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S2 B A R RON ’ S • SPECIAL ADVERTISING SECTION April 28, 2014
LETTER FROM THE EDITOR
EDITOR AND PRESIDENT Edwin A. Finn Jr.
What It Takes To Be A “Barron’s Advisor”
B arron’s began ranking financial advisors 11 years ago with the goal of shining a spotlight on the best people in the business.Many stories had been written in the press over the years about bad financial advisors and the trouble they caused investors. But thosestories held little benefit for our readers. What our readers wanted to know is this: Who are the truly great financial advisors and whatare they telling their clients?That’s the question we’ve tried to answer with our advisor rankings over the past decade.
From the outset, the rankings have been a remarkable success. It is now accepted in the industry that the advisors ranked by Barron’s represent thetop 1% of their profession. In fact, it’s become a badge of honor to be called a “Barron’s advisor,” a phrase that’s cropped up informally to describe thefolks who make our lists. We began in 2004 with our first ranking of the nation’s top 100 advisors, working with a small firm called the Winner’s Circle,which we acquired in 2008. We published our first list of the Top 100Women Advisors in 2006. A year after that, we published a list of the Top 100 Indepen-dent Advisors, meaning the best advisors not affiliated with the big full-service firms like Merrill Lynch, Morgan Stanley, Wells Fargo, or UBS.One problem with all of these lists: They were dominated by advisors in New York, California, Florida, and a few other places where America’s wealth
is concentrated. We knew that we were missing great advisors in South Carolina, Alaska, Wyoming, and other stateswith smaller amounts of wealth.Our solution: the Top 1000 state-by-state ranking, which we first published in 2009. This list granted each state aminimum of five spots and allowed proportionately more spots for states with greater assets. This year we expandedthe ranking to 1200 advisors.All of our advisor rankings are based on hard numbers: an advisor’s assets under management and annual revenuegenerated, as well as length of time in the business, client retention, and philanthropic work. Critically important, wecarefully check the regulatory record of each advisor we rank.Every year, readers ask us how to get in touch with specific advisors who are ranked in Barron’s. This special advertis-ing section, published 10 times a year, is an effort to make that easier. This section allows Barron’s-ranked advisors—andonly Barron’s-ranked advisors—to publish their phone numbers, email addresses, and Website addresses. A link to thisspecial advertising section can be found at the top of any page on our Website: Barrons.com. Advisors pay a fee to be
listed in this section, but their participation has no bearing on their place in our rankings, nor does it guarantee that they will be ranked in future years.In our advisor rankings, as in all Barron’s journalism, the readers’ interests must come first and not be subordinated to any commercial considerations.We want to thank all Barron’s-ranked advisors and their firms for helping us make our rankings successful. We also want to thank these advisors forsetting the highest standards for their profession and for sharing their investing insights on a regular basis with Barron’s readers.
Advisors pay a feeto be listed in thissection, but theirparticipation has nobearing on their placein our rankings, nordoes it guarantee thatthey will be rankedin future years.
B A R R O N ’ S • SpeciAl AdveRtiSiNg SectiON
Updated as of April 25, 2014
directory of Barron’s-Ranked Financial Advisors
Typi
cal N
et
Wor
th ($
mil)
Typi
cal A
ccou
nt
Size
($m
il)
Team
Tota
l As
sets
($m
il)
Inst
itutio
nal
Endo
wm
ents
Foun
datio
ns
Ultr
a-Hi
gh N
et W
orth
($10
mil+
)
High
Net
Wor
th
($1-
10 m
il)
Reta
il
(Up
to $
1 m
il)
Mark Mantooth Merrill Lynch Wealth Mgmt (256) 650-2441 / mark_mantooth@ml.com • • • • $840 $1.75 $3.5 Huntsville
Brad Osborne Merrill Lynch (205) 298-7402 / brad_osborne@ml.com • • • • 1,935 15 25 Birmingham www.pwa.ml.com/osborneandassociates
Jordan Plaster Merrill Lynch Wealth Mgmt (205) 759-9534 / james_plasterjr@ml.com • • • 254 1.5 5 Tuscaloosa www.fa.ml.com/james_plasterjr
Robert Runkle Merrill Lynch Wealth Mgmt (334) 409-5810 / robert_runkle@ml.com • • • • 1,085 2.5 3.25 Montgomery fa.ml.com/Robert_Runkle
Laurie Russell Merrill Lynch Wealth Mgmt (334) 409-5815 / laurie_russell@ml.com • • • 306 0.65 7 Montgomery
Robert Bancroft Morgan Stanley PWM (866) 577-0640 / robert.bancroft@morganstanleypwm.com• • • 625 10 15 Scottsdale www.morganstanleyfa.com/bbg/
Leah Hoffman RobertW.Baird (602) 224-4960 / lhoffman@rwbaird.com • • • • 576 3.15 5 Phoenix www.hoffmanandhock.com
Michael Hudak Merrill Lynch PBIG (602) 954-5961 / michael_hudak@ml.com • • • • 1,910 10 20 Phoenix pwa.ml.com/wrighthudakgroup
James Marten Merrill Lynch Wealth Mgmt (602) 954-5034 / james_marten@ml.com • • • • • 1,055 3 5 Phoenix fa.ml.com/MartenGroup
Rick Nunley Merrill Lynch Wealth Mgmt (480) 607-8795 / rick.nunley@ml.com • • • 251 1.75 3.5 Scottsdale fa.ml.com/thenunleygroup
David Stahle Merrill Lynch Wealth Mgmt (480) 898-6612 / david_stahle@ml.com • • • • • • 1,304 5 5 Mesa
Ruth Transue WellsFargoAdvisors (520) 529-5932 / transuer@wellsfargo.com • • • 650 2 4 Tucson home.wellsfargoadvisors.com/transuer
Joey Small Ameriprise Financial (501) 975-7968 / joseph.a.small@ampf.com • • 400 0.75 1 LittleRock smallandassociatesfinancial.com
David Bahnsen Morgan Stanley Wealth Mgmt (949) 760-2482 / David.Bahnsen@MorganStanley.com • • • • 640 4 10 NewportBeach www.TheBahnsenGroup.com
Andrew Basch Morgan Stanley PWM (310) 443-0538 / andrew.b.basch@morganstanleypwm.com• • • • • 2,200 5 20 LosAngeles www.morganstanleypwa.com/thewingfieldgroup
Jim Berliner Westmount Asset Mgmt (310) 556-2502 / jberliner@westmount.com • • • • • 1,669 2.5 6 LosAngeles www.westmount.com
Fred Fern Churchill Mgmt Group (877) 937-7110 / info@churchillmanagement.com • • • 2,771 0.75 1.5 LosAngeles www.churchillmanagement.com
Robert Gallo Merrill Lynch Wealth Mgmt (925) 945-4823 / robert_f_gallo@ml.com • • • 1,397 0.75 2.5 WalnutCreek fa.ml.com/gallo_group
Barry Garapedian Morgan Stanley Wealth Mgmt (805) 494-0214 / barry.garapedian@morganstanley.com • • 630 1 5 WestlakeVillage www.morganstanleyfa.com/gh/
Eric Gray Merrill Lynch PBIG (310) 407-3979 / eric_gray@ml.com • 4,870 50 75 LosAngeles pwa.ml.com/grayteam
Brian Holmes SignatureEstate&InvAdv (310) 712-2326 / bholmes@seia.com • • • • 3,425 5 15 LosAngeles www.seia.com
Michael Maher Merrill Lynch Wealth Mgmt (760) 930-3170 / michael_maher@ml.com • • • • 1,444 4 7.5 Carlsbad fa.ml.com/team_maher
J. Dorian McKelvy Morgan Stanley PWM (650) 234-5130 / dorian.mckelvy@ms.com • • • • 8,000 7.5 15 MenloPark www.morganstanleyfa.com/mckelvygroup/
John McNamee Merrill Lynch PBIG (310) 407-4824 / john_mcnamee@ml.com • • • • 4,924 30 40 LosAngeles www.pwa.ml.com/mcnameewhite
Lon Morton Morton Capital Mgmt (818) 591-6200 / lmorton@mortoncapital.com • • • 1,168 4 7 Calabasas www.mortoncapital.com
Fane Opperman WellsFargoAdvisors (408) 423-5040 / fane.opperman@wfadvisors.com • • • 849 4 5 SanJose www.wfadvisors.com/fane.opperman
ALA
BA
MA
ARIZONA
ARK.
CALIFORNIA
Name Firm / City Phone, E-Mail & Website
B A R R O N ’ S • SpeciAl AdveRtiSiNg SectiON
Updated as of April 25, 2014
Reta
il
(Up
to $
1 m
il)Hi
gh N
et W
orth
($1-
10 m
il)
Ultr
a-Hi
gh N
et W
orth
($10
mil+
)
Foun
datio
ns
Endo
wm
ents
Inst
itutio
nal
Team
Tota
l As
sets
($m
il)
Typi
cal A
ccou
nt
Size
($m
il)
Typi
cal N
et
Wor
th ($
mil)
directory of Barron’s-Ranked Financial Advisors
Laila Pence Pence Wealth Mgmt (800) 731-3623 / anne.godfrey@lpl.com • • • $1,074 $2 $5 NewportBeach www.pencewealthmanagement.com
Spuds Powell KayneAndersonRudnick (310) 282-7945 / spowell@kayne.com • • • • • 7,913 5 10 LosAngeles www.kayne.com
Paul Taghibagi SEIA (310) 712-2333 / pt@seia.com • • • • • 3,172 2.5 10 LosAngeles www.seia.com
Emily Van Hoorickx UBS Financial Services (408) 286-5500 / emily.vanhoorickx@ubs.com • • • 4,280 2 7 SanJose www.ubs.com/team/svig
Steve Weber Morgan Stanley PWM (310) 788-2195 / s.weber@morganstanley.com • • • • 3,500 40 100 LosAngeles www.morganstanleypwa.com/weberchanggroup/
Alan Whitman Morgan Stanley Wealth Mgmt (626) 405-9313 / alan.whitman@morganstanley.com • • • 2,245 5 15 Pasadena www.morganstanleyfa.com/wr
Dale Yahnke Dowling&Yahnke,LLC (858) 509-9500 / dale.yahnke@dywealth.com • • • 2,328 2.6 10 SanDiego www.dywealth.com
Michael Yoshikami Destination Wealth Mgmt (925) 935-2900 / info@destinationwm.com • • 1,300 2.2 6 WalnutCreek www.destinationwm.com
Mark R. Brown Brown&TedstromWealthMgmt(303) 863-7231 / mbrown@brown-tedstrom.com • • 517 5 12.5 Denver www.brown-tedstrom.com
Melissa Corrado-Harrison Merrill Lynch PBIG (303) 446-5617 / melissa_harrison@ml.com • • 1,573 25 50 Denver pwa.ml.com/corradoharrison
Shawn Fowler Morgan Stanley PWM (303) 446-3306 / shawn.fowler@morganstanleypwm.com • • • 2,200 27 54 Denver
Joseph Janiczek Janiczek&Company,Ltd. (303) 721-7000 / cwegner@janiczek.com • • 375 2.5 6 GreenwoodVillage www.janiczek.com
Wally Obermeyer ObermeyerAssetMgmt (970) 925-8747 / wally@obermeyerasset.com • • • 880 2.5 5 Aspen www.obermeyerasset.com
Mark Smith M.J.Smith&Associates (303) 768-0007 / mark.smith@raymondjames.com • • 724 1.6 2.1 GreenwoodVillage www.mj-smith.com
Jeff Erdmann Merrill Lynch PBIG (203) 861-5902 / jeff_erdmann@ml.com • • • • 5,435 25 45 Greenwich pwa.ml.com/erdmanngroup
Michael Freeburg Greenwich Wealth Mgmt (203) 618-0103 / info@greenwichwealth.com • • 1,560 10 25 Greenwich greenwichwealth.com
Thomas Lips UBS Financial Services (860) 275-8060 / thomas.lips@ubs.com • • • • 1,055 5 10 Hartford www.ubs.com/team/LRP
John W. Rafal Essex Financial Svcs (860) 767-4300 / John.Rafal@EssexFinancialServices.com • • • • • • 3,680 5.5 12 Essex www.essexfinancialservices.com
Harold Trischman Morgan Stanley Wealth Mgmt (203) 625-4824 / harold.j.trischman@morganstanley.com • • • • • 1,240 4 9 Greenwich www.morganstanleyfa.com/trischmangroup
John Adams Vaccaro WestportResources (203) 226-0222 / cdelaura@westportresources.com • • • • 1,276 3 10 Westport www.westportresources.com
Ronald Weiner RDMFinancialGroup (203) 255-0222 / rdm@rdmfinancial.com • • • • 644 3 10 Westport www.rdmfinancialgroup.com
Donald DeWees Sr. WellsFargoAdvisors (800) 832-6669 / dana.edwards@wfadvisors.com • • • • • 1,083 1.5 3.5 Greenville
Cynthia Hewitt Merrill Lynch Wealth Mgmt (888) 436-5423 / cynthia_hewitt@ml.com • • • 1,096 4 10 Wilmington www.fa.ml.com/hart_group
Michael Koppenhaver Merrill Lynch Wealth Mgmt (888) 766-4680 / Michael_S_Koppenhaver@ml.com • • • • • 485 1 4 Dover www.fa.ml.com/koppenhaver_hawkins_associates
Kimberlee Orth Ameriprise Financial (302) 475-5105 / kimberlee.m.orth@ampf.com • • • • 1,011 2.97 4.38 Wilmington www.kimberleeorth.com
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
Name Firm / City Phone, E-Mail & Website
B A R R O N ’ S • SpeciAl AdveRtiSiNg SectiON
Updated as of April 25, 2014
Team
Tota
l As
sets
($m
il)
Typi
cal A
ccou
nt
Size
($m
il)
Typi
cal N
et
Wor
th ($
mil)
directory of Barron’s-Ranked Financial Advisors
Reta
il
(Up
to $
1 m
il)Hi
gh N
et W
orth
($1-
10 m
il)
Ultr
a-Hi
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et W
orth
($10
mil+
)
Foun
datio
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Inst
itutio
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Endo
wm
ents
Barry Haffner UBS Financial Services (202) 585-5440 / barry.haffner@ubs.com • • • $550 $4 $6 Washington financialservicesinc.ubs.com/fa/barryhaffner/
Michael Kirvan Merrill Lynch Wealth Mgmt (202) 659-7349 / michael_kirvan@ml.com • • • 596 1.5 7.5 Washington fa.ml.com/TheKirvanGroup
Marvin McIntyre Morgan Stanley Wealth Mgmt (202) 778-1381 / marvin.mcintyre@morganstanley.com • • • • • • 3,375 5 25 Washington www.morganstanleyfa.com/cwmg/
James New CreditSuisseSecurities (202) 626-3377 / james.new@credit-suisse.com • • • • 300 5 15 Washington www.credit-suisse.com
Christopher S. Sargent WellsFargoAdvisors (202) 872-6570 / christopher.sargent@wfadvisors.com • • • • 800 4 5 Washington www.thesargentinvestmentgroup.wfadv.com
William Slater III Merrill Lynch PBIG (202) 659-7387 / william_slateriii@ml.com • • • 1,058 4 8 Washington www.pwa.ml.com/SKFM
David Stuart Morgan Stanley Wealth Mgmt (202) 861-5028 / david.a.stuart@ms.com • • • 576 1.5 2.5 Washington www.morganstanleyfa.com/stuart/
Richard Altieri Morgan Stanley Wealth Mgmt (561) 393-1836 / Richard.Altieri@ms.com • • • 1,207 5 20 BocaRaton www.morganstanleyfa.com/thealtierigroup
Brian Buetel Merrill Lynch Wealth Mgmt (561) 393-4532 / Brian_Buetel@ml.com • • • 481 1 3 BocaRaton www.fa.ml.com/BuetelRogge
William S. Calabretta Morgan Stanley Wealth Mgmt (561) 393-1812 / William.S.Calabretta@ms.com • • • 1,207 5 20 BocaRaton
Adam Carlin Morgan Stanley Wealth Mgmt (305) 476-3302 / adam.e.carlin@morganstanley.com • • • 1,884 10 18 CoralGables www.morganstanleyfa.com/carlin/
Louis Chiavacci Merrill Lynch PBIG (305) 774-0500 / louis_chiavacci@ml.com • • 2,675 35 75 CoralGables pwa.ml.com/ChiavacciTeam
Thomas Cleary UBS Financial Services (407) 803-4670 / tom.cleary@ubs.com • • • • 1,010 3 5 Orlando www.ubs.com/fa/tomcleary
Don d’Adesky Morgan Stanley Wealth Mgmt (561) 393-2027 / don.dadesky@morganstanley.com • • • 2,897 2.5 8 BocaRaton www.morganstanleyfa.com/theamericasgroup/
Bob Edwards WellsFargoAdvisors (239) 254-2200 / robert.t.edwards@wfadvisors.com • • • • • 2,625 5 20 Naples www.MoranEdwards.com
David Fox Morgan Stanley Wealth Mgmt (561) 393-1516 / david.h.fox@morganstanley.com • • • • 1,600 4 10 BocaRaton www.morganstanleyfa.com/foxteamsb/groupdetail.htm
Neil A. Fox Morgan Stanley Wealth Mgmt (561) 393-1513 / neil.a.fox@morganstanley.com • • • • 1,600 4 10 BocaRaton www.morganstanleyfa.com/foxteamsb/groupdetail.htm
Ernie Garcia Morgan Stanley Wealth Mgmt (941) 364-7405 / ernie.b.garcia@morganstanley.com • • • 334 3 7.5 Sarasota www.morganstanleyfa.com/ernie_garcia
Eric Glasband Merrill Lynch Wealth Mgmt (561) 361-3437 / eric.glasband@ml.com • • • • • • 491 2.8 10 BocaRaton www.fa.ml.com/gs
William King Merrill Lynch Wealth Mgmt (212) 382-8515 / William_W_King@ml.com • • • • • 1,593 5 10 VeroBeach fa.ml.com/KingGroup
Michael McCain WellsFargoAdvisors (239) 254-2206 / michael.mccain@wfadvisors.com • • • 1,084 5 8 Naples home.wellsfargoadvisors.com/michael.mccain
Raymond McGovern Merrill Lynch Wealth Mgmt (850) 864-6114 / raymond_mcgovern@ml.com • • • • • • 551 2.25 5 FortWaltonBeach www.fa.ml.com/mcgovern_group
William Merriam Merrill Lynch Wealth Mgmt (904) 218-5931 / william_h_merriam@ml.com • • • • • • 660 1.7 5 Jacksonville www.fa.ml.com/bill_merriam
Mark Miller Merrill Lynch Wealth Mgmt (561) 416-4629 / mark_m_miller@ml.com • • • 633 0.8 3 BocaRaton fa.ml.com/mark_miller
Thomas Moran WellsFargoAdvisors (239) 254-2200 / thomas.moran@wfadvisors.com • • • • • 2,625 5 20 Naples www.MoranEdwards.com
Charles Mulfinger II Graystone Consulting (813) 227-2061 / charles.mulfinger.ii@msgraystone.com • • • • 3,501 3.9 7 Tampa www.morganstanleygc.com/gctampa/
DISTRICTO
FCOLUMBIA
FLORIDA
Name Firm/City Phone, E-Mail & Website
B A R R O N ’ S • SpeciAl AdveRtiSiNg SectiON
Updated as of April 25, 2014
Reta
il
(Up
to $
1 m
il)Hi
gh N
et W
orth
($1-
10 m
il)
Foun
datio
ns
Endo
wm
ents
Inst
itutio
nal
Team
Tota
l As
sets
($m
il)
Typi
cal A
ccou
nt
Size
($m
il)
Typi
cal N
et
Wor
th ($
mil)
directory of Barron’s-Ranked Financial Advisors
Ultr
a-Hi
gh N
et W
orth
($10
mil+
)
Michael Nickler Morgan Stanley Wealth Mgmt (561) 822-4955 / michael.nickler@morganstanley.com • • • $930 $5 $10 WestPalmBeach www.morganstanley.com/fa/thenicklergroup
Scott Pinkerton WellsFargoAdvisors (941) 408-8557 / scott.pinkerton@wfadvisors.com • • • • • 608 2 4.5 Venice www.pinkertonwmg.com
Andrew Schultz Morgan Stanley Wealth Mgmt (305) 695-6116 / andrew.schultz@morganstanley.com • • 640 5 10 MiamiBeach www.morganstanleyfa.com/theschultzgroup
Mickey Silverman RaymondJames (800) 327-1055 / mickey.silverman@raymondjames.com • • • 1,150 5 30 BocaRaton www.raymondjames.com/silvermangroup
Dustin Smith UBS Financial Services (239) 254-7122 / Dustin.Smith@ubs.com • • • • 240 1 5 Naples www.ubs.com/team/smithwmg
Kurt Sylvia UBS PWM (561) 659-9526 / kurt.sylvia@ubs.com • • • • 1,420 20 45 PalmBeach www.ubs.com/fa/kurtsylvia
Sal Tiano J.P.MorganSecurities (561) 694-5600 / sal.tiano@jpmorgan.com • • 900 8 25 PalmBeachGardens www.jpmorgansecurities.com/tianogroup
Marc Walters Morgan Stanley Wealth Mgmt (813) 227-2034 / marc.walters@morganstanley.com • • • 604 1.5 2 Tampa www.morganstanleyfa.com/thewaltersgroup
Faith Read Xenos Singer Xenos Wealth Mgmt (305) 443-0060 / fxenos@singerxenos.com • • • • • 1110 2 7 CoralGables www.singerxenos.com/pages/advisors/AdvFRXenos.html
Roger S. Green CeteraAdvisorsLLC (770) 931-1414 / roger.green@rogersgreen.com • • 360 0.32 0.55 Duluth www.rogersgreen.com
Rod Westmoreland Merrill Lynch PBIG (404) 264-2066 / rod_westmoreland@ml.com • • 3,082 20 40 Atlanta pwa.ml.com/westmorelandgroup
Raj Bhatia Merrill Lynch PBIG (312) 325-2676 / raj_bhatia@ml.com • • 1,382 15 20 Chicago www.pwa.ml.com/bhatiagroup
Kyle Chudom Morgan Stanley Wealth Mgmt (630) 573-9680 / kyle.chudom@ms.com • • • 655 1 2.5 OakBrook www.chudomhayes.com
Ted Davis UBS Financial Services (630) 572-4060 / ted.davis@ubs.com • • 560 1.3 2 OakbrookTerrace www.ubs.com/team/daviswmg
Brad DeHond Morgan Stanley PWM (312) 706-4517 / brad.dehond@morganstanley.com • • • • • 2,153 30 40 Chicago www.morganstanleypwa.com/mspwmchicago-mdm
William Easom Morgan Stanley Wealth Mgmt (312) 648-3471 / william.h.easom@ms.com • • • 2,248 1.2 1.75 Chicago www.morganstanleyfa.com/hoffmanneasomlannan
Daniel Fries Merrill Lynch Wealth Mgmt (312) 696-2121 / daniel.fries@ml.com • • • 655 1.8 3.5 Chicago
Steven Hefter WellsFargoAdvisors (847) 405-7300 / steven.hefter@wellsfargoadvisors.com • • • 4,050 10 30 Deerfield www.hlmcapital.com
Sean Lannan Morgan Stanley Wealth Mgmt (312) 648-3471 / sean.k.lannan@morganstanley.com • • 2,248 1.2 1.75 Chicago www.morganstanleyfa.com/hoffmanneasomlannan
Scott Magnesen Morgan Stanley Wealth Mgmt (630) 573-9694 / scott.magnesen@morganstanley.com • • • 2,085 1 3 OakBrook www.morganstanleyfa.com/thempwgroup/
James Moriarity Morgan Stanley PWM (312) 706-4572 / james.moriarity@morganstanley.com • • • • • 2,153 30 40 Chicago www.morganstanleypwa.com/mspwmchicago-mdm
James Oberheide Morgan Stanley PWM (312) 443-6090 / james.oberheide@morganstanleypwm.com • • • 1,495 35 50 Chicago www.morganstanleyfa.com/theoberheidegroup
Sharon Oberlander Merrill Lynch Wealth Mgmt (312) 696-7620 / s_oberlander@ml.com • • • 961 3 12 Chicago www.fa.ml.com/oberlandergroup
Maureen Raihle Merrill Lynch PBIG (312) 325-2635 / maureen_raihle@ml.com • • • 4,819 35 65 Chicago www.pbig.ml.com/pwa/pages/verbockel.aspx
David Sheppard Merrill Lynch Wealth Mgmt (847) 550-7878 / David_N_Sheppard@ml.com • • • 489 3.5 5 DeerPark fa.ml.com/SheppardGroup
Ronald Stenger Morgan Stanley Wealth Mgmt (630) 573-9676 / ronald.stenger@morganstanley.com • • 458 1 3 OakBrook www.retirementnavigationprocess.com
FLORIDA
GA.
ILLINOIS
Name Firm / City Phone, E-Mail & Website
B A R R O N ’ S • SpeciAl AdveRtiSiNg SectiON
Updated as of April 25, 2014
directory of Barron’s-Ranked Financial Advisors
Typi
cal N
et
Wor
th ($
mil)
Typi
cal A
ccou
nt
Size
($m
il)
Team
Tota
l As
sets
($m
il)
Reta
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(Up
to $
1 m
il)
Ultr
a-Hi
gh N
et W
orth
($10
mil+
)
High
Net
Wor
th
($1-
10 m
il)
Inst
itutio
nal
Foun
datio
ns
Endo
wm
ents
Mark Thorndyke Merrill Lynch Wealth Mgmt (312) 696-7645 / mark_w_thorndyke@ml.com • • • $821 $4 $7 Chicago fa.ml.com/thorndyke_group
John Ver Bockel Merrill Lynch PBIG (312) 325-2634 / john_verbockel@ml.com • • • 4,819 35 65 Chicago www.pbig.ml.com/pwa/pages/verbockel.aspx
Thomas Buck Merrill Lynch Wealth Mgmt (800) 748-9794 / thomas_j_buck@ml.com • • • • 1,162 7 10 Indianapolis www.fa.ml.com/thomas_j_buck
Eric Payne Merrill Lynch Wealth Mgmt (317) 706-3160 / eric_payne@ml.com • • • • • 1,530 3.5 7.5 Indianapolis www.payneandmenciasgroup.com
Tom Anderson Morgan Stanley Wealth Mgmt (319) 743-6074 / thomas.anderson@morganstanley.com • • • 459 3 5 CedarRapids www.ms.com/fa/theandersongroup
Matthew Fryar WellsFargoAdvisors (515) 245-3120 / matthew.r.fryar@wellsfargo.com • • • 562 4 5 Des Moines
Keith Swanson Morgan Stanley PWM (515) 224-5501 / keith.k.swanson@morganstanleypwm.com • • • 604 5.5 15 WestDesMoines www.morganstanleypwa.com/swanson
Kevin Timmerman Steele Capital Mgmt (800) 397-2097 / kevin@steelecapital.com • • • 1,400 0.75 2 Dubuque www.steelecapital.com
Barry Barlow Merrill Lynch Wealth Mgmt (502) 329-5097 / barry_barlow@ml.com • • • • 557 3 7 Louisville www.fa.ml.com/b_barlow
James Spiro Morgan Stanley Wealth Mgmt (504) 585-3973 / james.m.spiro@morganstanley.com • • • 1,220 0.75 2 NewOrleans www.morganstanleyfa.com/spirogroup/
Jeremiah Burns Morgan Stanley Wealth Mgmt (207) 871-7373 / jeremiah.burns@morganstanley.com • • • • • 450 7.5 10 Portland www.morganstanley.com/fa/jeremiah.burns
Larry Boggs WellsFargoAdvisors (301) 724-2660 / larry.d.boggs@wfadvisors.com • • • 1,048 3 5 Cumberland www.home.wellsfargoadvisors.com/larry.d.boggs
Robert Collins WellsFargoAdvFinNetwork (301) 915-9630 / Robert.Collins@wfafinet.com • • • 653 2.5 6 Bethesda www.collinsinvestmentgroup.com
Barry Garber Deutsche Asset & Wealth Mgt (410) 895-3971 / barry.l.garber@db.com • • • • • 2,100 15 25 Baltimore
Tom Hill Morgan Stanley Wealth Mgmt (410) 822-3400 / thomas.e.hill@ms.com • • • • 980 3 10 Easton www.morganstanleyfa.com/thehillgroup
Jim Holzapfel WellsFargoAdvisors (800) 388-1248 / James.Holzapfel@WFAdvisors.com • • • • • 681 1.5 3.5 Hagerstown Home.WellsFargoAdvisors.com/James.Holzapfel
Brian Kroneberger Jr. RBCWealthMgmt (410) 316-5454 / brian.kroneberger@rbc.com • • • 1,173 2.5 4 HuntValley www.thedkhgroup.com
John Lynch RaymondJames (888) 465-8424 / john.lynch@lynchretirementgroup.com • • 493 1.5 5 Fulton www.lynchretirementgroup.com
James Meek Graystone Consulting (410) 736-5367 / james.k.meek@msgraystone.com • • • • • 1,274 12.66 18 Baltimore www.morganstanleygc.com/jkmeekgroup/
Kent Pearce Merrill Lynch Wealth Mgmt (410) 321-4340 / kent_pearce@ml.com • • • • • 1,059 7 20 Towson fa.ml.com/kent_pearce
E. Geoffrey Sella RaymondJames/SPCFinancial (301) 770-6800 / jsella@spcfinancial.com • • 565 0.74 0.96 Rockville www.spcfinancial.com
David Zier ConvergentWealthAdv (301) 770-6300 / Doug.Wolford@convergentwealth.com • • 10,945 26 67 Potomac www.convergentwealth.com
James Atwood Merrill Lynch PBIG (617) 946-4211 / james_atwood@ml.com • • 3,282 35 50 Boston pwa.ml.com/TheAtwoodGroup
Debra Brede D.K.BredeInvMgmt (781) 444-9367 / dkb@bredeinvestment.com • • • • 732 1 3 Needham www.bredeinvestment.com
Ross Dolgoff J.P.MorganSecurities (617) 654-2253 / ross.dolgoff@jpmorgan.com • • • • 2,900 5 7.5 Boston
Jamie Fagan J.P.MorganSecurities (617) 654-2000 / jamie.fagan@jpmorgan.com • • • • 1,400 11 25 Boston www.jpmorgansecurities.com/faganboshart
IND.
IOWA
KY.
LA.
ME.
MARYLAND
MA
SS
AC
HU
SE
TTS
Name Firm/City Phone, E-Mail & Website
B A R R O N ’ S • SpeciAl AdveRtiSiNg SectiON
Updated as of April 25, 2014
Reta
il
(Up
to $
1 m
il)Hi
gh N
et W
orth
($1-
10 m
il)
Ultr
a-Hi
gh N
et W
orth
($10
mil+
)
Foun
datio
ns
Endo
wm
ents
Inst
itutio
nal
Team
Tota
l As
sets
($m
il)
Typi
cal A
ccou
nt
Size
($m
il)
Typi
cal N
et
Wor
th ($
mil)
directory of Barron’s-Ranked Financial Advisors
B A R R O N ’ S • SpeciAl AdveRtiSiNg SectiON
Timothy Grimes Grimes (508) 366-3883 / advisors@grimesco.com • • • $1,674 $3.5 $7 Westborough www.grimesco.com
Susan Kaplan KaplanFinancialServices (617) 527-1557 / susan.kaplan@lpl.com • • • 1,500 3.5 10 Newton www.kaplan-financial.com
Stephen Kelliher Morgan Stanley Wealth Mgmt (877) 535-4437 / stephen.kelliher@ms.com • • • • • • 2,200 5 10 Norwell www.KelliherCorbettGroup.com
Victor Livingstone Morgan Stanley PWM (617) 478-6500 / Victor.Livingstone@morganstanleypwm.com • • • • 3,244 50 100 Boston www.morganstanley.com
Greg Miller WellesleyInvestmentAdv (781) 416-4000 / gregmiller@wia.cc • • • • • • 1,450 1.94 10 Wellesley www.wellesleyinvestment.com
Deborah Moses EatonVanceInvCounsel (617) 672-6199 / dmoses@eatonvance.com • 1200 36 46 Boston www.eatonvancecounsel.com
Peter Noonan J.P.MorganSecurities (617) 654-2318 / peter.noonan@jpmorgan.com • • 1,671 19 100 Boston
James Odorczuk J.P.MorganSecurities (617) 654-2252 / james.odorczuk@jpmorgan.com • • • 2,900 5 7.5 Boston
Raju Pathak Morgan Stanley Wealth Mgmt (617) 589-3373 / raju.pathak@morganstanley.com • • • • 1,181 5 15 Boston www.morganstanleyfa.com/pathakgroup
Raj Sharma Merrill Lynch PBIG (617) 946-8030 / raj_sharma@ml.com • • • • 6,899 10 15 Boston pwa.ml.com/sharma_group
Brian Strachan Morgan Stanley PWM (617) 570-9240 / Brian.S.Strachan@morganstanleypwm.com • • • 1,600 10 20 Boston www.morganstanleyfa.com/thestrachangroupsb
Jeffrey Fratarcangeli WellsFargoAdvisors (248) 385-5050 / Jeff.Fratarcangeli@wfafinet.com • • • • 431 8.5 26 BloomfieldHills www.jfratarcangeli.wfadv.com
Don B. Gill Jr. Morgan Stanley Wealth Mgmt (855) 258-1787 / don.gill@morganstanley.com • • • 709 2.5 4 Birmingham www.morganstanleyfa.com/thegillgroup/
Douglas Iles Merrill Lynch PBIG (888) 835-3192 / douglas_iles@ml.com • • • • • 554 5 20 Saginaw pwa.ml.com/the_iles_group
David Kudla Mainstay Capital Mgmt (866) 444-6246 / mainstay@mainstaycapital.com • • • 1,500 0.5 4 GrandBlanc www.mainstaycapital.com
John G. Kulhavi Merrill Lynch Wealth Mgmt (248) 737-6222 / john_kulhavi@ml.com • • • • 1,166 5 20 FarmingtonHills www.fa.ml.com/kulhavi
Leon LaBrecque LJPR (248) 641-7400 / leon.labrecque@ljpr.com • • • 638 0.45 1.2 Troy ljpr.com
Gary Ran Telemus Capital Partners (248) 827-0519 / telemus@telemuscapital.com • • • • 2,450 7 18 Southfield www.telemuscapital.com
Sherri Stephens RaymondJames (810) 732-7411 / sherri.stephens@raymondjames.com • • • 397 1.16 3 Flint www.stephenswealthmgtgroup.com
Leo Stevenson Merrill Lynch Wealth Mgmt (734) 324-3826 / leo_stevenson@ml.com • • • • 383 0.68 1.5 Wyandotte fa.ml.com/wyandottegroup
Charles Zhang ZhangFinancial (888) 777-0126 / charles.zhang@zhangfinancial.com • • • • 1,837 3 5 Portage www.zhangfinancial.com
Aaron M. Howe RBCWealthMgmt (952) 476-0555 / bigwatergroup@rbc.com • • • 449 2 8 Wayzata www.bigwatergroup.com
Bennett Marks MarksGroupWealthMgmt (952) 582-6100 / ben.marks@marksgroup.com • • • • • 526 2 5 Minnetonka www.marksgroup.com
Kurt Jaeger Morgan Stanley Wealth Mgmt (314) 982-0410 / kurt.a.jaeger@ms.com • • • 700 0.75 1 St.Louis www.morganstanleyfa.com/thejaegergroup
Robert Millner Morgan Stanley Wealth Mgmt (314) 889-9868 / robert.millner@morganstanley.com • • • 610 2 5 St.Louis www.morganstanley.com/fa/themillnergroup
Michael Moeller WellsFargoAdvisors (800) 866-2801 / mike.moeller@wfadvisors.com • • • • • 850 2 3 Chesterfield www.themoellergroup.net
MA
SS
AC
HU
SE
TTS
MIC
HIG
AN
MINN.
MO.
Name Firm / City Phone, E-Mail & Website
Updated as of April 25, 2014
Name Firm / City Phone, E-Mail & Website Re
tail
(U
p to
$1
mil)
High
Net
Wor
th
($1-
10 m
il)
Ultr
a-Hi
gh N
et W
orth
($10
mil+
)
Foun
datio
ns
Endo
wm
ents
Inst
itutio
nal
Team
Tota
l As
sets
($m
il)
Typi
cal A
ccou
nt
Size
($m
il)
Typi
cal N
et
Wor
th ($
mil)
directory of Barron’s-Ranked Financial Advisors
B A R R O N ’ S • SpeciAl AdveRtiSiNg SectiON
Robert Wamhoff WamhoffFinPlanning&Acct (636) 573-1212 / taxman@wamhoff.com • • $366 $0.4 $0.6 St.Charles www.wamhoff.com
Jonathan Beukelman UBS PWM (402) 328-2080 / jonathan.beukelman@ubs.com • • • • 869 5 15 Lincoln ubs.com/team/bgroup
Randy Garcia Investment Counsel (702) 871-8510 / randy@iccnv.com • • • • • 821 4 9 LasVegas www.iccnv.com
Robert Bonfiglio Ameriprise Financial (603) 606-4255 / robert.a.bonfiglio@ampf.com • • 214 0.5 1.5 Bedford www.bobbonfiglio.com
John F. Habig Morgan Stanley Wealth Mgmt (603) 422-8901 / john.f.habig@morganstanley.com • • • • 339 1 2.5 Portsmouth www.morganstanleyfa.com/habig
P. Kevin O’Brien WellsFargoAdvisors (603) 334-4032 / kevin.obrien@wellsfargoadvisors.com • • • 244 0.5 0.5 Portsmouth www.obrienwmg.com
James Barry Merrill Lynch Wealth Mgmt (609) 243-7976 / jim_barry@ml.com • • • • • 2,967 2.5 7.5 Princeton fa.ml.com/BARRY_TEAM
Bruce G. Barth Merrill Lynch Wealth Mgmt (973) 621-3324 / Bruce_G_Barth@ml.com • • • • • • 1,700 1.5 4 Newark www.fa.ml.com/BarthWolfCollinsGroup
Francis Bitterly Morgan Stanley Wealth Mgmt (732) 224-3754 / francis.g.bitterly@morganstanley.com • • • 450 2.5 5 RedBank www.morganstanleyfa.com/francisbitterly
Jack Burke Merrill Lynch Wealth Mgmt (973) 410-2309 / john_j_burke@ml.com • • • 1,977 5.5 10 FlorhamPark www.fa.ml.com/the_harbor_group
Anthony Coniglio Morgan Stanley Wealth Mgmt (732) 617-4101 / anthony.coniglio@morganstanley.com • • • 1,220 3 20 Morganville www.morganstanley.com/fa/anthony.coniglio
Mark Cortazzo MACROConsultingGroup (973) 451-9400 / info@macroconsultinggroup.com • • • 805 2.5 6.5 Parsippany www.macroconsultinggroup.com
Mary Deatherage Morgan Stanley PWM (973) 890-3015 / mary.m.deatherage@morganstanleypwm.com • • • • 2,000 10 20 LittleFalls www.morganstanleyfa.com/mary_deatherage
Mark Fendrick UBS Financial Services (856) 985-2070 / mark.fendrick@ubs.com • • • 522 2.5 4 Mt.Laurel www.ubs.com/team/fendrickgroup
Bruce Gsell Merrill Lynch Wealth Mgmt (800) 677-9405 / bruce_gsell@ml.com • • • • 5,591 25 20 Edison fa.ml.com/gsellgroup
Rick Kirkinis UBS Financial Services (973) 360-4210 / thesomersethillsgroup@ubs.com • • • • 1,610 5 10 FlorhamPark www.ubs.com/team/thesomersethillsgroup
Elliott Kugel Merrill Lynch Wealth Mgmt (908) 685-3252 / elliott_m_kugel@ml.com • • • 988 1.6 2.3 Bridgewater fa.ml.com/kugelbriegs
Joseph Lauricella Merrill Lynch Wealth Mgmt (800) 694-5340 / Joseph_Lauricella@ML.com • • • • 855 5 25 Montvale www.fa.ml.com/joseph_lauricella
Mark Lichtenfeld UBS PWM (973) 360-4369 / thesomersethillsgroup@ubs.com • • • 1,610 5 10.5 FlorhamPark www.ubs.com/team/thesomersethillsgroup
Gregory Makowski CFSInvestmentAdvSvcs (973) 826-8800 / greg@cfsias.com • • • • 700 2 5 Totowa www.cfsias.com
James Maltese Merrill Lynch Wealth Mgmt (800) 288-3249 / james_p_maltese@ml.com • • • 1,145 2 5 Edison www.fa.ml.com/maltesegroup
Stewart Massey Massey,Quick&Co.LLC (973) 525-1000 / partners@masseyquick.com • • • • 2,527 8.3 50 Morristown www.masseyquick.com
Christine McGinley UBS Financial Services (856) 985-2046 / christine.mcginley@ubs.com • • • 643 3 8 Mt.Laurel www.ubs.com/team/gmgroup
James McLaughlin RaymondJames (609) 750-3000 / jim.m.mclaughlin@raymondjames.com • • 967 3 10 Princeton www.raymondjames.com/princetonwealthadvisors/
Edward McNamee Morgan Stanley Wealth Mgmt (732) 389-8640 / edward.f.mcnamee@morganstanley.com • • • • 1,689 2 3 Shrewsbury www.morganstanleyfa.com/edward_mcnamee
Neil McPeak WellsFargoAdvisors (800) 527-4960 / neil.mcpeak@wfadvisors.com • • • • 750 1 5 Linwood www.mcpeakgroup.wfadv.com
NEB.
NEV.
N.H.
NEWJERSEY
Updated as of April 25, 2014
Name Firm / City Phone, E-Mail & Website Re
tail
(U
p to
$1
mil)
High
Net
Wor
th
($1-
10 m
il)
Ultr
a-Hi
gh N
et W
orth
($10
mil+
)
Foun
datio
ns
Endo
wm
ents
Inst
itutio
nal
Team
Tota
l As
sets
($m
il)
Typi
cal A
ccou
nt
Size
($m
il)
Typi
cal N
et
Wor
th ($
mil)
directory of Barron’s-Ranked Financial Advisors
B A R R O N ’ S • SpeciAl AdveRtiSiNg SectiON
Harris Nydick CFSInvestmentAdvSvcs (973) 826-8800 / harris@cfsias.com • • • • $700 $2 $5 Totowa www.cfsias.com
Nicholas A. Pascarella CeteraAdvisorsLLC (973) 428-3400 / nickp@npcofinancial.com • • 797 1 3.2 Parsippany www.npcofinancial.com
Michael Pron Merrill Lynch Wealth Mgmt (609) 243-7940 / michael_j_pron@ml.com • • • 586 2 5 Princeton www.fa.ml.com/pronhurst
Daniel Schwartz UBS PWM (201) 441-4963 / daniel.schwartz@ubs.com • • 1,121 10 20 Paramus www.ubs.com/team/thealfagroup
Todd Sherman Morgan Stanley Wealth Mgmt (888) 651-0085 / Todd.Sherman@MorganStanley.com • • • • 500 3 4 MountLaurel www.morganstanleyfa.com/shermansobin
Mark Tobias Morgan Stanley Wealth Mgmt (732) 435-2225 / Mark.S.Tobias@morganstanley.com • • • 800 2.5 8 NewBrunswick www.morganstanleyfa.com/thetobiasgroupsb
John Moore RaymondJames (505) 881-5100 / info@johnmoore.com • • • 389 1.5 3 Albuquerque www.johnmoore.com
Lewis Altfest AltfestPersonalWealthMgt (212) 406-0850 / inquiry@altfest.com • • • 1,002 1.9 4 NewYork www.altfest.com
Robert A. Clarfeld CLARFELD (914) 846-0100 / rob@clarfeld.com • • 4,530 20 60 Tarrytown www.clarfeld.com
Robert Cohen UBS Financial Services (516) 745-1891 / robert.d.cohen@ubs.com • • • • 579 2 5 Uniondale
Roger Coleman Morgan Stanley Wealth Mgmt (516) 227-5600 / roger.v.coleman@ms.com • • • • 22,630 25 50 GardenCity www.morganstanleyfa.com/colemangroup
Mark Donohue Morgan Stanley Wealth Mgmt (888) 270-0542 / mark.donohue1@morganstanley.com • • • • • 1,612 25 50 NewYork www.morganstanleyfa.com/donohue/
Marc R. Fischer Graystone Consulting (585) 389-2271 / marc.r.fischer@msgraystone.com • • • • • • 4,055 35 35 Rochester www.morganstanleyic.com/ftc
Gregg S. Fisher Gerstein Fisher (212) 968-0707 / info@gersteinfisher.com • • • • • • 2,797 1.4 3.2 NewYork gersteinfisher.com
M. Keefe Gorman Merrill Lynch Wealth Mgmt (800) 815-5796 / keefe_gorman@ml.com • • • • 2,079 8 17 Ithaca www.fa.ml.com/the_gorman_group
Harvey Kadden Morgan Stanley Wealth Mgmt (212) 883-7777 / Harvey.Kadden@morganstanley.com • • • • • • 2,400 5 25 NewYork www.morganstanleyfa.com/kpkgroup
Jonathan Kass Merrill Lynch Wealth Mgmt (800) 800-2280 / jonathan_e_kass@ml.com • • 3,491 8 25 NewYork www.fa.ml.com/KF_Group
Gerard Klingman Klingman&Associates,LLC (212) 867-7647 / gklingman@klingmanria.com • • 1,373 10 15 NewYork www.klingmanria.com
Jonathan Kuttin Ameriprise Financial (631) 770-0335 / jonathan.s.kuttin@ampf.com • • • 1,553 0.95 3.9 Melville kuttin-metiswealthmanagement.com
Christopher Mahoney Merrill Lynch Wealth Mgmt (845) 348-6903 / Christopher_j_Mahoney@ml.com • • • • 2,411 3 5 WestNyack fa.ml.com/mahoney_group
John Mirsepahi Morgan Stanley Wealth Mgmt (212) 492-6967 / john.mirsepahi@morganstanley.com • • • • • • 2,060 2 5 NewYork www.morganstanleyfa.com/thejmgroup
Daniel O’Connell Merrill Lynch Wealth Mgmt (516) 877-8316 / daniel_o’connell@ml.com • • • • • 1,461 9 15 GardenCity fa.ml.com/daniel_o_connell
Craig Pastolove Morgan Stanley Wealth Mgmt (212) 296-1026 / craig.pastolove@morganstanley.com • • • 1,351 4.5 10 NewYork www.morganstanleyfa.com/excelsiorwealthmanagement/
Geri Eisenman Pell Ameriprise Financial (914) 269-6732 / geri.e.pell@ampf.com • • • 1,017 1.5 3.5 RyeBrook geripell.com
Lyon Polk Morgan Stanley PWM (212) 893-6400 / lyon.polk@morganstanleypwm.com • • • • 7,000 25 50 NewYork www.morganstanleypwa.com/polkwealthmanagementgroup
Shawn Rubin Morgan Stanley Wealth Mgmt (212) 893-6322 / shawn.a.rubin@ms.com • • 1,406 5 10 NewYork www.morganstanleyfa.com/theabacusgroup
NEWJERSEY
N.M
.NEWYORK
Updated as of April 25, 2014
Name Firm / City Phone, E-Mail & Website Re
tail
(U
p to
$1
mil)
High
Net
Wor
th
($1-
10 m
il)
Ultr
a-Hi
gh N
et W
orth
($10
mil+
)
Foun
datio
ns
Endo
wm
ents
Inst
itutio
nal
Team
Tota
l As
sets
($m
il)
Typi
cal A
ccou
nt
Size
($m
il)
Typi
cal N
et
Wor
th ($
mil)
directory of Barron’s-Ranked Financial Advisors
B A R R O N ’ S • SpeciAl AdveRtiSiNg SectiON
Frank J. Sabia UBS Financial Services (914) 287-6010 / frank.sabia@ubs.com • • • • $2,233 $7 $20 WhitePlains www.ubs.com/fa/franksabia
Richard Saperstein TreasuryPartners/Hightower (917) 286-2777 / rsaperstein@treasurypartners.com • • 6,697 15 40 NewYork www.treasurypartners.com
Evan Steinberg Morgan Stanley Wealth Mgmt (212) 893-7501 / evan.steinberg@ms.com • • • 1,500 7 10 NewYork
Lori Van Dusen LVWAdvisors,LLC (585) 267-4900 / lvwadvisors@lvwadvisors.com • • • • • 3,033 50 75 Pittsford www.lvwadvisors.com
Ron Vinder UBS Financial Services (212) 333-8852 / ron.vinder@ubs.com • • • • 3,800 25 100 NewYork financialservicesinc.ubs.com/fa/ronvinder/
Judith L. Werbitt Merrill Lynch Wealth Mgmt (914) 682-5565 / judith_werbitt@ml.com • • • • 738 3.5 10 WhitePlains fa.ml.com/WCG
Todd Yannuzzi Morgan Stanley Wealth Mgmt (212) 296-1051 / todd.yannuzzi@ms.com • • • • • 2,204 10 20 NewYork www.morganstanleyfa.com/yannuzzi
Lee Bryan III Deutsche Asset & Wealth Mgt (336) 727-4295 / lee.bryan@db.com • • • • • 3,969 20 40 Winston-Salem
Christopher Davis WellsFargoAdvisors (704) 655-7696 / chris.davis@wfadvisors.com • • 1,231 0.75 2.5 Davidson www.davidsonwealthmgt.com
Erick J. Ellsweig Merrill Lynch Wealth Mgmt (336) 574-8271 / erick_ellsweig@ml.com • • 577 3 5 Greensboro fa.ml.com/kmandassociates
Michael Lappin UBS Financial Services (919) 785-3711 / michael.lappin@ubs.com • • • 574 4.5 7 Raleigh ubs.com/team/eubankslappingroup
Sam Rankin UBS Financial Services (704) 362-8282 / mason.rankin@ubs.com • • • • • 900 1 5 Charlotte ubs.com/team/rankin
Stephen Thomas LindenThomas&Company (704) 554-8150 • • • • • • 1,007 3 5 Charlotte www.LindenThomas.com
Randy Carver RaymondJames (440) 974-0808 / randy.carver@raymondjames.com • • • 889 0.8 1.5 Mentor www.carverfinancialservices.com
Charles Dankworth UBS Financial Services (614) 939-2202 / charles.dankworth@ubs.com • • 961 5 10 NewAlbany www.ubs.com/team/thedankworthgroup
Joseph Evelo Merrill Lynch PBIG (513) 579-3882 / joseph_evelo@ml.com • • 2,182 15 25 Cincinnati pwa.ml.com/evelosingersullivan
Craig Findley UBS Financial Services (419) 318-5500 / craig.findley@ubs.com • • • • • • 1,600 2.5 5 Sylvania ubs.com/findleywisewealthmanegement
Thomas Haught SequoiaFinancialAdv (330) 375-9480 / info@sequoia-financial.com • • • • 1,499 1 3.5 Akron www.sequoia-financial.com
Kevin Myeroff NCA Financial Planners (440) 473-1115 / kmyeroff@ncafinancial.com • • • • • 1,107 1.5 2.5 Cleveland ncafinancial.com
Daniel Roe BudrosRuhlin&Roe (614) 481-6900 / daniel.roe@b-r-r.com • • • 1,809 3.5 4.5 Columbus www.b-r-r.com
Chris Meyers UBS Financial Services (405) 302-1930 / christopher.k.meyers@ubs.com • • • • • • 370 2 10 OklahomaCity ubs.com/team/meyerswealth
Charlene Carter RaymondJames (541) 683-2900 / charlene@carterandcarter.com • • • 271 1.5 2 Eugene www.carterandcarter.com
Robert Boland RBCWealthMgmt (215) 557-1702 / robert.boland@rbc.com • • • • 943 6.9 20 Philadelphia www.bolandinvestmentgroup.com
Patricia C Brennan KeyFinancialInc (610) 429-9050 / pbrennan@keyfinancialinc.com • • 467 1.5 2.5 WestChester www.keyfinancialinc.com
William H. Brown, Jr. Merrill Lynch Wealth Mgmt (800) 291-4403 / william_brownjr@ml.com • • • 851 2 5 Sewickley www.fa.ml.com/brownhurray
Joseph Flotteron Merrill Lynch Wealth Mgmt (800) 477-4675 / joseph_flotteron@ml.com • • • • 381 1.5 5 Yardley fa.ml.com/the_flotteron_group
NEWYORK
NORTHCAROLINA
OHIO
OKLA
.ORE.
PA.
Updated as of April 25, 2014
Name Firm / City Phone, E-Mail & Website Re
tail
(U
p to
$1
mil)
High
Net
Wor
th
($1-
10 m
il)
Ultr
a-Hi
gh N
et W
orth
($10
mil+
)
Foun
datio
ns
Endo
wm
ents
Inst
itutio
nal
Team
Tota
l As
sets
($m
il)
Typi
cal A
ccou
nt
Size
($m
il)
Typi
cal N
et
Wor
th ($
mil)
directory of Barron’s-Ranked Financial Advisors
B A R R O N ’ S • SpeciAl AdveRtiSiNg SectiON
Barbara Hudock HudockMoyerWealthRes (866) 855-0569 / Bhudock@hudockmoyer.com • • • • $494 $3 $5 Williamsport www.hudockmoyer.com
John J. Parker, Sr. WellsFargoAdvisors (215) 564-8487 / john.j.parker@wfadvisors.com • • • 1,430 1.5 5 Philadelphia home.wellsfargoadvisors.com/john.j.parker
Herman Rij Merrill Lynch Wealth Mgmt (610) 297-9507 / herman_i_rij@ml.com • • • 795 8 10 Bethlehem fa.ml.com/rij.cort.lannon
John Solis-Cohen WellsFargoAdvisors (215) 572-4276 / john.solis-cohen@wfadvisors.com • • • 800 3 5 Jenkintown home.wellsfargoadvisors.com/john.solis-cohen
Samuel Spanos Merrill Lynch Wealth Mgmt (800) 813-5191 / samuel_spanos@ml.com • • • 516 0.75 2 Beaver www.fa.ml.com/spanosgroup
D. Scott Wisman Merrill Lynch Wealth Mgmt (610) 594-1186 / scott_wisman@ml.com • • • 801 2.5 4 Exton fa.ml.com/wisman_willisgroup
Malcolm A. Makin RaymondJames (401) 596-2800 / mmakin@ppgadvisors.com • • • • • 838 1.5 3.5 Westerly ppgadvisors.com
Matthew A. Young RichardC.Young&Co.,LTD. (888) 456-5444 / info@younginvestments.com • • • 960 1.73 5 Newport www.younginvestments.com
Derrick Sullivan Morgan Stanley Wealth Mgmt (843) 727-7771 / derrick.a.sullivan@morganstanley.com • • • • • • 615 4 50 Charleston
David Olson Merrill Lynch Wealth Mgmt (605) 335-0515 / david_r_olson@ml.com • • • • 452 1.5 5 SiouxFalls www.fa.ml.com/david_r_olson
Christi Edwards Morgan Stanley Wealth Mgmt (615) 298-6554 / christi.edwards@ms.com • • 577 3 8 Nashville www.morganstanleyfa.com/christi.edwards/
Samuel H. Oakley SunTrust Investment Svcs (615) 279-0252 / sam.oakley@suntrust.com • • 478 0.8 1.75 Nashville www.suntrust.com/PeopleFinder/sam.oakley
Tim Roberson Merrill Lynch Wealth Mgmt (615) 778-7610 / tim_roberson@ml.com • • 846 4.34 5 Franklin fa.ml.com/robersonthompson
James Coffee Merrill Lynch Wealth Mgmt (713) 658-1386 / james_coffeejr@ml.com • • • 2,885 5 7 Houston www.fa.ml.com/james_coffeejr
William Corbellini Merrill Lynch PBIG (214) 303-5810 / william_corbellini@ml.com • • 2,237 15 25 Dallas www.pwa.ml.com/ce_group
John Merrill TanglewoodWealthMgmt (713) 840-8880 • • • 806 2.5 5 Houston www.tanglewoodwealth.com
Lewis Metzger Morgan Stanley Wealth Mgmt (713) 968-3001 / Lewis.Metzger@morganstanley.com • • • 1,135 3.5 5 Houston www.morganstanleyfa.com/themetzgergroup/
Marie Moore Morgan Stanley Wealth Mgmt (214) 696-7175 / marie.a.moore@ms.com • • • 350 5 15 Dallas www.morganstanleyfa.com/themooregroup
Darrell Pennington Ameriprise Financial (713) 332-4422 / Darrell.R.Pennington@ampf.com • • 2,473 1.5 2.5 Houston PenningtonWealthManagement.com
Richard Piatas Merrill Lynch Wealth Mgmt (972) 386-1349 / richard.piatas@ml.com • • • • 1,901 10 20 Dallas www.fa.ml.com/richard.piatas
Scott Tiras Ameriprise Financial (713) 332-4400 / scott.b.tiras@ampf.com • • • 2,473 2 3.5 Houston www.tiraswealth.com
Tim Stotz Morgan Stanley Wealth Mgmt (802) 863-7709 / timothy.stotz@morganstanley.com • • • • • • 557 2 3 Burlington www.morganstanleyfa.com/thestotzgroup
Garret Alcaraz WellsFargoAdvisors (757) 431-6375 / gary.alcaraz@wfadvisors.com • • • • • • 1,400 1 5 VirginiaBeach www.amwgroup.afav.com
Stephan Cassaday Cassaday&Co. (703) 506-8200 / steve@cassaday.com • • • 1,316 1.3 2 McLean www.cassaday.com
Lee Corey Morgan Stanley Wealth Mgmt (703) 535-8375 / lee.corey@morganstanley.com • • • • • 457 1.75 5.76 Alexandria www.morganstanleyfa.com/thecoreygroup
Scott George MasonInvestmentAdvSvcs (703) 716-6000 / sgeorge@masoncompanies.com • • • 3,807 5.5 10 Reston www.masoncompanies.com
PENNSYLVANIA
R.I.
S.C.
S.D.
TENN.
TE
XA
SVT.
VIRGINIA
Updated as of April 25, 2014
Name Firm / City Phone, E-Mail & Website Re
tail
(U
p to
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Wor
th
($1-
10 m
il)
Ultr
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)
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Tota
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($m
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mil)
directory of Barron’s-Ranked Financial Advisors
B A R R O N ’ S • SpeciAl AdveRtiSiNg SectiON
Barry Glassman Glassman Wealth Svcs (703) 534-4444 / lisa@glassmanwealth.com • • • $674 $6 $8 McLean www.glassmanwealth.com
Jeff LeClair WellsFargoAdvisors (706) 760-5717 / jeff.leclair@wellsfargo.com • • • • • • 1,325 5 20 McLean www.leclairlemlihapproach.com
Joseph Montgomery WellsFargoAdvisors (888) 465-8422 / joe.montgomery@wellsfargoadvisors.com • • • • • 15,408 7 15 Williamsburg www.osg.wfadv.com
Paul Pagnato HighTower (703) 468-2700 / PKG@HighTowerAdvisors.com • • • 2,101 25 40 Reston www.HighTowerAdvisors.com/Pagnato-Karp-Group
Dalal Salomon WellsFargoAdvFinNetwork (877) 977-2635 / info@salomonludwin.com • • 675 3 4 Richmond www.salomonludwin.com
David Speck WellsFargoAdvisors (703) 739-4548 / david.speck@wfadvisors.com • • • • • • 1,445 1.4 2.5 Alexandria www.speckcaudron.com
Greg Sullivan SBSB (703) 734-9322 / greg.sullivan@sbsbinc.com • • • • • 2,560 5 10 McLean www.sbsbinc.com
Michael Ernst Morgan Stanley Wealth Mgmt (425) 453-5833 / michael.j.ernst@morganstanley.com • • • 1,150 1 5 Bellevue www.morganstanleyfa.com/northwestcapitalgroupsb
James Ferguson Morgan Stanley Wealth Mgmt (425) 451-1510 / james.b.ferguson@morganstanley.com • • • 1,248 12 28 Bellevue www.morganstanleyfa.com/gateway/
Lawrence Hood PacificPortfolio (800) 249-6426 / larry@pacific-portfolio.com • • • • • 2,664 10 20 Seattle www.pacific-portfolio.com
Randall Linde Ameriprise Financial (800) 563-1636 / randall.s.linde@ampf.com • • 1,220 0.5 1.2 Renton www.agpwealthadvisors.com
Michael Matthews UBS Financial Services (425) 451-2350 / m.matthews@ubs.com • • • 530 3 4 Bellevue www.ubs.com/fa/mmatthews
Erik Morgan Freestone Capital Mgmt (206) 398-2006 / erik@freestonecapital.com • • • 2,640 6 10 Seattle www.freestonecapital.com
Erin Scannell Ameriprise Financial (425) 709-2345 / erin.j.scannell@ampf.com • • • • 650 1.5 3 MercerIsland www.ameripriseadvisors.com/erin.j.scannell/
Kathleen Weber Morgan Stanley Wealth Mgmt (425) 451-3320 / kathleen.l.weber@morganstanley.com • • • 685 5 8 Bellevue www.morganstanleyfa.com/weber
Fred Scheeren WellsFargoAdvisors (304) 234-6032 / fred.scheeren@wfadvisors.com • • • • 495 0.9 3 Wheeling www.wfadvisors.com/fred.scheeren
Andrew Burish UBS Financial Services (608) 831-4282 / andrew.burish@ubs.com • • • 2,577 2 3 Madison www.ubs.com/team/burishgroup
Thomas Parks Graystone Consulting (414) 226-3157 / thomas.w.parks@msgraystone.com • • • 5,253 85 85 Milwaukee www.msgraystone.com/tomparks
Christopher Walton Morgan Stanley Wealth Mgmt (307) 673-7905 / Christopher.Walton@MorganStanley.com• • • 213 5 5 Sheridan www.morganstanleyfa.com/christopher.walton
VIRGINIA
WASHINGTON
W.VA
WIS.
WYO.
Barron’s-ranked advisors who wish to appear in this section or have questions should contact Rob Walkley at 609-520-7184
or robert.walkley@dowjones.com.
Updated as of April 25, 2014
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