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

Nam

e

Com

pany

City

Reta

il

HN

W*

Ult

ra-H

NW

**

Inst

itut

iona

l

ALABAMA

Ameriprise Financial Birmingham

ARIZONA

Bancroft, Robert J. Morgan Stanley Private Wealth Management Scottsdale

Harnden, Stephen P. Ameriprise Financial Peoria

Tocco, Judith A. Tocco Financial Services / LPL Financial Tucson

CALIFORNIA

Abrams, Michael L. Wells Fargo Advisors Palo Alto

Morgan Stanley Wealth Management Westlake Village

Arbogast, Peter V. Merrill Lynch – Private Banking & Investment Group San Francisco

Blanchfield, Tom Merrill Lynch – Private Banking & Investment Group Newport Beach

Bubb, Kerrick W. KWB Wealth Managers Group / LPL Financial Redlands

Burbank, Mike Morgan Stanley Private Wealth Management San Francisco

Chiate, Craig S. UBS Financial Services Los Angeles

Choi, Horacio A. Wells Fargo Advisors Irvine

Corradini, Drew J.P. Morgan Securities San Francisco

Curtis, Mark T. Graystone Consulting Palo Alto

daRoza, Tony Merrill Lynch – Private Banking & Investment Group San Francisco

Fagersten, Marcus C. UBS Financial Services San Francisco

Genovese, Michael T. Genovese Burford & Brothers Sacramento

Gluck, Tracey J.P. Morgan Securities Los Angeles

Goldstein, Adam S. Ameriprise Financial Calabasas

Griepp, Troy Morgan Stanley Private Wealth Management San Francisco

Guimarin, Alma Morgan Stanley Wealth Management San Jose

Hafeli, Scott Morgan Stanley Private Wealth Management San Francisco

Hogan, Richard Merrill Lynch – Private Banking & Investment Group San Francisco

Jones, Richard B. Merrill Lynch – Private Banking & Investment Group Los Angeles

Jorgensen, Debbie Merrill Lynch Wealth Management San Francisco

Kelly, Inna Morgan Stanley Wealth Management San Francisco

Lee, Grant Morgan Stanley Private Wealth Management San Francisco

Malone III, Francis X. Morgan Stanley Private Wealth Management Los Angeles

McClellan, Ryan A. UBS Financial Services Los Angeles

McDonald, Karen Morgan Stanley Wealth Management Palo Alto

Milia, John Wells Fargo Advisors Irvine

Morgan, Mark S. Morgan Stanley Wealth Management Folsom

Munster, Bruce Merrill Lynch – Private Banking & Investment Group Los Angeles

Neuhaus, Jon Morgan Stanley Private Wealth Management Los Angeles

Onken, Greg J.P. Morgan Securities San Francisco

Osborne, Dan R. Merrill Lynch Wealth Management San Francisco

Papadoyannis, George Ameriprise Financial San Mateo

Morgan Stanley Private Wealth Management San Diego

Piepenkotter, Monica M. Merrill Lynch – Private Banking & Investment Group La Jolla

Reid, Gail D. Ameriprise Financial Glendale

Reilly, Sean M. Merrill Lynch Wealth Management San Francisco

Schulten, Mark The Schulten Group of Wells Fargo Advisors Long Beach

Schwarz, Donald L. RBC Wealth Management Beverly Hills

Shadden, John Morgan Stanley Private Wealth Management Long Beach

Smit, Bernard L. Walnut Creek Wealth Management / Cetera Advisor Networks Walnut Creek

Smith, Lawrence E. UBS Financial Services Brea

Morgan Stanley Private Wealth Management Menlo Park

Vaughan, Gregory V. Morgan Stanley Private Wealth Management Menlo Park

Wacker, Roger UBS Financial Services Los Angeles

Walsh, Daniel T. Merrill Lynch Wealth Management Menlo Park

Walters, Philip S. Wells Fargo Advisors Beverly Hills

Waxman, Scott Morgan Stanley Private Wealth Management San Francisco

Whitman, Alan B. Morgan Stanley Wealth Management Pasadena

Wolfslau, Karl W. Morgan Stanley Wealth Management Long Beach

Wong, Benjamin W. Viewpoint Financial Network Pleasanton

Young, Cheryl L. Morgan Stanley Wealth Management Los Gatos

Yu, Gillian Morgan Stanley Private Wealth Management San Francisco

Yu, Sean Morgan Stanley Private Wealth Management Pasadena

Zafari, Reza Merrill Lynch – Private Banking & Investment Group Los Angeles

Zanolli, Greg Wells Fargo Advisors Roseville

COLORADO

Brown, Mark R. Brown & Tedstrom, Inc. / LPL Financial Denver

Sparks, Scott G. Sparks Financial | Northwestern Mutual Wealth Mgmt. Co. Denver

CONNECTICUT

Anger, Nicholas RBC Wealth Management Stamford

Cerniglia, Jason Ameriprise Financial Mystic

Chieco, Peter Morgan Stanley Wealth Management Greenwich

Daoud, Nancy S. Ameriprise Financial Oxford

Dolgins, Ivan Merrill Lynch Wealth Management Stamford

Goodwin, Richard T. Merrill Lynch Wealth Management Madison

Gourd, William C. UBS Financial Services Stamford

Jacobsen, Teresa A. UBS Financial Services Stamford

Jones, Mark R. Ameriprise Financial Middlebury

Koeckert, Dodd N. RBC Wealth Management Stamford

Mantione, Thomas UBS Financial Services Stamford

Noble III, Charles J. Janney Montgomery Scott LLC New Haven

Vacheron, Thomas E. Merrill Lynch Wealth Management Fairfield

Wunder, Matthew S. Wunder Financial | Northwestern Mutual Wealth Mgmt. Co. Westport

DELAWARE

Orth, Kimberlee M. Ameriprise Financial Wilmington

DISTRICT OF COLUMBIA

Apton, Keith UBS Financial Services Washington

Carter, Murray Janney Montgomery Scott LLC Washington

UBS Financial Services Washington

FLORIDA

Barcena, Ignacio A. Wells Fargo Advisors Miami

Bober, Michael UBS Financial Services Boca Raton

Boyce, Hank UBS Financial Services Aventura

Bunge, Marcos G. Wells Fargo Advisors Miami

DeLappe, John M. Alex. Brown / Raymond James Miami

Dwyer, Patrick J. Merrill Lynch – Private Banking & Investment Group Miami

Economacos, Pierre Alex. Brown / Raymond James Miami

Edwards, Robert T. Wells Fargo Advisors Naples

Esses, Tony Wells Fargo Advisors Miami

Hoyt, William B. Raymond James St. Petersburg

Merriam III, William H. Merrill Lynch Wealth Management Jacksonville

Moran, Thomas Wells Fargo Advisors Naples

Pollock, Gregory Merrill Lynch Wealth Management Rockledge

Silver, Michael J. Baron Silver Stevens Financial Advisors, LLC Boca Raton

Simmons, Keith F. Merrill Lynch Wealth Management Miami

Starner, Margaret C. Raymond James Coral Gables

Sylvia, Kurt F. J.P. Morgan Securities Palm Beach Gardens

Thompson, Mark G. Raymond James Melbourne

Valdes, Michael J. Merrill Lynch – Private Banking & Investment Group Tampa

Ventrice, Ed UBS Financial Services Boca Raton

Wood, Paul S. Raymond James Orlando

GEORGIA

Hansberger, James C. Morgan Stanley Private Wealth Management Atlanta

Harbour, Andrew Graystone Consulting Atlanta

Jenkins, Brian G. J.P. Morgan Securities Atlanta

Lauer, Leslie A. UBS Financial Services Atlanta

Mericka, Keith A. UBS Financial Services Atlanta

Price, Vandyke G. UBS Financial Services Atlanta

Westmoreland, Rod Merrill Lynch – Private Banking & Investment Group Atlanta

Wiley, Buck Merrill Lynch – Private Banking & Investment Group Atlanta

ILLINOIS

Cutilletta, Patricia G. Morgan Stanley Wealth Management Chicago

Desai, Ajay UBS Financial Services Chicago

Garrity, Christopher Merrill Lynch Wealth Management Northbrook

Morgan Stanley Wealth Management Chicago

Hammond III, John L. Merrill Lynch Wealth Management Northbrook

Held, Richard M. UBS Financial Services Chicago

Lee, Bruce K. Merrill Lynch – Private Banking & Investment Group Chicago

Leshem, Benjamin Wells Fargo Advisors Highland Park

Lynch, Kevin R. Morgan Stanley Private Wealth Management Chicago

Magnesen, Scott K. Morgan Stanley Wealth Management Oak Brook

Maltby, Jay UBS Financial Services Chicago

Meyer, Douglas L. Wells Fargo Advisors Deerfield

Oberlander, Sharon Merrill Lynch Wealth Management Chicago

Sakach, Michael Graystone Consulting Chicago

Schuster, Scott Dashboard Wealth Advisors / Raymond James Oak Brook

Spahn, Kevin M. Spahn Financial | Northwestern Mutual Wealth Mgmt. Co. Lombard

Stevenson, Jr., John G. Wells Fargo Advisors Quincy

Watson, Philip J. Ameriprise Financial Downers Grove

White, Brett D. Ameriprise Financial Oakbrook Terrace

INDIANA

Cooke, Brian F. Cooke Financial Group at Noyes Indianapolis

Cooke, Christopher Cooke Financial Group at Noyes Indianapolis

Gregor, Martin Merrill Lynch – Private Banking & Investment Group Indianapolis

Moore, Christopher P. Ameriprise Financial Fort Wayne

Payne, Eric Merrill Lynch Wealth Management Indianapolis

Perkins, Ryan N. Ameriprise Financial Fort Wayne

Schutz, John L. Hilliard Lyons Evansville

Stscherban, Paul Baird Mishawaka

IOWA

Ameriprise Financial Fort Dodge

Swanson, Keith K. Morgan Stanley Private Wealth Management West Des Moines

KANSAS

Barry, Don Baird Wichita

Ewing, Paul W. Prosperity Advisory Group / Cetera Advisors Overland Park

Ferguson, Scott Morgan Stanley Wealth Management Leawood

KENTUCKY

Perrone, Thomas Morgan Stanley Wealth Management Louisville

LOUISIANA

Eustis, Curtis D. Merrill Lynch Wealth Management New Orleans

Frayard, Rick UBS Financial Services Lafayette

Spiro, James M. Morgan Stanley Wealth Management New Orleans

MARYLAND

Baker, Gregory Merrill Lynch Wealth Management Bethesda

Baum, Patricia P. RBC Wealth Management Annapolis

Etergino, Ann Marie RBC Wealth Management Chevy Chase

Giulieri, David L. Morgan Stanley Wealth Management Bethesda

Goldstein, Stephen M. Janney Montgomery Scott LLC Baltimore

Jackson, Margaret M. RBC Wealth Management Annapolis

Keetley, Richard A. Janney Montgomery Scott LLC Baltimore

Lee, Thomas P. Lee, Sipe and Associates / Raymond James Rockville

Murray, Jonathan P. UBS Financial Services Hunt Valley

Pearce, Kent V. Merrill Lynch Wealth Management Towson

SPC Financial, Inc. / Raymond James Rockville

MASSACHUSETTS

Bartholomew, Thomas J. Bartholomew & Company, Inc. Worcester

Brede, Debra K. D.K. Brede Investment Management Co., Inc. Needham

Fucigna, James Morgan Stanley Wealth Management Boston

Gage, Douglas Ameriprise Financial Auburndale

Javaheri, David R. Morgan Stanley Wealth Management Wellesley

Joyce, Mark S. Merrill Lynch Wealth Management Boston

Lechner IV, John Morgan Stanley Private Wealth Management Boston

Levsky, Adrian UBS Financial Services Springfield

McCauley, Paul J. Merrill Lynch – Private Banking & Investment Group Boston

McGuirk, Gary L. Merrill Lynch – Private Banking & Investment Group Boston

Miller, Richard R. Ameriprise Financial Wellesley

Mullin, Mary B. Merrill Lynch Wealth Management Boston

Noonan, Peter C. J.P. Morgan Securities Boston

Princi, Peter Graystone Consulting Boston

Sharma, Raj Merrill Lynch – Private Banking & Investment Group Boston

Sugar, Alex RBC Wealth Management Boston

Wilson, Daniel T. Ameriprise Financial Auburndale

MICHIGAN

Ferhadson, Kevin T. Ameriprise Financial Troy

Grace, Jamie The Grace Group of Wells Fargo Advisors Jackson

Long, Timothy J. Merrill Lynch Wealth Management Grand Rapids

Migliazzo, Frank Merrill Lynch – Private Banking & Investment Group Troy

Rosloniec, Michael Graystone Consulting Grand Rapids

Vigi, Jon UBS Financial Services Birmingham

Wyman, Timothy W. Center for Financial Planning, Inc. / Raymond James Southfield

MINNESOTA

Baune, Brad Baune Financial | Northwestern Mutual Wealth Mgmt. Co. Mendota Heights

Close, Louis D. UBS Financial Services Minneapolis

Ameriprise Financial St. Louis Park

Eckerline, Peter Merrill Lynch Wealth Management Wayzata

Ehleringer, Randall D. Ameriprise Financial Rochester

Endersbe, Thomas A. Signature Wealth Management Duluth

Howe, Aaron M. RBC Wealth Management Wayzata

Major, Charles L. UBS Financial Services Minneapolis

Metcalf, Robert S. UBS Financial Services Minneapolis

Neuman, Rhett P. RBC Wealth Management Stillwater

Slaggie, Michael Slaggie Capital Group / Raymond James Winona

MISSISSIPPI

Minor, Douglas M. Raymond James Jackson

Mosby, Bill (Rush) UBS Financial Services Jackson

MISSOURI

Burke, Thomas Ameriprise Financial Chesterfield

Millner, Robert Morgan Stanley Wealth Management Clayton

Murray, Seth C. Ameriprise Financial Springfield

Underwood, Scott P. Socium Advisors | Northwestern Mutual Wealth Mgmt. Co. St. Louis

NEBRASKA

Harrison, Tim Harrison Financial Services | Northwestern Mutual Wealth Mgmt. Co. Omaha

Jacobitz, Andy J. RBC Wealth Management Omaha

Robinson, Andrew Morgan Stanley Wealth Management Omaha

NEVADA

Ameriprise Financial Henderson

NEW JERSEY

Andreach, Christopher M. RBC Wealth Management Red Bank

Burke, John B. Burke Financial / Raymond James Iselin

Deatherage, Mary M. Morgan Stanley Private Wealth Management Little Falls

Durso, Lawrence Morgan Stanley Wealth Management Red Bank

Fendrick, Mark UBS Financial Services Mt. Laurel

Kugel, Elliott Merrill Lynch Wealth Management Bridgewater

Maltese, James Merrill Lynch Wealth Management Iselin

Matina, Joseph UBS Financial Services Short Hills

McGinley, Christine UBS Financial Services Mt. Laurel

McLaughlin, James M. Princeton Wealth Advisors of Raymond James Princeton

McPeak, Neil P. McPeak Wealth Management Group of Wells Fargo Advisors Linwood

Ricca, Michael J. Morgan Stanley Wealth Management Florham Park

Riley, Jack R. UBS Financial Services Warren

Schwartz, Andy M. Bleakley Financial Group / LPL Financial Fairfield

Stern, Michael S. Wells Fargo Advisors Vineland

Udine, Richard D. Morgan Stanley Wealth Management Mt. Laurel

Weinerman, David S. Morgan Stanley Wealth Management Florham Park

NEW YORK

Bakshi, Vishal Merrill Lynch – Private Banking & Investment Group New York

Barrett, John C. Merrill Lynch Wealth Management New York

Beyer, David Morgan Stanley Wealth Management New York

Bickler, Eric A. UBS Financial Services White Plains

Bieber, David Morgan Stanley Private Wealth Management New York

Bodner, Eric S. Merrill Lynch – Private Banking & Investment Group New York

Borowsky, Peter N. UBS Financial Services New York

UBS Financial Services New York

Merrill Lynch – Private Banking & Investment Group New York

Burrows, Bruce A. Morgan Stanley Wealth Management Garden City

Canell, Jay J.P. Morgan Securities New York

Canell, Neil J.P. Morgan Securities New York

Cannataro, Louis S. Cannataro Park Avenue Financial | Northwestern Mutual Wealth Mgmt. Co. New York

Carter, Kenneth W. Wells Fargo Advisors New City

Chrys, Michael C. Merrill Lynch Wealth Management Latham

Cohen, Leigh Merrill Lynch – Private Banking & Investment Group New York

Cohen, Robert D. UBS Financial Services Garden City

Coyle III, John F. Morgan Stanley Private Wealth Management Garden City

Cuneo, Paul L. Merrill Lynch Wealth Management Great Neck

Detterick, Jim Graystone Consulting New York

DiScala, Todd Merrill Lynch Wealth Management New York

Dyer, Robert C. Merrill Lynch – Private Banking & Investment Group New York

Epstein, Adam F. UBS Financial Services New York

Ferreira, Artur UBS Financial Services New York

Gero, George RBC Wealth Management New York

Gully, Joshua P. Morgan Stanley Private Wealth Management New York

Halbfinger, Martin L. UBS Financial Services New York

Hart, Andrew Morgan Stanley Private Wealth Management New York

Karetsky, Marc Morgan Stanley Private Wealth Management New York

Kass, Jonathan Merrill Lynch Wealth Management New York

Katz, Jason M. UBS Financial Services New York

Kavallieratos, Nick Morgan Stanley Wealth Management New York

Kelton, Richard W. The Kelton Financial Group | Northwestern Mutual Wealth Mgmt. Co. Latham

UBS Financial Services New York

Kokubo, Sergio S. UBS Financial Services New York

Kolev, Bobby Morgan Stanley Wealth Management New York

Kraus, Andrew P. Merrill Lynch – Private Banking & Investment Group New York

Kuttin, Jonathan Ameriprise Financial Melville

Liebers, Lawrence C. Merrill Lynch Wealth Management New York

Malkin, Joshua D. Morgan Stanley Private Wealth Management New York

McGinty, Robert J. Merrill Lynch – Private Banking & Investment Group New York

Mellert, Douglas M. Merrill Lynch Wealth Management New York

Millman, Ira M. Morgan Stanley Wealth Management New York

Mitchell, Neil S. Morgan Stanley Private Wealth Management New York

Montaperto, Deborah D. Morgan Stanley Private Wealth Management New York

Myers, Jonathon L. Ameriprise Financial Vestal

Newman, William J. Northwestern Mutual Wealth Mgmt. Co. Albany

O’Connell, Daniel T. Merrill Lynch Wealth Management Garden City

Papandrea, Rocco Merrill Lynch Wealth Management New York

Pell, Geri E. Ameriprise Financial Rye Brook

Perkins, Howard Morgan Stanley Wealth Management Purchase

Peters, Kevin M. Morgan Stanley Wealth Management Purchase

Poppo, Michael F. UBS Financial Services New York

Rabito, Russell A. UBS Financial Services New York

Reali, Renato J. UBS Financial Services New York

Rosenthal, Peter W. UBS Financial Services Jericho

Saunders, Allen UBS Financial Services New York

Sax, Ben Merrill Lynch – Private Banking & Investment Group New York

UBS Financial Services Rochester

Schubach, Clark J.P. Morgan Securities New York

Schwartz, Daniel UBS Financial Services New York

Serure, Theodore J.P. Morgan Securities New York

Stackman, Scott UBS Financial Services New York

Sukhin, Andrew G. Morgan Stanley Wealth Management New York

Sullivan, Thomas E. Merrill Lynch Wealth Management Garden City

Temel, Charles S. UBS Financial Services New York

Tennant, Steven A. Tennant Financial | Northwestern Mutual Wealth Mgmt. Co. Ballston Lake

Trikha, Umesh K. Merrill Lynch Wealth Management New York

Waldele, Robert J. Merrill Lynch Wealth Management New York

Weil, Noel Merrill Lynch – Private Banking & Investment Group New York

Morgan Stanley Wealth Management New York

Zeller, Mark UBS Financial Services New York

Zipper, Adam J. J.P. Morgan Securities New York

NORTH CAROLINA

Cash, Gregory M. Merrill Lynch – Private Banking & Investment Group Charlotte

Graves, Kelly Carroll Financial / Cetera Advisor Networks Charlotte

Hoge, Brett W. BB&T Scott & Stringfellow Winston-Salem

Rakestraw, David W. BB&T Scott & Stringfellow Raleigh

Wickham, R. Mitchell Merrill Lynch – Private Banking & Investment Group Charlotte

NORTH DAKOTA

Melvie, Loren D. Ameriprise Financial Bismarck

OHIO

Carbetta, Paul C. Ameriprise Financial Worthington

Carver, Randy Carver Financial Services / Raymond James Mentor

Chornyak, Jr., Joseph A. Chornyak & Associates, Ltd. Columbus

Chornyak, Sr., Joseph A. Chornyak & Associates, Ltd. Columbus

Ellis III, David W. UBS Financial Services Cincinnati

Fish, Stephen J. UBS Financial Services Cincinnati

Holwadel, David K. Raymond James Cincinnati

Mauk, Robert A. Chornyak & Associates, Ltd. Columbus

Motta, Peter F. Merrill Lynch – Private Banking & Investment Group Columbus

Musser, Joseph M. Ameriprise Financial Canton

NCA Financial Planners Cleveland

Shendure, Ashok S. BDS Financial Network Solon

Shendure, Rajanee A. BDS Financial Network Solon

Singer, David L. Merrill Lynch – Private Banking & Investment Group Cincinnati

Torbeck, Daniel L. UBS Financial Services Cincinnati

OKLAHOMA

Brock, Brandt T. Ameriprise Financial Tulsa

OREGON

Gall, J. Charles RBC Wealth Management Portland

Kilkenny Hale, Kelly RBC Wealth Management Portland

PENNSYLVANIA

Brennan, Patricia C. Key Financial, Inc. West Chester

Jugan, AJ Ameriprise Financial Pittsburgh

Kron, David J. Kron & Polis Financial Group of Wells Fargo Advisors Philadelphia

Parker, Sr., John J. Wells Fargo Advisors Philadelphia

Petredis, Charles J. Petredis Investment Advisors of Wells Fargo Advisors Sewickley

Rimmel, James W. UBS Financial Services Pittsburgh

Rohr, Peter A. Merrill Lynch – Private Banking & Investment Group Philadelphia

Salmansohn, Eric Morgan Stanley Wealth Management Philadelphia

Sargent, Peter H. Janney Montgomery Scott LLC Yardley

Spanos, Samuel W. Raymond James Beaver

Wilding, James Confluence Financial Partners / Raymond James Pittsburgh

SOUTH CAROLINA

Vingi, Jr., Robert E. Wells Fargo Advisors Charleston

SOUTH DAKOTA

Hillard, David T. RBC Wealth Management Rapid City

Nelson, Todd Merrill Lynch Wealth Management Sioux Falls

Quello, Nathan S. Loft Advisors / Raymond James Sioux Falls

Wollman, Gordon Cornerstone Financial Solutions, Inc. / Raymond James Huron

TENNESSEE

Mayer, Ward Raymond James Memphis

Oakley, Samuel H. Raymond James / Pinnacle Asset Management Nashville

Roberson, Tim Merrill Lynch Wealth Management Brentwood

Smith, Trey SunTrust Investment Services, Inc. Nashville

Stein, Michael E. Wells Fargo Advisors Memphis

Williams, Jay W. UBS Financial Services Memphis

TEXAS

Acerra, Guy M. Ameriprise Financial San Antonio

Ardoyno, Matt (Toby) Merrill Lynch Wealth Management Fort Worth

Ashcroft, Richard W. Baird Houston

Barnes, David R. UBS Financial Services Dallas

Begay, Audree L. Ameriprise Financial Houston

Clements, Kevin M. Morgan Stanley Wealth Management Dallas

Merrill Lynch Wealth Management Houston

Dickey, Kevin T. Morgan Stanley Private Wealth Management Dallas

Duncan, Sharon B. Selah Financial Services Friendswood

Dziuk, Steve Ameriprise Financial San Antonio

Elias, Mark S. UBS Financial Services Houston

Gladstein, Mark B. Merrill Lynch Wealth Management Houston

Harrell, Bob Harrell Investment Partners of Raymond James Austin

Heuer, Susan Merrill Lynch Wealth Management Houston

Johri, Anupam (AJ) Morgan Stanley Wealth Management Dallas

Klenke, Allan J. UBS Financial Services Houston

Knox, Kerry Merrill Lynch Wealth Management Fort Worth

Leonard, Bryan A. Merrill Lynch Wealth Management Houston

Lorch, Howard S. The Lorch Group of Wells Fargo Advisors Houston

McBride, Tommy Merrill Lynch Wealth Management Dallas

McIntire, Thomas R. Cadent Capital, LLC / Raymond James Dallas

McIntyre Fields, Charla K. Ameriprise Financial Hurst

Messick, Chris Messick, Peacock & Associates | Northwestern Mutual Wealth Mgmt. Co. Dallas

Muldoon, Kathleen Carter Financial Management / Raymond James Dallas

Nagel, Steve M. Merrill Lynch Wealth Management Frisco

Paulson, Richard P. Raymond James Houston

Pearcy, Van M. Van Pearcy’s Wealth Services / Raymond James Midland

Pennington, Darrell R. Ameriprise Financial Houston

Peterson, Donald S. UBS Financial Services Dallas

Piatas, Richard W. Merrill Lynch Wealth Management Frisco

Schroeder, Ralph J. Ameriprise Financial The Woodlands

Uptegraph, Jr., Don S. Morgan Stanley Wealth Management Houston

Utter, Gail W. Utter Wealth Management Group of Wells Fargo Advisors Sherman

Vicknair, Nestor J. Merrill Lynch Wealth Management Houston

Wood, Jr., F. Michael Merrill Lynch – Private Banking & Investment Group San Antonio

VIRGINIA

Beatty, Bryan D. Voya Financial Advisors Vienna

Cassaday, Stephan Cassaday & Company, Inc. McLean

Caudron, Tristan M. Wells Fargo Advisors Alexandria

Gill, John A. BB&T Scott & Stringfellow Virginia Beach

Hamilton, Simon R. Baird Reston

Kim, Soo (Susan) Ameriprise Financial Vienna

Krell, Christopher Cassaday & Company, Inc. McLean

Mahler, George (Carl) The Pinnacle Group / Raymond James Midlothian

Montgomery, Joe W. The Optimal Service Group of Wells Fargo Advisors Williamsburg

Salomon, Dalal Maria Salomon & Ludwin, LLC Richmond

Smith, Gregory S. Baird Reston

Sprowls, Ryan C. Sprowls, Key & Romano Wealth Management Group of Wells Fargo Advisors Alexandria

WASHINGTON

Braun, Dean Morgan Stanley Private Wealth Management Seattle

Conti, Edward A. Ameriprise Financial Bellevue

Elliott, Patrick D. RBC Wealth Management Bainbridge Island

Jackson, Paul W. Morgan Stanley Wealth Management Bellevue

Matthews, Michael S. UBS Financial Services Bellevue

Ried, Paul R. Paul R. Ried Financial Group, LLC / Cetera Advisor Networks Bellevue

West, Lowry Morgan Stanley Private Wealth Management 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

Client segments served

FINANCIAL TIMES Thursday 22 March 2018

The FT Top Financial AdvisersBest in class We present the leading US professionals, listed by state, and provide the research methodology

FT 400 Top Financial Advisers

FTReports

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

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 Re-search, 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 un-der 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 infor-mation 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 experienceeconomic and interest-rate environments.

4. Compliance record provides evi-dence 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 designa-tions 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 distribu-tion 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.

Methodology