TheFTTopFinancialAdvisers

FINANCIAL TIMES Thursday 30 March 2017

FT 400 Top Financial Advisers

FTReports | 7

Name Company City Retail HNW* Ultra HNW** Institutional 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

Client segments served

Client segments served

ALABAMA Duncan, Jerry G. Roberts, Jeff

ARIZONA Flader, Allan J. Harnden, Stephen P.

CALIFORNIA Abrams, Michael L. Arbogast, Peter V. Basch, Andrew Blanchfield, Tom Brisbin, Shane Bubb, Kerrick Burbank, Mike Chiate, Craig Curtis, Mark T. daRoza, Tony Fagersten, Marcus C. Garapedian, Barry Gee, Clinton Genovese, Michael T. Gray, Eric A. Green, Rick Grinnell, Mike Guimarin, Alma Hafeli, Scott Hogan, Richard Jones, Richard B. Jorgensen, Debbie Kelly, Inna Keusayan, Karen V. Levine, Steve Malone III, Francis X. McClellan, Ryan A. McDonald, Karen Minkoff, Steven M.

UBS Financial Services Ameriprise Financial

RBC Wealth Management Ameriprise Financial

Wells Fargo Advisors Merrill Lynch - Private Banking & Investment Group Morgan Stanley Private Wealth Management Merrill Lynch - Private Banking & Investment Group Morgan Stanley Private Wealth Management KWB Wealth Managers Group/LPL Financial Morgan Stanley Private Wealth Management UBS Private Wealth Management Graystone Consulting Merrill Lynch - Private Banking & Investment Group UBS Financial Services Morgan Stanley Wealth Management UBS Financial Services Genovese Burford & Brothers Merrill Lynch - Private Banking & Investment Group Wells Fargo Advisors Merrill Lynch Wealth Management Morgan Stanley Wealth Management Morgan Stanley Private Wealth Management Merrill Lynch - Private Banking & Investment Group Merrill Lynch - Private Banking & Investment Group Merrill Lynch Wealth Management Morgan Stanley Wealth Management Wells Fargo Advisors UBS Private Wealth Management Morgan Stanley Private Wealth Management UBS Private Wealth Management Morgan Stanley Wealth Management Ameriprise Financial

Birmingham Birmingham

Phoenix Peoria

Palo Alto San Francisco Los Angeles Newport Beach San Francisco Redlands San Francisco Los Angeles Palo Alto San Francisco San Francisco Westlake Village Irvine Sacramento Los Angeles Los Angeles San Francisco San Jose San Francisco San Francisco Century City San Francisco San Francisco Los Angeles Los Angeles Los Angeles Los Angeles Palo Alto San Francisco

Morgan, Mark S. Munster, Bruce Onken, Greg Osborne, Dan R. Palmer, Richard K. Papadoyannis, George Pfefferman, Darren A. Piepenkotter, Monica M. Scheinberg, Micah G. Schulten, Mark Schwarz, Donald L. Smit, Bernard Smith, Lawrence E. Tanabe, Keith T. Traum, Jeff ey D. Vaughan, Gregory V. Walsh, Daniel T. Walters, Philip S. Wolfslau, Karl W. Wong, Benjamin W. Young, Cheryl L. Yu, Gillian Zafari, Reza Zager, Drew Zanolli, Greg

Morgan Stanley Wealth Management Merrill Lynch - Private Banking & Investment Group J.P. Morgan Securities Merrill Lynch Wealth Management Morgan Stanley Private Wealth Management Ameriprise Financial Morgan Stanley Private Wealth Management Merrill Lynch - Private Banking & Investment Group Alex. Brown|Raymond James The Schulten Group of Wells Fargo Advisors RBC Wealth Management Walnut Creek Wealth Management UBS Financial Services Merrill Lynch Wealth Management Morgan Stanley Private Wealth Management Morgan Stanley Private Wealth Management Merrill Lynch Wealth Management Wells Fargo Advisors Morgan Stanley Wealth Management Benjamin W. Wong CFP? and Associates Morgan Stanley Wealth Management Morgan Stanley Private Wealth Management Merrill Lynch - Private Banking & Investment Group Morgan Stanley Private Wealth Management Wells Fargo Advisors

Folsom Los Angeles San Francisco San Francisco San Francisco San Mateo San Diego La Jolla Century City Long Beach Beverly Hills Walnut Creek Brea Los Angeles Menlo Park Menlo Park Menlo Park Beverly Hills Long Beach Pleasanton Los Gatos San Francisco Century City Los Angeles Roseville

COLORADO Arevian, Paul G. Beukelman, Jonathan Brown, Mark R. Dodds, Andrew T. Smith, Mark J. Sogge, David B. Sparks, Scott G.

UBS Financial Services UBS Private Wealth Management Brown & Tedstrom, Inc./LPL Financial Dodds Wealth Management Group/LPL Financial M.J. Smith & Associates/Raymond James RBC Wealth Management Sparks Financial, Northwestern Mutual Wealth Mgmt. Co.

Denver

Denver

Denver

Englewood

Greenwood Village

Greenwood Village

Denver

CONNECTICUT Chieco, Peter

Morgan Stanley Wealth Management

Greenwich

* High net worth (clients with $1m-$10m in investable assets) ** Ultra high net worth (clients with $10m or more in investable assets)

8 | FTReports

FT 400 Top Financial Advisers

Client segments served

FINANCIAL TIMES Thursday 30 March 2017

Client segments served

Name Company City Retail HNW* Ultra HNW** Institutional Name Company City Retail HNW* Ultra HNW** Institutional Name Company

Daoud, Nancy S. Dolgins, Ivan Erdmann III, John (Jeff) F. Gourd, William C. Hassan, Rich Hetherington, Brian J. Jacobsen, Teresa A. Mattson Kenworthy, Mary Noble III, Charles J. Somberg, Matthew A. Stanek, Jr., Dennis J. Trischman, Harold J. Vacheron, Thomas E. Wunder, Matthew S.

Ameriprise Financial Merrill Lynch Wealth Management Merrill Lynch - Private Banking & Investment Group UBS Private Wealth Management Alex. Brown|Raymond James Merrill Lynch - Private Banking & Investment Group UBS Private Wealth Management UBS Private Wealth Management Janney Montgomery Scott LLC Gottfried & Somberg Wealth Management, LLC RBC Wealth Management Morgan Stanley Wealth Management Merrill Lynch Wealth Management Wunder Financial, Northwestern Mutual Wealth Mgmt. Co.

DISTRICT OF COLUMBIA

Anthony, Brett W.

Morgan Stanley Wealth Management

Apton, Keith

UBS Financial Services

Haffner, Barry M.

UBS Financial Services

Harris, Richard C.

Alex. Brown|Raymond James

Kingsley, Todd R.

Alex. Brown|Raymond James

Nelson, Wayne F.

Merrill Lynch Wealth Management

O'Neill, Michael J.

Morgan Stanley Private Wealth Management

Sargent, Christopher S. Wells Fargo Advisors

Shaffer, Sheila S.

Janney Montgomery Scott LLC

Shreves, Tripp

The Monument Group at Wells Fargo Advisors

FLORIDA Bermont, Peter L. Burke, Kenneth J. Cabrera, Jose Carlin, Adam E. Chiavacci, Louis J. d'Adesky, Don A. Elwaw, John Esses, Tony Fetterman, Sean M. Gouraige, Ghislain Hoyt, Jr., William B. McCain, Michael A. Merriam III, William H. Meyerhans, Roman Moll, Todd A. Moran, Thomas M. Pinkerton, Scott Schultz, Andrew Silver, Michael J. Silverman, Mickey Simmons, Keith F. Starner, Margaret C. Sylvia, Kurt F. Tiano, Sal Williams, Jennifer B.

The Bermont Advisory Group of Raymond James Merrill Lynch Wealth Management Raymond James Morgan Stanley Private Wealth Management Merrill Lynch - Private Banking & Investment Group Raymond James Morgan Stanley Wealth Management Wells Fargo Advisors UBS Financial Services UBS Private Wealth Management Raymond James Wells Fargo Advisors Merrill Lynch Wealth Management Alex. Brown|Raymond James Provenance Wealth Advisors/Raymond James Wells Fargo Advisors Pinkerton Wealth Management Group Morgan Stanley Private Wealth Management Baron Silver Stevens Financial Advisors, LLC Raymond James Merrill Lynch Wealth Management Raymond James UBS Private Wealth Management J.P. Morgan Securities SunTrust Investment Services, Inc.

GEORGIA Bryant, Jake T. Frank, Brian Hansberger, Jim C. Harbour, Andrew Higgins, David P. Hines, Michael L. Kent, Rick L. Lauer, Leslie A. Merlin, Michael J. Westmoreland, Rod

Ameriprise Financial Morgan Stanley Private Wealth Management Morgan Stanley Private Wealth Management Graystone Consulting Merrill Lynch - Private Banking & Investment Group Consolidated Planning Corp./Raymond James Merit Financial Advisors/LPL Financial UBS Private Wealth Management Morgan Stanley Private Wealth Management Merrill Lynch - Private Banking & Investment Group

IDAHO Samples, Justin T.

Ameriprise Financial

ILLINOIS Bhatia, Raj Cutilletta, Patricia G. Hammond III, John L. Held, Richard M. Kartheiser, Joseph

Merrill Lynch - Private Banking & Investment Group Morgan Stanley Wealth Management Merrill Lynch Wealth Management UBS Financial Services Morgan Stanley Private Wealth Management

Oxford Stamford Greenwich Stamford Greenwich New Canaan Stamford Stamford New Haven Glastonbury Hartford Greenwich Fairfield Westport

Washington Washington Washington Washington Washington Washington Washington Washington Washington Washington

Coral Gables

Heathrow

Coral Gables

Coral Gables

Coral Gables

Boca Raton

Miami

Miami

Boca Raton

Coral Gables

St. Petersburg

Naples

Jacksonville

Miami

Fort Lauderdale

Naples

Venice

Miami Beach

Boca Raton

Boca Raton

Miami

Coral Gables

Palm Beach

Palm Beach Gdns

Tampa

Atlanta Atlanta Atlanta Atlanta Atlanta Atlanta Alpharetta Atlanta Atlanta Atlanta

Boise

Chicago Chicago Northbrook Chicago Chicago

Katz, Benjamin Lee, Bruce K. Leshem, Benjamin Lynch, Kevin R. Magnesen, Scott K. Maltby, Jay Oberheide, James L. Oberlander, Sharon Schaffer, Michael S. Spahn, Kevin M. Watson, Philip J. White, Brett D. Wilkinson, David M. Wright, David C.

Morgan Stanley Wealth Management Merrill Lynch - Private Banking & Investment Group Wells Fargo Advisors Morgan Stanley Private Wealth Management Morgan Stanley Wealth Management UBS Private Wealth Management Morgan Stanley Private Wealth Management Merrill Lynch Wealth Management Wells Fargo Advisors Spahn Financial, Northwestern Mutual Wealth Mgmt. Co. Ameriprise Financial Ameriprise Financial Morgan Stanley Private Wealth Management Merrill Lynch - Private Banking & Investment Group

INDIANA Cooke, Brian F. Cooke, Christopher Finley, Daniel B. Gregor, Martin Moore, Christopher P. Stscherban, Paul

Cooke Financial Group at Noyes Cooke Financial Group at Noyes Merrill Lynch Wealth Management Merrill Lynch - Private Banking & Investment Group Ameriprise Financial Baird

IOWA Brandt, Jeffrey W. Fryar, Matt Leibfried, Scott G.

Ameriprise Financial Wells Fargo Advisors Ameriprise Financial

KANSAS Barry, Don Ewing, Paul W.

Baird Prosperity Advisory Group

KENTUCKY Donohue, Dean M. Lamkin, Mark T. Mahurin, Pete Settle, Mitch

Ameriprise Financial Lamkin Wealth Management/LPL Financial Hilliard Lyons Hilliard Lyons

LOUISIANA Couvillon, Mason G. Frayard, Rick Simmons, Charles L. Spiro, James M.

Dardis Couvillon & Associates/LPL Financial UBS Financial Services Ameriprise Financial Morgan Stanley Wealth Management

MARYLAND Baum, Patricia P. Boggs, Larry D. Collins, Robert J. Dingle, Frank W. Eisen, Dean J. Etergino, Ann Marie Garber, Barry Glassman, W. Christopher Holzapfel, James N. Keetley, Richard A. Murray, Jonathan P. Pearce, Kent V. Rosenwald, Beth Sella, Edward Geoffrey Smith III, H. James

RBC Wealth Management Wells Fargo Advisors Collins Investment Group RBC Wealth Management Graystone Consulting RBC Wealth Management Alex. Brown|Raymond James RBC Wealth Management Holzapfel Investment Group of Wells Fargo Advisors Janney Montgomery Scott LLC UBS Financial Services Merrill Lynch Wealth Management RBC Wealth Management SPC Financial, Inc./Raymond James RBC Wealth Management

MASSACHUSETTS Bartholomew, Thomas J. Borden, David A. Corbett, L.O. Patrick Gage, Douglas B. Javaheri, David R. Leland, David G. Mason, Robert F. Massey, Douglas McCauley, Paul J. McGuirk, Gary L. McMahon, Terrence Miller, Richard R. Mullin, Mary B.

Bartholomew & Company, Inc. CCR Wealth Management Morgan Stanley Private Wealth Management Ameriprise Financial Morgan Stanley Wealth Management Merrill Lynch Wealth Management Morgan Stanley Private Wealth Management UBS Financial Services Merrill Lynch - Private Banking & Investment Group Merrill Lynch - Private Banking & Investment Group Morgan Stanley Private Wealth Management Ameriprise Financial Merrill Lynch Wealth Management

Chicago

Noonan, Peter C.

Chicago

Princi, Peter

Highland Park

Sharma, Raj

Chicago

Sugar, Alex

Oak Brook

Wilson, Daniel T.

Chicago

Winthrop, Mark

Chicago

Chicago

MICHIGAN

Lake Forest

Bernecker, Scott D.

Lombard

Fratarcangeli, Jeffrey

Downers Grove Grace, Jamie

Oakbrook Terrace

Locniskar, Dana

Chicago

Long, Timothy J.

Chicago

Lund, David A.

Sanford, Todd A.

Stephens, Sherri

Indianapolis

VanDyke, Kevin M.

Indianapolis

Vigi, Jon

Fort Wayne

Indianapolis

MINNESOTA

Fort Wayne

Eckerline, Peter

Mishawaka

Ehleringer, Randall D.

Marks, Ben

Metcalf, Robert S.

Fort Dodge

Slaggie, Michael

Des Moines

Thoen, Gregory M.

Dubuque

MISSISSIPPI

Finkelberg, Arthur

Wichita

Mosby, Bill (Rush)

Overland Park

MISSOURI

Moeller, Mike L.

Louisville

Murray, Seth C.

Louisville

Bowling Green NEBRASKA

Owensboro

Jacobitz, Andy J.

Kelley, Richard W.

J.P. Morga Graystone Merrill Lyn Morgan St Ameriprise Winthrop W

Merrill Lyn Fratarcang Wells Farg Merrill Lyn Merrill Lyn Merrill Lyn Sanford Fi Stephens W Bloomfield UBS Privat

Merrill Lyn Ameriprise Marks Gro UBS Privat Slaggie Ca Ameriprise

Raymond UBS Finan

The Moelle Ameriprise

RBC Wealt RBC Wealt

Metairie Lafayette Metairie New Orleans

Annapolis Cumberland Bethesda Baltimore Potomac Chevy Chase Baltimore Baltimore Hagerstown Baltimore Hunt Valley Towson Baltimore Rockville Baltimore

Worcester Westborough Boston Auburndale Wellesley Beverly Boston Boston Boston Boston Boston Wellesley Boston

NEW JERSEY

Barry, Jim R.

Deatherage, Mary M.

Gisser, Warren J.

Lippman, Mark J.

Matina, Joseph

McLaughlin, James M.

McPeak, Neil P.

Ricca, Michael J.

Schwartz, Andy M.

Schwartz, Daniel S.

Shegoski, L. Marc

Stern, Michael

Udine, Richard D.

Walker, Ira

Weinerman, David

NEW YORK

Armour, Louise

Arthurs, Glenn W.

Bakshi, Vishal

Barrett, John C.

Basu, Ron

Beyer, David

Bianco, George

Bickler, Eric A.

Bodner, Eric S.

Canell, Jay B.

Canell, Neil

Cohen, Leigh

Covell, James A.

Coyle III, John F.

Douer, Marcos

Fitzburgh, Richard A.

Gero, George

Grill, Steven

Merrill Lyn Morgan St RBC Wealt Wells Farg UBS Privat Princeton McPeak W Morgan St Bleakley F UBS Privat UBS Finan Wells Farg Morgan St UBS Privat Morgan St

J.P. Morga UBS Finan Merrill Lyn Merrill Lyn Morgan St Morgan St Merrill Lyn UBS Finan Merrill Lyn Morgan St Morgan St Merrill Lyn RBC Wealt Morgan St Morgan St RBC Wealt RBC Wealt Alex. Brow

FINANCIAL TIMES Thursday 30 March 2017

FT 400 Top Financial Advisers

Client segments served

FTReports | 9

Client segments served

Name Company City Retail HNW* Ultra HNW** Institutional Name Company City Retail HNW* Ultra HNW** Institutional

Noonan, Peter C. Princi, Peter Sharma, Raj Sugar, Alex Wilson, Daniel T. Winthrop, Mark

J.P. Morgan Securities Graystone Consulting Merrill Lynch - Private Banking & Investment Group Morgan Stanley Wealth Management Ameriprise Financial Winthrop Wealth Management/LPL Financial

MICHIGAN Bernecker, Scott D. Fratarcangeli, Jeffrey Grace, Jamie Locniskar, Dana Long, Timothy J. Lund, David A. Sanford, Todd A. Stephens, Sherri VanDyke, Kevin M. Vigi, Jon

Merrill Lynch Wealth Management Fratarcangeli Wealth Management Wells Fargo Advisors Merrill Lynch - Private Banking & Investment Group Merrill Lynch Wealth Management Merrill Lynch Wealth Management Sanford Financial Services/Raymond James Stephens Wealth Mgmt. Grp./Raymond James Bloomfield Hills Financial UBS Private Wealth Management

MINNESOTA Eckerline, Peter Ehleringer, Randall D. Marks, Ben Metcalf, Robert S. Slaggie, Michael Thoen, Gregory M.

Merrill Lynch Wealth Management Ameriprise Financial Marks Group Wealth Management/LPL Financial UBS Private Wealth Management Slaggie Capital Group/Raymond James Ameriprise Financial

MISSISSIPPI Finkelberg, Arthur Mosby, Bill (Rush)

Raymond James UBS Financial Services

MISSOURI Moeller, Mike L. Murray, Seth C.

The Moeller Group of Wells Fargo Advisors Ameriprise Financial

NEBRASKA Jacobitz, Andy J. Kelley, Richard W.

RBC Wealth Management RBC Wealth Management

NEW JERSEY Barry, Jim R. Deatherage, Mary M. Gisser, Warren J. Lippman, Mark J. Matina, Joseph McLaughlin, James M. McPeak, Neil P. Ricca, Michael J. Schwartz, Andy M. Schwartz, Daniel S. Shegoski, L. Marc Stern, Michael Udine, Richard D. Walker, Ira Weinerman, David

Merrill Lynch Wealth Management Morgan Stanley Private Wealth Management RBC Wealth Management Wells Fargo Advisors UBS Private Wealth Management Princeton Wealth Advisors of Raymond James McPeak Wealth Management Group of Wells Fargo Advisors Morgan Stanley Wealth Management Bleakley Financial Group/LPL Financial UBS Private Wealth Management UBS Financial Services Wells Fargo Advisors Morgan Stanley Wealth Management UBS Private Wealth Management Morgan Stanley Wealth Management

NEW YORK Armour, Louise Arthurs, Glenn W. Bakshi, Vishal Barrett, John C. Basu, Ron Beyer, David Bianco, George Bickler, Eric A. Bodner, Eric S. Canell, Jay B. Canell, Neil Cohen, Leigh Covell, James A. Coyle III, John F. Douer, Marcos Fitzburgh, Richard A. Gero, George Grill, Steven

J.P. Morgan Securities UBS Financial Services Merrill Lynch - Private Banking & Investment Group Merrill Lynch Wealth Management Morgan Stanley Private Wealth Management Morgan Stanley Wealth Management Merrill Lynch Wealth Management UBS Financial Services Merrill Lynch - Private Banking & Investment Group Morgan Stanley Wealth Management Morgan Stanley Wealth Management Merrill Lynch - Private Banking & Investment Group RBC Wealth Management Morgan Stanley Wealth Management Morgan Stanley Wealth Management RBC Wealth Management RBC Wealth Management Alex. Brown|Raymond James

Boston Boston Boston Boston Auburndale Westborough

Grand Rapids Birmingham Jackson Troy Grand Rapids Grand Rapids Portage Flint Bloomfield Hills Birmingham

Wayzata Rochester Minnetonka Minneapolis Winona Austin

Ridgeland Jackson

Chesterfield Springfield

Omaha Omaha

Princeton Little Falls Parsippany Linwood Short Hills Princeton Linwood Florham Park Fairfield Paramus Princeton Vineland Mt. Laurel Red Bank Florham Park

New York Buffalo New York New York 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 York

Grous, Bill Halbfinger, Martin L. Kass, Jonathan Katz, Jason M. Kavallieratos, Nick Kelton, Richard W. Kilduff, Sean T. Kraus, Andrew P. Lerner, Rebecca A. Luppino, Anthony W. Maddalena, Tony Malkin, Joshua D. Millman, Ira M. Mitchell, Neil S. Moeder, Alyssa Montaperto, Deborah D. Myers, Jonathon L. Nocon, Nannette O'Connell, Daniel T. Osio, Miguel G. Papandrea, Rocco Pell, Geri E. Perkins, Howard Peters, Kevin M. Rabito, Russell A. Sager, Sharon T. Sax, Ben Schubach, Clark Schwartz, Michael S. Spinetta, Alessandro Stackman, Scott Sullivan, Thomas E. Temel, Charles S. Tennant, Steven A. Ward, Sofia Michelle Weil, Noel Wilson, Scott C. Wong, Nadine

Alex. Brown|Raymond James UBS Financial Services Merrill Lynch Wealth Management UBS Financial Services Morgan Stanley Wealth Management Kelton Financial Group, Northwestern Mutual Wealth Mgmt. UBS Private Wealth Management Merrill Lynch - Private Banking & Investment Group Merrill Lynch Wealth Management Merrill Lynch Wealth Management Morgan Stanley Wealth Management Morgan Stanley Private Wealth Management Morgan Stanley Wealth Management Morgan Stanley Private Wealth Management Merrill Lynch - Private Banking & Investment Group Morgan Stanley Private Wealth Management Ameriprise Financial Ameriprise Financial Merrill Lynch Wealth Management Morgan Stanley Private Wealth Management Merrill Lynch Wealth Management Ameriprise Financial Morgan Stanley Wealth Management Morgan Stanley Private Wealth Management UBS Financial Services UBS Private Wealth Management Merrill Lynch - Private Banking & Investment Group J.P. Morgan Securities Pioneer Financial, Northwestern Mutual Wealth Mgmt. Co. Morgan Stanley Wealth Management UBS Private Wealth Management Merrill Lynch Wealth Management UBS Financial Services Tennant Financial, Northwestern Mutual Wealth Mgmt. Co. Morgan Stanley Wealth Management Merrill Lynch - Private Banking & Investment Group Morgan Stanley Private Wealth Management Morgan Stanley Private Wealth Management

NORTH CAROLINA Cash, Gregory M. Hoge, Brett W. McCarthy, Robert Oliver, William M. Thomas, Stephen L. Wickham, Robert Mitchell

Merrill Lynch - Private Banking & Investment Group BB&T Scott & Stringfellow RBC Wealth Management Wells Fargo Advisors Linden Thomas & Company Merrill Lynch - Private Banking & Investment Group

NORTH DAKOTA Melvie, Loren D.

Ameriprise Financial

OHIO Carver, Randy Chornyak, Jr., Joseph A. Chornyak, Sr., Joseph A. Edwards, Brian J. Ellis III, David W. Fish, Stephen J. Mauk, Robert A. Myeroff, Kevin Shendure, Ashok S. Shendure, Rajanee A. Singer, David L. Torbeck, Daniel L.

Carver Financial Services/Raymond James Chornyak & Associates, Ltd. Chornyak & Associates, Ltd. Morgan Stanley Wealth Management UBS Private Wealth Management UBS Financial Services Chornyak & Associates, Ltd. NCA Financial Planners BDS Financial Network BDS Financial Network Merrill Lynch - Private Banking & Investment Group UBS Financial Services

OKLAHOMA Blumenthal, Jeffrey Brock, Brandt T. Jelley, Steve M.

Wells Fargo Advisors Ameriprise Financial Merrill Lynch Wealth Management

OREGON Sturdivant, James Wrenn, James A.

Ameriprise Financial UBS Financial Services

PENNSYLVANIA Bishop, Robert H.

Janney Montgomery Scott LLC

New York New York New York New York New York Latham New York New York New York New York Purchase New York New York New York New York New York Vestal Rochester Garden City New York New York Rye Brook Purchase Purchase New York New York New York New York New York New York New York Garden City New York Ballston Lake New York New York New York New York

Charlotte Winston-Salem Raleigh Charlotte Charlotte Charlotte

Bismarck

Mentor Columbus Columbus Columbus Cincinnati Cincinnati Columbus Cleveland Solon Solon Cincinnati Cincinnati

Oklahoma City Tulsa Tulsa

Salem Lake Oswego

Pittsburgh

10 | FTReports

FT 400 Top Financial Advisers

Client segments served

FINANCIAL TIMES Thursday 30 March 2017

Client segments served

Name Company City Retail HNW* Ultra HNW** Institutional Name Company City Retail HNW* Ultra HNW** Institutional

Blumenthal, Edward S. Brennan, Patricia C. Camera, Gerald A. DiValerio, Jr., Anthony J. Glovas, Michael R. Kron, David J. Mastrogiorgos, George Nehrbas, Andrew R. Parker, Sr., John J. Rimmel, James W. Rohr, Peter A. Salmansohn, Eric Sargent, Peter H. Spanos, Samuel W.

Janney Montgomery Scott LLC Key Financial, Inc. Ameriprise Financial Morgan Stanley Private Wealth Management Morgan Stanley Wealth Management Kron & Polis Financial Group of Wells Fargo Advisors Ameriprise Financial Janney Montgomery Scott LLC Wells Fargo Advisors UBS Financial Services Merrill Lynch - Private Banking & Investment Group Morgan Stanley Wealth Management Janney Montgomery Scott LLC Raymond James

SOUTH CAROLINA Vingi, Jr., Robert E.

Wells Fargo Advisors

SOUTH DAKOTA Quello, Nathan S.

Raymond James

TENNESSEE Dobyns, Jeff Mayer, Ward W. Roberson, Tim Smith, Trey Williams, Jay W.

Southwestern Investment Group/Raymond James Raymond James Merrill Lynch Wealth Management SunTrust Investment Services, Inc. UBS Private Wealth Management

TEXAS Acerra, Guy M. Ashcroft, Richard W. Begay, Audree L. Blessing, Kalita Blonkvist, Kevin M. Clements, Kevin Coffee, Jr., James L. Crocker, J. Dow Dickey, Kevin T. Dodson, Philip M. Elias, Mark S. Hesse, Michael W. Heuer, Susan Johnson, Willis A. Johri, Anupam (AJ) Kardesch, Matthew Klenke, Gregory O. Kravitz, Ira D. Lewis, Jr., Charles J. Lockwood, Elizabeth G. Lorch, Howard S. McBride, Tommy Miura, Steven

Ameriprise Financial Baird Ameriprise Financial Quest Capital Management, Inc./Raymond James RBC Wealth Management Morgan Stanley Wealth Management Merrill Lynch Wealth Management Raymond James Morgan Stanley Private Wealth Management Merrill Lynch - Private Banking & Investment Group UBS Private Wealth Management Texas Wealth Management, Inc. Merrill Lynch Wealth Management Willis Johnson & Associates Morgan Stanley Wealth Management Ameriprise Financial UBS Financial Services UBS Financial Services Wells Fargo Advisors UBS Financial Services The Lorch Group of Wells Fargo Advisors Merrill Lynch Wealth Management The Miura Group, Northwestern Mutual Wealth Mgmt. Co.

Philadelphia

West Chester

Bethlehem

W. Conshohocken

Easton

Philadelphia

Exton

Bryn Mawr

Philadelphia

Pittsburgh

Philadelphia

Philadelphia

Yardley

Beaver

Charleston

Sioux Falls

Franklin Memphis Brentwood Nashville Memphis

San Antonio Houston Houston Dallas Midland Dallas Houston Dallas Dallas Houston Houston Houston Houston Houston Plano Houston Houston Plano Waco Houston Houston Dallas Austin

Moore, Mark A. Pearcy, Van M. Pennington, Darrell R. Peterson, Donald S. Piatas, Richard W. Schroeder, Ralph J. Smith, Reed H.B. Smith, Shawn D. Stavis, Deborah M. Tiras, Scott B. Tucker, Raymond I. Utter, Gail W. Warren III, Champ D. Wood, Jr., F. Michael

UBS Financial Services Van Pearcy's Wealth Serv. Team/Raymond James Ameriprise Financial UBS Private Wealth Management Merrill Lynch Wealth Management Ameriprise Financial Merrill Lynch - Private Banking & Investment Group Ameriprise Financial Stavis & Cohen Financial Ameriprise Financial Wells Fargo Advisors Utter Wealth Management Group of Wells Fargo Advisors Merrill Lynch - Private Banking & Investment Group Merrill Lynch - Private Banking & Investment Group

Austin Midland Houston Dallas Dallas The Woodlands Houston Fort Worth Houston Houston Fort Worth Sherman Houston San Antonio

VERMONT Stotz, Timothy E.

Morgan Stanley Wealth Management

Colchester

VIRGINIA Barnette, Jr., James T. Caudron, Tristan M. Gill, John A. Kim, Soo (Susan) Kurtz, Jonathan R. LeClair, Jeff W. Montgomery, Joe W. Salomon, Dalal Maria Sprowls, Ryan C. Strange, Allan H.

Raymond James Wells Fargo Advisors BB&T Scott & Stringfellow Ameriprise Financial Voya Financial Advisors Wells Fargo Advisors The Optimal Service Group of Wells Fargo Advisors Salomon & Ludwin, LLC Sprowls & Key Wealth Management Group of Wells Fargo Advisors Janney Montgomery Scott LLC

Reston Alexandria Virginia Beach Vienna Vienna McLean Williamsburg Richmond Alexandria Richmond

WASHINGTON Braun, Dean Cook, Terry L. Elliott, Patrick D. Matthews, Michael S. Ried, Paul R. Scannell, Erin J. West, Lowry

Morgan Stanley Private Wealth Management UBS Private Wealth Management RBC Wealth Management UBS Financial Services Paul R. Ried Financial Group, LLC Ameriprise Financial Morgan Stanley Private Wealth Management

Seattle

Bellevue

Bainbridge Island

Bellevue

Bellevue

Mercer Island

Seattle

WEST VIRGINIA Hall, Christopher W. Houchins, David L. Stike, Edward R.

Hall Financial Advisors, LLC BB&T Scott & Stringfellow RBC Wealth Management

Parkersburg Charleston Charleston

WISCONSIN Burish, Andrew D. Cimino, Vince Goldstein, Jon D. Klein, Michael G. Larsen, John E.

UBS Financial Services Cimino Wealth Advisors/LPL Financial Ameriprise Financial Baird RBC Wealth Management

Madison Clinton Middleton Milwaukee Mequon

* High net worth (clients with $1m-$10m in investable assets) ** Ultra high net worth (clients with $10m or more in investable assets)

Methodology

The fifth annual Financial Times 400 list, like the previous four, is aimed at investors -- such as FT readers -- who use financial advisers. The FT, therefore, assesses financial advisers based on what investors care about. The methodology is quantifiable and objective.

In autumn 2016, the FT contacted the largest US brokerages to ask for practice information and data for their top advisers across the US. In doing so, we could obtain verified data on assets under management instead of relying on self-reporting by the advisers themselves.

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 800 -- 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:

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 managing assets in different 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.

Assets under management accounted for an average of 66 per cent of each adviser's score. 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 futile exercise, since each takes different approaches to their practice and has different specialisations.

The research was conducted on behalf of the Financial Times by Ignites Research, a Financial Times sister publication.

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