AMERICA’S TOP 100 FINANCIAL ADVISORS

pril 20, 2015

BARRON'S

BARRON'S

Barron's Special Report

AMERICA'S TOP 100 FINANCIAL ADVISORS

April 21, 2014

INSIDE THI

Complete

Page

Our exclusive ranking reflects asset volume, revenues, and business practices. At a time of high U.S. equity valuations and political uncertainty, good stewardship may be more important than it has been in years. What the best are recommending now.

April 17, 2017

BARRON'S

THE TOP 100 FINANCIAL ADVISORS

Here are America's top financial advisors, as identified by Barron's. The ranking reflects the volume of assets overseen by the advisors and their teams, revenues generated for the firms, and the quality of the advisors' practices. The scoring system assigns a top score of 100 and rates the rest by comparing them with the top-ranked advisor.

'17 '16 Name

FIRM

LOCATION

1. 1. Andy Chase

Morgan Stanley PWM

Menlo Park, CA

2. 2. Gregory Vaughan

Morgan Stanley PWM

Menlo Park, CA

3. 4. Lyon Polk

Morgan Stanley PWM

New York

4. 3. Brian Pfeifler

Morgan Stanley PWM

New York

5. 5. Mark T. Curtis

Graystone Consulting

Palo Alto

6. 7. Richard Saperstein High Tower

New York

7. 6. Shelley Bergman

Morgan Stanley Wealth Mgmt New York

8. 8. Jeff Erdmann

Merrill Lynch PBIG

Greenwich, CT

9. 11. Drew Zager

Morgan Stanley PWM

Los Angeles

10. 22. Ron Basu

Morgan Stanley PWM

New York

11. 32. Mark Douglass

Morgan Stanley PWM

Menlo Park, CA

12. 23. Karen McDonald

Morgan Stanley Wealth Mgmt Palo Alto

13. 13. Steven Hefter

Wells Fargo Advisors

Highland Park, IL

14. 18. Kevin Peters

Morgan Stanley PWM

Purchase, NY

15. 12. Rod Westmoreland Merrill Lynch PBIG

Atlanta

16. 24. Robert J. Skinner II First Republic Inv Mgmt

Menlo Park, CA

17. 19. Scott Wilson

Morgan Stanley PWM

New York

18. 17. Robert Stolar

Morgan Stanley PWM

New York

19. 16. R. Christopher Errico UBS PWM

New York

20. 14. Robert Scherer

Graystone Consulting

Potomac, MD

21. 39. Peter Princi

Graystone Consulting

Boston

22. 15. Paul Tashima

UBS Financial Services

Chicago

23. 20. James Atwood

Merrill Lynch PBIG

Boston

24. 26. Michael Klein

Baird

Milwaukee, WI

25. 34. Richard F. Connolly Morgan Stanley PWM

Boston

26. 28. Seth Finkel

Neuberger Berman

New York

27. 40. Colleen O'Callaghan Morgan Stanley PWM

New York

28. 33. Raj Sharma

Merrill Lynch PBIG

Boston

29. 30. Patrick Dwyer

Merrill Lynch PBIG

Miami

30. N Ed Moldaver

Stifel

New York

31. 54. David Hou

First Republic Investment Mgmt Los Angeles

32. 35. Eric Gray

Merrill Lynch PBIG

Los Angeles

33. 45. Thomas Moran

Wells Fargo Advisors

Naples, FL

34. 36. Joseph Montgomery Wells Fargo Advisors

Williamsburg, VA

35. 55. L. Marc Shegoski

UBS Financial Services

Princeton, NJ

36. 21. Jon Goldstein

First Republic Inv Mgmt

Menlo Park, CA

37. 57. William Greco

UBS Financial Services

Hartford, CT

38. 58. James Wallace

Merrill Lynch Wealth Mgmt

Atlanta

39. 60. Douglas Braff

UBS Financial Services

New York

40. 61. Noel Weil

Merrill Lynch PBIG

New York

41. N Fred Fischer

William Blair & Company

Chicago

42. 62. J. Dorian McKelvy

Morgan Stanley Wealth Mgmt Menlo Park, CA

43. 52. Gus Roessler

Morgan Stanley PWM

New York

44. 29. Wm. Craig Dobbs

Graystone Consulting

Indianapolis

45. 31. Martin Halbfinger

UBS Financial Services

New York

46. 48. Alan Whitman

Morgan Stanley Wealth Mgmt Pasadena, CA

47. 63. Stephan Cassaday Cassaday & Co.

McLean, VA

48. 41. Andrew Burish

UBS Financial Services

Madison.WI

RETAIL (UP TO $1MIL)

ULTRA HIGH NET HIGH NET

WORTH WORTH ($1-10M) ($10MIL+)

FOUNDATIONS

ENDOWMENTS

INSTITU_ TIONAL

TEAM TOTAL ASSETS ($MIL)

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$24920

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18170

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11878

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9636

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55651

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11115

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5421

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6149

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11333

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3500

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18170

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37460

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5050

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6600

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3946

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13666

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6972

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2500

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3600

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7541

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5360

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23853

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4495

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10250

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6583

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2534

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3005

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6429

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2622

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5002

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13666

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8542

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3405

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14553

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13300

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6975

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5177

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65421

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11173

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8195

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3179

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5072

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4420

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21288

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3014

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2489

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1987

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3861

TYPICAL ACCOUNT SIZE ($MIL)

$5 75 25 50 5 15 15 36.7 80 30 75 3 10 16 30 50 20 50 10 25 7.5 77 45 33 15 10 75 10 15 10 40 50 5 7 18 50 9 4210 5 15 7.5 1 85 161 20 5 1.5 2

TYPICAL NET

WORTH ($MIL)

SCORE

$25 150 50 75 25 40 50 50 150 150 150 10 30 42 60 100 40 70 50 25 15 250 75 40 25 20 100 15 50 20 100 80 25 15 75 100 12 9500 15 30 12

5 100 205 35 15

2 3

100 99.97 99.90 99.89 99.68 99.46 98.73 98.33 96.73 96.33 96.30 96.16 95.99 95.86 95.86 95.82 95.72 94.87 94.60 94.37 94.17 93.86 93.59 93.48 93.27 93.01 92.78 92.75 92.41 92.09 92.08 91.69 91.62 91.61 91.02 90.96 90.81 90.79 90.54 90.36 90.27 90.27 90.25 90.17 90.14 90.06 85.94 85.89

BARRON'S

April 17, 2017

'17 '16 Name 49. 42. Phil Shaffer 50. 65. Peter Rohr 51. 81. Gary Tantleff 52. 43. Phil Scott 53. 47. Robert Waldele 54. 72. Jonathan Kass 55. 96. Mark Schulten 56. 71. Richard Szelc 57. 56. William Peterson 58. 38. Thomas J. Keegan 59. 44. James Hansberger 60. 64. Troy Griepp 61. 87. John Cultra 62. 88. Bobby Fisher 63. 50. Steven Grill 64. 51. Bill Grous 65. 68. Brian Frank 66. 83. John Olson 67. 59. Louis Paster 68. 84. Paul Tramontano 69. 91. Adam Carlin 70. N Andrew Griffo 71. 86. Leigh Cohen 72. 66. Steve Levine 73. 90. Timothy Grimes 74. 94. Dana Jackson 75. 74. Richard Jones 76. 69. Thomas Parks 77. 89. Susan Kaplan 78. 85. Raj Bhatia 79. 46. Michael Sawyer 80. 79. Jeffrey Kobernick 81. N Deborah Howard 82. 80. Robert J. Sechan II 83. 10. Marvin McIntyre 84. 77. Reza Zafari 85. N Francis X. Malone 86. 95. J. Michael Bollinger 87. 27. Andrew Perry 88. N David Singer 89. 97. Jason L. Fertitta 90. N Shawn Fowler 91. N Leo Kelly 92. 99. Richard Piatas 93. N Philip Appel 94. 75. Louis Chiavacci 95. 73. Brian Strachan 96. 53. Todd Perry 97. 100. Mark Donohue 98. 37. Rich Hassan 99. 98. Shane Brisbin 100. 92. Drew Freides

FIRM

LOCATION

RETAIL (UP TO $1MIL)

ULTRA HIGH NET HIGH NET

WORTH WORTH ($1-10M) ($10MIL+)

FOUNDATIONS

ENDOWMENTS

INSTITU_ TIONAL

TEAM TOTAL ASSETS ($MIL)

Graystone Consulting

Columbus, OH

?

?

?

?

?

5826

Merrill Lynch PBIG

Philadelphia

?

2989

UBS Financial Services

Warren, NJ

?

?

3443

Merrill Lynch Wealth Mgmt

Bellevue, Wash.

?

?

?

?

2676

Merrill Lynch Wealth Mgmt

New York

?

?

?

6793

Merrill Lynch Wealth Mgmt

New York

?

?

5485

Wells Fargo Advisors

Long Beach, CA

?

?

?

?

?

?

2195

Neuberger Berman

Dallas

?

?

1522

Neuberger Berman

New York

?

?

1613

Merrill Lynch PBIG

New York

?

?

?

13230

Morgan Stanley PWM

Atlanta

?

?

?

2171

Morgan Stanley PWM

San Francisco

?

?

?

?

7792

William Blair

Chicago

?

?

?

2297

UBS Financial Services

Houston

?

?

?

7600

Alex.Brown/Raymond James New York

?

?

11000

Alex.Brown/Raymond James New York

?

?

11000

Morgan Stanley PWM

Atlanta

?

?

?

1637

Merrill Lynch Wealth Mgmt

New York

?

?

2468

UBS Financial Services

Chicago

?

?

?

?

23853

First Republic Investment Mgmt New York

?

6975

Morgan Stanley PWM

Coral Gables, FL

?

?

2014

Morgan Stanley Wealth Mgmt Chicago

?

?

?

?

5142

Merrill Lynch PBIG

New York

?

?

8195

UBS PWM

Los Angeles

?

?

?

?

3956

Grimes & Co.

Westborough, MA

?

?

?

2093

Graystone Consulting

Menlo Park, CA

?

?

?

24920

Merrill Lynch PBIG

Los Angeles

?

?

?

13046

Graystone Consulting

Milwaukee

?

?

?

7547

Kaplan Financial Services

Newton, MA

?

?

1621

Merrill Lynch PBIG

Chicago

?

?

?

1504

Morgan Stanley PWM

New York

?

?

2968

UBS PWM

New York

?

?

?

6346

Merrill Lynch Wealth Mgmt

Atlanta

?

?

?

?

?

?

65421

UBS PWM

New York

?

?

?

6346

Morgan Stanley PWM

Washington, D.C.

?

?

?

?

?

2847

Merrill Lynch PBIG

Los Angeles

?

?

?

13046

Morgan Stanley PWM

Los Angeles

?

?

4207

Morgan Stanley PWM

Houston

?

?

5000

UBS PWM

New York

?

?

6400

Merrill Lynch PBIG

Cincinnati

?

?

2429

Morgan Stanley PWM

Houston

?

?

5000

Morgan Stanley PWM

Denver

?

?

?

3250

High Tower

Hunt Valley, MD

?

?

?

?

2097

Merrill Lynch Wealth Mgmt

Dallas

?

?

?

3459

Merrill Lynch Wealth Mgmt

Bloomfield Hills, MI ?

?

?

?

2257

Merrill Lynch PBIG

Coral Gables, FL

?

?

2162

Morgan Stanley PWM

Boston

?

?

?

1798

UBS PWM

New York

?

?

6400

Morgan Stanley PWM

New York

?

?

?

?

?

2389

Alex.Brown/Raymond James Greenwich, CT

?

?

?

2500

Morgan Stanley PWM

San Francisco

?

?

4000

UBS PWM

Los Angeles

?

?

?

3409

TYPICAL ACCOUNT SIZE ($MIL)

140 31 9.46 10 15 10 3 8.5 5 37.97 20 30 17.5 2 10 10 5 8 77 25 16 10 15 15 3.5 30 50 75 3.5 15 50 30 4210 30 5 50 25 25 30 10 25 35 5 10 6 35 10 30 20 51 25 35

TYPICAL NET

WORTH ($MIL)

SCORE

225 85.88

100 85.85

10 85.81

20 85.81

25 85.80

25 85.76

7 85.70

15 85.69

13 85.69

48 85.64

50 85.60

50 85.26

27.5 85.18

5 85.12

25 85.05

25 85.03

25 85.00

15 84.89

250 84.88

50 84.87

25 84.81

20 84.76

30 84.68

50 84.60

7 84.56

45 84.52

75 84.49

75 84.48

10 84.41

25 84.39

80 84.36

50 84.30

7000 84.29

50 84.28

25 84.25

75 84.22

50 84.17

100 83.97

50 83.95

20 83.83

100 83.83

65 83.78

15 83.77

25 83.77

7 83.72

75 83.71

20 83.70

50 83.65

40 83.63

51 83.56

50 83.52

50 83.49

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