The FT Top Financial Advisers - Raymond James Financial
FTReports
FINANCIAL TIMES Thursday 22 March 2018
FT 400 Top Financial Advisers
Name Company City Retail HNW* Ultra-HNW** Institutional
The FT Top Financial Advisers
Best in class We present the leading US professionals, listed by state, and provide the research methodology
*High net worth (clients with $1m?$10m in investable assets), **Ultra high net worth (clients with $10m or more in investable assets) Client segments served
ALABAMA
Ameriprise Financial
Birmingham
ARIZONA Bancroft, Robert J. Harnden, Stephen P. Tocco, Judith A.
Morgan Stanley Private Wealth Management Ameriprise Financial Tocco Financial Services / LPL Financial
Scottsdale Peoria Tucson
CALIFORNIA
Abrams, Michael L.
Wells Fargo Advisors
Morgan Stanley Wealth Management
Arbogast, Peter V.
Merrill Lynch ? Private Banking & Investment Group
Blanchfield, Tom
Merrill Lynch ? Private Banking & Investment Group
Bubb, Kerrick W.
KWB Wealth Managers Group / LPL Financial
Burbank, Mike
Morgan Stanley Private Wealth Management
Chiate, Craig S.
UBS Financial Services
Choi, Horacio A.
Wells Fargo Advisors
Corradini, Drew
J.P. Morgan Securities
Curtis, Mark T.
Graystone Consulting
daRoza, Tony
Merrill Lynch ? Private Banking & Investment Group
Fagersten, Marcus C. UBS Financial Services
Genovese, Michael T. Genovese Burford & Brothers
Gluck, Tracey
J.P. Morgan Securities
Goldstein, Adam S.
Ameriprise Financial
Griepp, Troy
Morgan Stanley Private Wealth Management
Guimarin, Alma
Morgan Stanley Wealth Management
Hafeli, Scott
Morgan Stanley Private Wealth Management
Hogan, Richard
Merrill Lynch ? Private Banking & Investment Group
Jones, Richard B.
Merrill Lynch ? Private Banking & Investment Group
Jorgensen, Debbie
Merrill Lynch Wealth Management
Kelly, Inna
Morgan Stanley Wealth Management
Lee, Grant
Morgan Stanley Private Wealth Management
Malone III, Francis X.
Morgan Stanley Private Wealth Management
McClellan, Ryan A.
UBS Financial Services
McDonald, Karen
Morgan Stanley Wealth Management
Milia, John
Wells Fargo Advisors
Morgan, Mark S.
Morgan Stanley Wealth Management
Munster, Bruce
Merrill Lynch ? Private Banking & Investment Group
Neuhaus, Jon
Morgan Stanley Private Wealth Management
Onken, Greg
J.P. Morgan Securities
Osborne, Dan R.
Merrill Lynch Wealth Management
Papadoyannis, George Ameriprise Financial
Morgan Stanley Private Wealth Management
Piepenkotter, Monica M. Merrill Lynch ? Private Banking & Investment Group
Reid, Gail D.
Ameriprise Financial
Reilly, Sean M.
Merrill Lynch Wealth Management
Schulten, Mark
The Schulten Group of Wells Fargo Advisors
Schwarz, Donald L.
RBC Wealth Management
Shadden, John
Morgan Stanley Private Wealth Management
Smit, Bernard L.
Walnut Creek Wealth Management / Cetera Advisor Networks
Smith, Lawrence E.
UBS Financial Services
Morgan Stanley Private Wealth Management
Vaughan, Gregory V.
Morgan Stanley Private Wealth Management
Wacker, Roger
UBS Financial Services
Walsh, Daniel T.
Merrill Lynch Wealth Management
Walters, Philip S.
Wells Fargo Advisors
Waxman, Scott
Morgan Stanley Private Wealth Management
Whitman, Alan B.
Morgan Stanley Wealth Management
Wolfslau, Karl W.
Morgan Stanley Wealth Management
Wong, Benjamin W.
Viewpoint Financial Network
Young, Cheryl L.
Morgan Stanley Wealth Management
Yu, Gillian
Morgan Stanley Private Wealth Management
Yu, Sean
Morgan Stanley Private Wealth Management
Zafari, Reza
Merrill Lynch ? Private Banking & Investment Group
Zanolli, Greg
Wells Fargo Advisors
Palo Alto Westlake Village San Francisco Newport Beach Redlands San Francisco Los Angeles Irvine San Francisco Palo Alto San Francisco San Francisco Sacramento Los Angeles Calabasas San Francisco San Jose San Francisco San Francisco Los Angeles San Francisco San Francisco San Francisco Los Angeles Los Angeles Palo Alto Irvine Folsom Los Angeles Los Angeles San Francisco San Francisco San Mateo San Diego La Jolla Glendale San Francisco Long Beach Beverly Hills Long Beach Walnut Creek Brea Menlo Park Menlo Park Los Angeles Menlo Park Beverly Hills San Francisco Pasadena Long Beach Pleasanton Los Gatos San Francisco Pasadena Los Angeles Roseville
COLORADO Brown, Mark R. Sparks, Scott G.
Brown & Tedstrom, Inc. / LPL Financial Sparks Financial | Northwestern Mutual Wealth Mgmt. Co.
Denver Denver
CONNECTICUT Anger, Nicholas Cerniglia, Jason Chieco, Peter Daoud, Nancy S. Dolgins, Ivan Goodwin, Richard T. Gourd, William C. Jacobsen, Teresa A. Jones, Mark R. Koeckert, Dodd N. Mantione, Thomas Noble III, Charles J. Vacheron, Thomas E. Wunder, Matthew S.
RBC Wealth Management Ameriprise Financial Morgan Stanley Wealth Management Ameriprise Financial Merrill Lynch Wealth Management Merrill Lynch Wealth Management UBS Financial Services UBS Financial Services Ameriprise Financial RBC Wealth Management UBS Financial Services Janney Montgomery Scott LLC Merrill Lynch Wealth Management Wunder Financial | Northwestern Mutual Wealth Mgmt. Co.
Stamford Mystic Greenwich Oxford Stamford Madison Stamford Stamford Middlebury Stamford Stamford New Haven Fairfield Westport
DELAWARE Orth, Kimberlee M.
Ameriprise Financial
Wilmington
DISTRICT OF COLUMBIA
Apton, Keith
UBS Financial Services
Carter, Murray
Janney Montgomery Scott LLC
UBS Financial Services
Washington Washington Washington
FLORIDA Barcena, Ignacio A. Bober, Michael Boyce, Hank Bunge, Marcos G. DeLappe, John M. Dwyer, Patrick J. Economacos, Pierre Edwards, Robert T. Esses, Tony Hoyt, William B. Merriam III, William H. Moran, Thomas Pollock, Gregory Silver, Michael J. Simmons, Keith F. Starner, Margaret C. Sylvia, Kurt F. Thompson, Mark G. Valdes, Michael J. Ventrice, Ed Wood, Paul S.
Wells Fargo Advisors UBS Financial Services UBS Financial Services Wells Fargo Advisors Alex. Brown / Raymond James Merrill Lynch ? Private Banking & Investment Group Alex. Brown / Raymond James Wells Fargo Advisors Wells Fargo Advisors Raymond James Merrill Lynch Wealth Management Wells Fargo Advisors Merrill Lynch Wealth Management Baron Silver Stevens Financial Advisors, LLC Merrill Lynch Wealth Management Raymond James J.P. Morgan Securities Raymond James Merrill Lynch ? Private Banking & Investment Group UBS Financial Services Raymond James
Miami Boca Raton Aventura Miami Miami Miami Miami Naples Miami St. Petersburg Jacksonville Naples Rockledge Boca Raton Miami Coral Gables Palm Beach Gardens Melbourne Tampa Boca Raton Orlando
GEORGIA Hansberger, James C. Harbour, Andrew Jenkins, Brian G. Lauer, Leslie A. Mericka, Keith A. Price, Vandyke G. Westmoreland, Rod Wiley, Buck
Morgan Stanley Private Wealth Management Graystone Consulting J.P. Morgan Securities UBS Financial Services UBS Financial Services UBS Financial Services Merrill Lynch ? Private Banking & Investment Group Merrill Lynch ? Private Banking & Investment Group
Atlanta Atlanta Atlanta Atlanta Atlanta Atlanta Atlanta Atlanta
ILLINOIS Cutilletta, Patricia G. Desai, Ajay Garrity, Christopher
Hammond III, John L. Held, Richard M. Lee, Bruce K. Leshem, Benjamin Lynch, Kevin R. Magnesen, Scott K. Maltby, Jay Meyer, Douglas L. Oberlander, Sharon Sakach, Michael Schuster, Scott Spahn, Kevin M. Stevenson, Jr., John G. Watson, Philip J. White, Brett D.
Morgan Stanley Wealth Management UBS Financial Services Merrill Lynch Wealth Management Morgan Stanley Wealth Management Merrill Lynch Wealth Management UBS Financial Services Merrill Lynch ? Private Banking & Investment Group Wells Fargo Advisors Morgan Stanley Private Wealth Management Morgan Stanley Wealth Management UBS Financial Services Wells Fargo Advisors Merrill Lynch Wealth Management Graystone Consulting Dashboard Wealth Advisors / Raymond James Spahn Financial | Northwestern Mutual Wealth Mgmt. Co. Wells Fargo Advisors Ameriprise Financial Ameriprise Financial
Chicago Chicago Northbrook Chicago Northbrook Chicago Chicago Highland Park Chicago Oak Brook Chicago Deerfield Chicago Chicago Oak Brook Lombard Quincy Downers Grove Oakbrook Terrace
INDIANA Cooke, Brian F. Cooke, Christopher Gregor, Martin Moore, Christopher P. Payne, Eric Perkins, Ryan N. Schutz, John L. Stscherban, Paul
Cooke Financial Group at Noyes Cooke Financial Group at Noyes Merrill Lynch ? Private Banking & Investment Group Ameriprise Financial Merrill Lynch Wealth Management Ameriprise Financial Hilliard Lyons Baird
Indianapolis Indianapolis Indianapolis Fort Wayne Indianapolis Fort Wayne Evansville Mishawaka
IOWA Swanson, Keith K.
Ameriprise Financial Morgan Stanley Private Wealth Management
Fort Dodge West Des Moines
KANSAS Barry, Don Ewing, Paul W. Ferguson, Scott
Baird Prosperity Advisory Group / Cetera Advisors Morgan Stanley Wealth Management
Wichita Overland Park Leawood
KENTUCKY Perrone, Thomas
Morgan Stanley Wealth Management
Louisville
LOUISIANA Eustis, Curtis D. Frayard, Rick Spiro, James M.
Merrill Lynch Wealth Management UBS Financial Services Morgan Stanley Wealth Management
New Orleans Lafayette New Orleans
MARYLAND Baker, Gregory Baum, Patricia P. Etergino, Ann Marie Giulieri, David L. Goldstein, Stephen M. Jackson, Margaret M. Keetley, Richard A. Lee, Thomas P. Murray, Jonathan P. Pearce, Kent V.
Merrill Lynch Wealth Management RBC Wealth Management RBC Wealth Management Morgan Stanley Wealth Management Janney Montgomery Scott LLC RBC Wealth Management Janney Montgomery Scott LLC Lee, Sipe and Associates / Raymond James UBS Financial Services Merrill Lynch Wealth Management SPC Financial, Inc. / Raymond James
Bethesda Annapolis Chevy Chase Bethesda Baltimore Annapolis Baltimore Rockville Hunt Valley Towson Rockville
MASSACHUSETTS
Bartholomew, Thomas J. Bartholomew & Company, Inc.
Brede, Debra K.
D.K. Brede Investment Management Co., Inc.
Fucigna, James
Morgan Stanley Wealth Management
Gage, Douglas
Ameriprise Financial
Javaheri, David R.
Morgan Stanley Wealth Management
Joyce, Mark S.
Merrill Lynch Wealth Management
Lechner IV, John
Morgan Stanley Private Wealth Management
Levsky, Adrian
UBS Financial Services
McCauley, Paul J.
Merrill Lynch ? Private Banking & Investment Group
McGuirk, Gary L.
Merrill Lynch ? Private Banking & Investment Group
Miller, Richard R.
Ameriprise Financial
Mullin, Mary B.
Merrill Lynch Wealth Management
Noonan, Peter C.
J.P. Morgan Securities
Princi, Peter
Graystone Consulting
Sharma, Raj
Merrill Lynch ? Private Banking & Investment Group
Sugar, Alex
RBC Wealth Management
Wilson, Daniel T.
Ameriprise Financial
Worcester Needham Boston Auburndale Wellesley Boston Boston Springfield Boston Boston Wellesley Boston Boston Boston Boston Boston Auburndale
MICHIGAN Ferhadson, Kevin T. Grace, Jamie Long, Timothy J. Migliazzo, Frank Rosloniec, Michael Vigi, Jon Wyman, Timothy W.
Ameriprise Financial The Grace Group of Wells Fargo Advisors Merrill Lynch Wealth Management Merrill Lynch ? Private Banking & Investment Group Graystone Consulting UBS Financial Services Center for Financial Planning, Inc. / Raymond James
Troy Jackson Grand Rapids Troy Grand Rapids Birmingham Southfield
MINNESOTA Baune, Brad Close, Louis D.
Eckerline, Peter Ehleringer, Randall D. Endersbe, Thomas A. Howe, Aaron M. Major, Charles L. Metcalf, Robert S. Neuman, Rhett P. Slaggie, Michael
Baune Financial | Northwestern Mutual Wealth Mgmt. Co. UBS Financial Services Ameriprise Financial Merrill Lynch Wealth Management Ameriprise Financial Signature Wealth Management RBC Wealth Management UBS Financial Services UBS Financial Services RBC Wealth Management Slaggie Capital Group / Raymond James
Mendota Heights Minneapolis St. Louis Park Wayzata Rochester Duluth Wayzata Minneapolis Minneapolis Stillwater Winona
MISSISSIPPI Minor, Douglas M. Mosby, Bill (Rush)
Raymond James UBS Financial Services
Jackson Jackson
MISSOURI Burke, Thomas Millner, Robert Murray, Seth C. Underwood, Scott P.
Ameriprise Financial Morgan Stanley Wealth Management Ameriprise Financial Socium Advisors | Northwestern Mutual Wealth Mgmt. Co.
Chesterfield Clayton Springfield St. Louis
NEBRASKA Harrison, Tim Jacobitz, Andy J. Robinson, Andrew
Harrison Financial Services | Northwestern Mutual Wealth Mgmt. Co. RBC Wealth Management Morgan Stanley Wealth Management
Omaha Omaha Omaha
NEVADA
Ameriprise Financial
Henderson
NEW JERSEY
Andreach, Christopher M. RBC Wealth Management
Burke, John B.
Burke Financial / Raymond James
Deatherage, Mary M. Morgan Stanley Private Wealth Management
Durso, Lawrence
Morgan Stanley Wealth Management
Fendrick, Mark
UBS Financial Services
Kugel, Elliott
Merrill Lynch Wealth Management
Maltese, James
Merrill Lynch Wealth Management
Matina, Joseph
UBS Financial Services
McGinley, Christine
UBS Financial Services
McLaughlin, James M. Princeton Wealth Advisors of Raymond James
McPeak, Neil P.
McPeak Wealth Management Group of Wells Fargo Advisors
Ricca, Michael J.
Morgan Stanley Wealth Management
Riley, Jack R.
UBS Financial Services
Schwartz, Andy M.
Bleakley Financial Group / LPL Financial
Stern, Michael S.
Wells Fargo Advisors
Udine, Richard D.
Morgan Stanley Wealth Management
Weinerman, David S.
Morgan Stanley Wealth Management
Red Bank Iselin Little Falls Red Bank Mt. Laurel Bridgewater Iselin Short Hills Mt. Laurel Princeton Linwood Florham Park Warren Fairfield Vineland Mt. Laurel Florham Park
NEW YORK
Bakshi, Vishal
Merrill Lynch ? Private Banking & Investment Group
Barrett, John C.
Merrill Lynch Wealth Management
Beyer, David
Morgan Stanley Wealth Management
Bickler, Eric A.
UBS Financial Services
Bieber, David
Morgan Stanley Private Wealth Management
Bodner, Eric S.
Merrill Lynch ? Private Banking & Investment Group
Borowsky, Peter N.
UBS Financial Services
UBS Financial Services
Merrill Lynch ? Private Banking & Investment Group
Burrows, Bruce A.
Morgan Stanley Wealth Management
Canell, Jay
J.P. Morgan Securities
Canell, Neil
J.P. Morgan Securities
Cannataro, Louis S.
Cannataro Park Avenue Financial | Northwestern Mutual Wealth Mgmt. Co.
Carter, Kenneth W.
Wells Fargo Advisors
Chrys, Michael C.
Merrill Lynch Wealth Management
Cohen, Leigh
Merrill Lynch ? Private Banking & Investment Group
Cohen, Robert D.
UBS Financial Services
Coyle III, John F.
Morgan Stanley Private Wealth Management
Cuneo, Paul L.
Merrill Lynch Wealth Management
Detterick, Jim
Graystone Consulting
DiScala, Todd
Merrill Lynch Wealth Management
Dyer, Robert C.
Merrill Lynch ? Private Banking & Investment Group
Epstein, Adam F.
UBS Financial Services
Ferreira, Artur
UBS Financial Services
Gero, George
RBC Wealth Management
Gully, Joshua P.
Morgan Stanley Private Wealth Management
Halbfinger, Martin L.
UBS Financial Services
Hart, Andrew
Morgan Stanley Private Wealth Management
Karetsky, Marc
Morgan Stanley Private Wealth Management
Kass, Jonathan
Merrill Lynch Wealth Management
Katz, Jason M.
UBS Financial Services
Kavallieratos, Nick
Morgan Stanley Wealth Management
Kelton, Richard W.
The Kelton Financial Group | Northwestern Mutual Wealth Mgmt. Co.
UBS Financial Services
Kokubo, Sergio S.
UBS Financial Services
Kolev, Bobby
Morgan Stanley Wealth Management
Kraus, Andrew P.
Merrill Lynch ? Private Banking & Investment Group
Kuttin, Jonathan
Ameriprise Financial
Liebers, Lawrence C.
Merrill Lynch Wealth Management
Malkin, Joshua D.
Morgan Stanley Private Wealth Management
McGinty, Robert J.
Merrill Lynch ? Private Banking & Investment Group
Mellert, Douglas M.
Merrill Lynch Wealth Management
Millman, Ira M.
Morgan Stanley Wealth Management
Mitchell, Neil S.
Morgan Stanley Private Wealth Management
Montaperto, Deborah D. Morgan Stanley Private Wealth Management
Myers, Jonathon L.
Ameriprise Financial
Newman, William J.
Northwestern Mutual Wealth Mgmt. Co.
O'Connell, Daniel T.
Merrill Lynch Wealth Management
Papandrea, Rocco
Merrill Lynch Wealth Management
Pell, Geri E.
Ameriprise Financial
Perkins, Howard
Morgan Stanley Wealth Management
Peters, Kevin M.
Morgan Stanley Wealth Management
Poppo, Michael F.
UBS Financial Services
Rabito, Russell A.
UBS Financial Services
Reali, Renato J.
UBS Financial Services
Rosenthal, Peter W.
UBS Financial Services
Saunders, Allen
UBS Financial Services
Sax, Ben
Merrill Lynch ? Private Banking & Investment Group
UBS Financial Services
Schubach, Clark
J.P. Morgan Securities
Schwartz, Daniel
UBS Financial Services
Serure, Theodore
J.P. Morgan Securities
Stackman, Scott
UBS Financial Services
Sukhin, Andrew G.
Morgan Stanley Wealth Management
Sullivan, Thomas E.
Merrill Lynch Wealth Management
Temel, Charles S.
UBS Financial Services
Tennant, Steven A.
Tennant Financial | Northwestern Mutual Wealth Mgmt. Co.
Trikha, Umesh K.
Merrill Lynch Wealth Management
Waldele, Robert J.
Merrill Lynch Wealth Management
Weil, Noel
Merrill Lynch ? Private Banking & Investment Group
Morgan Stanley Wealth Management
Zeller, Mark
UBS Financial Services
Zipper, Adam J.
J.P. Morgan Securities
New York New York New York White Plains New York New York New York New York New York Garden City New York New York New York New City Latham New York Garden City Garden City Great Neck New York New York New York New York New York New York New York New York New York New York New York New York New York Latham New York New York New York New York Melville New York New York New York New York New York New York New York Vestal Albany Garden City New York Rye Brook Purchase Purchase New York New York New York Jericho New York New York Rochester New York New York New York New York New York Garden City New York Ballston Lake New York New York New York New York New York New York
NORTH CAROLINA Cash, Gregory M. Graves, Kelly Hoge, Brett W. Rakestraw, David W. Wickham, R. Mitchell
Merrill Lynch ? Private Banking & Investment Group Carroll Financial / Cetera Advisor Networks BB&T Scott & Stringfellow BB&T Scott & Stringfellow Merrill Lynch ? Private Banking & Investment Group
Charlotte Charlotte Winston-Salem Raleigh Charlotte
NORTH DAKOTA Melvie, Loren D.
Ameriprise Financial
Bismarck
OHIO Carbetta, Paul C. Carver, Randy Chornyak, Jr., Joseph A. Chornyak, Sr., Joseph A. Ellis III, David W. Fish, Stephen J. Holwadel, David K. Mauk, Robert A. Motta, Peter F. Musser, Joseph M.
Shendure, Ashok S. Shendure, Rajanee A. Singer, David L. Torbeck, Daniel L.
Ameriprise Financial Carver Financial Services / Raymond James Chornyak & Associates, Ltd. Chornyak & Associates, Ltd. UBS Financial Services UBS Financial Services Raymond James Chornyak & Associates, Ltd. Merrill Lynch ? Private Banking & Investment Group Ameriprise Financial NCA Financial Planners BDS Financial Network BDS Financial Network Merrill Lynch ? Private Banking & Investment Group UBS Financial Services
Worthington Mentor Columbus Columbus Cincinnati Cincinnati Cincinnati Columbus Columbus Canton Cleveland Solon Solon Cincinnati Cincinnati
OKLAHOMA Brock, Brandt T.
Ameriprise Financial
Tulsa
OREGON Gall, J. Charles Kilkenny Hale, Kelly
RBC Wealth Management RBC Wealth Management
Portland Portland
PENNSYLVANIA Brennan, Patricia C. Jugan, AJ Kron, David J. Parker, Sr., John J. Petredis, Charles J. Rimmel, James W. Rohr, Peter A. Salmansohn, Eric Sargent, Peter H. Spanos, Samuel W. Wilding, James
Key Financial, Inc. Ameriprise Financial Kron & Polis Financial Group of Wells Fargo Advisors Wells Fargo Advisors Petredis Investment Advisors of Wells Fargo Advisors UBS Financial Services Merrill Lynch ? Private Banking & Investment Group Morgan Stanley Wealth Management Janney Montgomery Scott LLC Raymond James Confluence Financial Partners / Raymond James
West Chester Pittsburgh Philadelphia Philadelphia Sewickley Pittsburgh Philadelphia Philadelphia Yardley Beaver Pittsburgh
SOUTH CAROLINA Vingi, Jr., Robert E.
Wells Fargo Advisors
Charleston
SOUTH DAKOTA Hillard, David T. Nelson, Todd Quello, Nathan S. Wollman, Gordon
RBC Wealth Management Merrill Lynch Wealth Management Loft Advisors / Raymond James Cornerstone Financial Solutions, Inc. / Raymond James
Rapid City Sioux Falls Sioux Falls Huron
TENNESSEE Mayer, Ward Oakley, Samuel H. Roberson, Tim Smith, Trey Stein, Michael E. Williams, Jay W.
Raymond James Raymond James / Pinnacle Asset Management Merrill Lynch Wealth Management SunTrust Investment Services, Inc. Wells Fargo Advisors UBS Financial Services
Memphis Nashville Brentwood Nashville Memphis Memphis
TEXAS
Acerra, Guy M.
Ameriprise Financial
Ardoyno, Matt (Toby) Merrill Lynch Wealth Management
Ashcroft, Richard W.
Baird
Barnes, David R.
UBS Financial Services
Begay, Audree L.
Ameriprise Financial
Clements, Kevin M.
Morgan Stanley Wealth Management
Merrill Lynch Wealth Management
Dickey, Kevin T.
Morgan Stanley Private Wealth Management
Duncan, Sharon B.
Selah Financial Services
Dziuk, Steve
Ameriprise Financial
Elias, Mark S.
UBS Financial Services
Gladstein, Mark B.
Merrill Lynch Wealth Management
Harrell, Bob
Harrell Investment Partners of Raymond James
Heuer, Susan
Merrill Lynch Wealth Management
Johri, Anupam (AJ)
Morgan Stanley Wealth Management
Klenke, Allan J.
UBS Financial Services
Knox, Kerry
Merrill Lynch Wealth Management
Leonard, Bryan A.
Merrill Lynch Wealth Management
Lorch, Howard S.
The Lorch Group of Wells Fargo Advisors
McBride, Tommy
Merrill Lynch Wealth Management
McIntire, Thomas R.
Cadent Capital, LLC / Raymond James
McIntyre Fields, Charla K. Ameriprise Financial
Messick, Chris
Messick, Peacock & Associates | Northwestern Mutual Wealth Mgmt. Co.
Muldoon, Kathleen
Carter Financial Management / Raymond James
Nagel, Steve M.
Merrill Lynch Wealth Management
Paulson, Richard P.
Raymond James
Pearcy, Van M.
Van Pearcy's Wealth Services / Raymond James
Pennington, Darrell R. Ameriprise Financial
Peterson, Donald S.
UBS Financial Services
Piatas, Richard W.
Merrill Lynch Wealth Management
Schroeder, Ralph J.
Ameriprise Financial
Uptegraph, Jr., Don S. Morgan Stanley Wealth Management
Utter, Gail W.
Utter Wealth Management Group of Wells Fargo Advisors
Vicknair, Nestor J.
Merrill Lynch Wealth Management
Wood, Jr., F. Michael
Merrill Lynch ? Private Banking & Investment Group
San Antonio Fort Worth Houston Dallas Houston Dallas Houston Dallas Friendswood San Antonio Houston Houston Austin Houston Dallas Houston Fort Worth Houston Houston Dallas Dallas Hurst Dallas Dallas Frisco Houston Midland Houston Dallas Frisco The Woodlands Houston Sherman Houston San Antonio
VIRGINIA Beatty, Bryan D. Cassaday, Stephan Caudron, Tristan M. Gill, John A. Hamilton, Simon R. Kim, Soo (Susan) Krell, Christopher Mahler, George (Carl) Montgomery, Joe W. Salomon, Dalal Maria Smith, Gregory S. Sprowls, Ryan C.
Voya Financial Advisors Cassaday & Company, Inc. Wells Fargo Advisors BB&T Scott & Stringfellow Baird Ameriprise Financial Cassaday & Company, Inc. The Pinnacle Group / Raymond James The Optimal Service Group of Wells Fargo Advisors Salomon & Ludwin, LLC Baird Sprowls, Key & Romano Wealth Management Group of Wells Fargo Advisors
Vienna McLean Alexandria Virginia Beach Reston Vienna McLean Midlothian Williamsburg Richmond Reston Alexandria
WASHINGTON Braun, Dean Conti, Edward A. Elliott, Patrick D. Jackson, Paul W. Matthews, Michael S. Ried, Paul R. West, Lowry
Morgan Stanley Private Wealth Management Ameriprise Financial RBC Wealth Management Morgan Stanley Wealth Management UBS Financial Services Paul R. Ried Financial Group, LLC / Cetera Advisor Networks Morgan Stanley Private Wealth Management
Seattle Bellevue Bainbridge Island Bellevue Bellevue Bellevue Seattle
WEST VIRGINIA Houchins, David L.
BB&T Scott & Stringfellow
Charleston
WISCONSIN
Burish, Andrew D.
UBS Financial Services
Madison
Calvelli, Chris
Baird
Milwaukee
DeFrance, Ed
Baird
Milwaukee
Fries, Timothy M.
Fries Financial Group / Raymond James
Chippewa Falls
Heckmann, Matthew M. Heckmann Financial | Northwestern Mutual Wealth Mgmt. Co.
Middleton
Klein, Michael G.
Baird
Milwaukee
Klenke, David
Baird
Milwaukee
Kowal Investment Group, LLC / Raymond James
Waukesha
*High net worth (clients with $1m?$10m in investable assets), **Ultra high net worth (clients with $10m or more in investable assets)
Methodology
With the Financial Times 400, we aim to provide a snapshot of the best financial advisers for the investors who use them -- such as FT readers. We assess advisers based on what investor care about, and we use a quantifiable, objective methodology.
The Financial Times and Ignites Research, the FT's sister company, contacted the largest US brokerages in autumn 2017 to obtain practice information and data for their top advisers across the US. This resulted in verified data on assets under management instead of relying on advisers' self-reported figures.
We asked for information on advisers with more than 10 years' experience and that had more than $300m in assets under management. Such minimum criteria filtered out most advisers.
The FT then invited qualifying advisers out of this group -- a list which totalled roughly 880 -- to complete a short questionnaire that gave us more information about their practices. We added
that information to our own research on the candidates, including data from regulatory filings.
The formula the FT uses to grade advisers is based on six broad factors and calculates a numeric score for each adviser. The factors were:
1. Assets under management can signal experience managing money and client trust.
2. AUM growth rate (we look at both one-year and two-year growth rates) can be taken as a proxy for performance, asset retention and ability to generate new business.
3. Years of experience indicates experience economic and interest-rate environments.
4. Compliance record provides evidence of past client disputes. A string of complaints could signal problems.
5. Industry certifications (CFA, CFP, etc) demonstrate technical and industry knowledge and obtaining these designations shows a professional commitment to
investment skills. 6. Online accessibility illustrates
commitment to providing investors with easy access and transparent contact information.
Among the top factors in our scoring, assets under management accounted for an average of 70 per cent of each adviser's score. Also, AUM growth rate accounted for an average of 17 per cent.
Additionally, the FT places a cap on the number of advisers from any one state that roughly corresponds to the distribution of millionaires across the US.
We present the FT 400 as an elite group, not a competitive ranking. We acknowledge that ranking the industry's top advisers from 1 to 400 would be a
approaches to their practice and has
The research was conducted on behalf of the Financial Times by Ignites Research, a Financial Times sister publication.
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