Research magazine, uses quantitative and qualitative criteria and selects from a
pool of over 3,000 nominations. Financial Advisors in the Top-Ranked Teams have
a minimum of seven years of financial services experience. Qualitative factors
include, but are not limited to, compliance record, interviews with senior
management and philanthropic work. Investment performance is not a criterion.
The rating may not be representative of any one client’s experience and is not
indicative of the Financial Advisor’s future performance. Neither Morgan
Stanley Smith Barney LLC nor its Financial Advisors pay a fee to Research in
exchange for the rating. Research is a registered trademark of Dow Jones &
Company, L.P. All rights reserved.
Reuters AdvicePoint
Source: Reuters AdvicePoint bases its rankings exclusively on quantitative
criteria, such as assets under management, size of the book, and an acceptable
compliance record. Reuters accepts nominations from Financial Advisors. The
rating is not indicative of the Financial Advisor’s future performance. Morgan
Stanley Smith Barney LLC does not pay a fee to Reuters in exchange for the
rating.
W
Washingtonian Magazine Wealth Manager Award 2012
Source: Washingtonian, November 2012. Washingtonian’s They Know Money bases its
ratings on quantitative and qualitative criteria, including, but not limited to:
surveys to Washington-area financial professionals, nominations submitted to
them by firms based upon assets under management, degrees, and certifications.
The rating may not be representative of any one client’s experience. The rating
is not indicative of the Financial Advisor’s future performance. Neither Morgan
Stanley Smith Barney LLC nor any of their Financial Advisors pay a fee to
Washingtonian in exchange for the rating.
The individual(s) mentioned as the {Portfolio Manager or Portfolio Management
Team} is/are {a} Financial Advisor(s) with Morgan Stanley, participating in the
Morgan Stanley Portfolio Management program. The Portfolio Management program is
an investment advisory program in which the client’s Financial Advisor invests
the client’s assets on a discretionary basis in a range of securities. The
Portfolio Management program is described in the applicable Morgan Stanley ADV
Part 2, available at www.morganstanley.com/ADV or from your Financial Advisor.
Winner’s Circle Top 50
The Winner’s Circle®, LLC, bases its rankings on qualitative criteria:
professionals with a minimum of seven years’ financial services experience,
acceptable compliance records, client retention reports, customer satisfaction
and more. With over 7,000 nominations compiled on an annual basis, Financial
Advisors are quantitatively ranked based on varying types of revenues and assets
advised by the financial professional, with weightings associated for each.
Additional measures include: in-depth interviews and discussions with senior
management, peers, and customers, and telephone-based and in-person interviews
with the nominees. Because individual client portfolio performance varies and is
typically unaudited, this ranking focuses on customer satisfaction and quality
of advice. For more information on ranking methodology, go to www.WCorg.com. The
rating may not be representative of any one client’s experience because it
reflects a sample of all of the experiences of the Financial Advisor’s clients.
The rating is not indicative of the Financial Advisor’s future performance.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors pay a fee to
The Winner’s Circle in exchange for the rating.
Worth Top 100 Wealth Advisors
Source: Worth magazine’s Top 100 Wealth Advisors, bases its rankings on
qualitative criteria that include: professional designations and educational
credentials, professional experience, acceptable compliance records, outlook on
the investment climate, model portfolio returns, and client retention rate.
Worth editors receive thousands of nominations nationwide from Worth readers and
investment professionals. Nominated advisors are then asked to complete an
extensive survey. All credentials and designations are verified and nominee
compliance records are verified. For more information on ranking methodology,
go to
www.worth.com/Editorial/Wealth-Management/Advisors/subarticles/Taking-the-Measure-of-Your-Managers-The-Top-100-Methodology.asp.
The rating may not be representative of any one client’s experience because it
reflects a sample of all of the experiences of the Financial Advisor’s clients.
The rating is not indicative of the Financial Advisor’s future performance.
Morgan Stanley Smith Barney LLC does not pay a fee to Worth magazine in exchange
for the rating.
Worth Top 250 Wealth Advisors
Source: Worth magazine’s Top 250 Wealth Advisors, bases its rankings on
qualitative criteria that include: professional designations and educational
credentials, professional experience, acceptable compliance records, outlook on
the investment climate, model portfolio returns and client retention rate.
Worth editors receive thousands of nominations nationwide from Worth readers and
investment professionals. Nominated advisors are then asked to complete an
extensive survey. All credentials and designations are verified and nominee
compliance records are verified. For more information on ranking methodology,
go to www.worth.com/Index.asp. The rating may not be representative of any one
client’s experience because it reflects a sample of all of the experiences of
the Financial Advisor’s clients. The rating is not indicative of the Financial
Advisor’s future performance. Morgan Stanley Smith Barney LLC does not pay a
fee to Worth magazine in exchange for the rating.
CRC 4864638 10/2022
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