Our Story and Services

The NEO Group at Morgan Stanley is a highly-experienced, accredited and deeply passionate team focused on helping successful individuals, families, premier athletes and businesses reach new heights.

We’re in the business of rolling up our sleeves and doing the hard work on your behalf to help make your life easier. We recognize that every client who entrusts us with their financial well-being has their own story. That’s why we create tailor-made financial plans that can address their individual challenges, concerns and priorities. We are an experienced team of professionals that cater to the complex needs of our clients.

As you do your due diligence in finding a wealth management professional that truly gets you, keep one thing in mind—the NEO Group is committed to helping you exceed your expectations. We’re driven by your definition of success and have a global powerhouse behind us who can open doors to new opportunities for you and your entire family.
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Building Your Success Together

The NEO Wealth ManagementGroup believes that a disciplined process creates the best roadmap to your success. We understand that your goals will evolve over time, so our consultative planning is designed to evolve with them and the changing circumstances of your life.

We developed a holistic approach to wealth management that encompasses virtually all the elements of your financial and personal life, making sure they align with your current and future goals.

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    1 Introduction

    We begin by understanding your current circumstances and concerns. We discuss our process and how we can add value to your situation. We then schedule our next meeting and request copies of important financial documents.

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    2 Initial Meeting

    In this in-depth discussion, we ask a series of questions to learn as much as possible about you, your family, and your aspirations for the future. We review your balance sheet, current statements, estate plans and other essential documents to gain a clear picture of your current wealth plan. We also share details about our fee structure and the importance of doing a comprehensive financial plan.

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    3 Plan Creation and Asset Transfer

    Having gained a clear understanding of your needs and goals, we utilize a variety of planning and risk analysis tools to identify appropriate strategies to help achieve your goals. We also begin the important process of transferring your assets to Morgan Stanley this step.

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    4 Plan Presentation

    Here, we present your customized financial plan in detail, which includes investment recommendations, as well as other strategies aimed at protecting your family members, minimizing overall risk, and achieving your legacy goals. Based on our discussion, we will revise your plan accordingly.

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    5 Implementation

    Upon your approval, we begin to implement each strategy. We collaborate with your accountant and estate attorney to help ensure continuity. We believe in full transparency and keep you involved every step along the way.

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    6 Ongoing Service and Care

    Milestones like marriage, children and grandchildren, retirement and starting or selling a business can all have a dramatic impact on your wealth. We review your plan with you on an ongoing basis so it can be adapted as changes in your life occur. We also monitor and evaluate your investments regularly, recommending adjustments to your strategy continuously reflects your evolving needs and goals.

While our achievements can be measured industry awards, we sincerely view our success as based on your success. We take pride in the long-tenured relationships we’ve built with our clients and their families over the years.
Our promise is to continually improve our skillsets, by pursuing advanced training, education, and certifications to stay at the leading edge of the evolving wealth management space. We will never rest on our laurels. You can always count on The NEO Wealth Management Group to deliver.

Our advisory team has more than 50 years of collective experience. Our diverse array of areas of focus and industry credentials include: Charter Investment Manager Analyst®, Certified Financial Planner™, Certified Divorce Financial Analyst®, Certified Private Wealth Advisor®, Family Wealth Director, Global Sports & Entertainment Director and Portfolio Manager. These designations require us to adhere to higher standards and code of conduct in addition to continuously keeping up with the ever-changing industry landscape. This robust collection of onsite resources enables us to use extensive technical and analytical skills to research, evaluate, and recommend appropriate strategies for you.


The use of the CDFA® designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney.
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    Insured Solutions
    As a leader in the distribution of insurance and annuities, our offerings include disability, long-term care and property & casualty insurance, as well as fixed, indexed and variable annuities. Morgan Stanley offers these products in conjunction with its licensed insurance agency affiliates.
    Morgan Stanley Insured Solutions
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    Financial Planning
    Morgan Stanley Financial Planning can show you a single, comprehensive snapshot of your finances. We can help you create a wealth plan that’s adaptable to the different stages of your life using our cutting edge tools- Goals Planning System (GPS) and LifeView.
    Morgan Stanley Goals-Based Wealth Management
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    Global Investment Office
    The Morgan Stanley Global Investment Office provides you with world-class thought leadership timely market commentary, and portfolio ideas to help guide your investment decisions.
    Morgan Stanley Portfolio Insights
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    Morgan Stanley Portfolio Solutions
    Portfolios that harness Morgan Stanley's industry-leading advice, resources and risk management—calibrated to your specific goals.
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    Separately Managed Accounts
    A selection of professionally managed portfolios to align with your goals and risk tolerance, with access to institutional pricing and zero fee index SMAs.

Planning for you Family's Financial Needs

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    Estate & Legacy Planning Strategies
    The NEO Wealth Management Group understands the importance of preserving your legacy for future generations. We work with your Estate Planning professional to help ensure that you are provided with personalized guidance to help navigate the complexities of your estate planning strategy, and can effectively leave a legacy for your loved ones.


    Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
    Click here to learn more
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    Philanthropic Planning
    Your set of philanthropic objectives is as personal as your vision of a better world. Determining those objectives, however, can be challenging when there are so many worthy causes and so many unmet needs.



    Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trusts, estate planning, charitable giving, philanthropic planning or other legal matters.
    Click here to learn more
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    Family Governance
    Particularly in the case of an ultra-high net worth family engaged in a common enterprise, such as running a family business, operating a family office, or simply investing together as a family, it is extremely important to have a sound framework within which to make decisions.
    Click here to learn more
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    Wealth Education
    Financial Literacy means being empowered with the knowledge to make smart financial decisions during every stage of life. Discussing family finances is especially important with adult children, no matter their age. It's not always easy, but starting the conversation is an important step in setting the groundwork for long-term wealth planning.
    Click here to learn more
    Family Office Video
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You have that something extra, the star quality, the intangibles that put you on top in fiercely competitive industries. You already have the vision but you may need the plan. Your distinct needs inspired the creation of Morgan Stanley Global Sports & Entertainment. Delivering the full resources of the firm, our team can help you with complex or aspirational goals such as philanthropy, business development, and monetizing revenue streams from your work.
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    You're Unique, We Know Why
    From your variable income streams to your taxes, from your obligations to your aspirations, "typical" is not part of your vocabulary. You need distinctive financial strategies that match your lifestyle and career trajectory.
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    Concentrated Experience in Capable Hands
    Our broader GSE organization was developed to respond to the specific needs of sports and entertainment professionals at every stage of their careers. We understand your unique financial opportunities and challenges.
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    Tailored Advice to Meet Your Objectives
    You can leverage us and the vast resources of Morgan Stanley to address any objective, from building and preserving wealth, to starting a philanthropic foundation, to expanding your brand. Whatever aspirations you may have for yourself and your family, we present strategies, products, and services customized to help you reach your goals, your way.
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    The Power of a Team
    We will routinely work in collaboration with other dedicated advisors to help guide financial decision-making. We support and respect your personal confidants, combining our strengths to help you succeed.

WORKPLACE FINANCIAL BENEFITS WITH MORGAN STANLEY AT WORK

Our mission is to help your company elevate your workplace financial benefits—helping you to attract and retain top talent. Our end-to-end solutions support your company and employees at any stage of growth through a powerful combination of modern technology, insightful guidance, and dedicated service.

    Equity Solutions

    Equity ownership is a powerful motivator. Streamline equity management through our leading-edge technology and provide global audit-ready reporting and insights, alongside customizable participant experiences to engage and educate your employees on how to make the most of their benefits. Our global solutions support private and public companies at any stage of growth.

    • Equity Administration and Financial Reporting
    • Liquidity Events
    • 409A Valuation Services and Cap Table Management

    Learn more
    Retirement

    For your employees, retirement is more than a date in the future—it's a milestone that takes time, hard work, and the right tools. Through our consultative process, we strive to assist with the management of your fiduciary responsibilities and risk, simplify plan management, and help you improve retirement readiness for your employees.

    • Defined Contribution Consulting
    • Solutions-Oriented Plans
    • Fiduciary Investment Oversight

    Learn more
    Deferred Compensation

    Access a range of Nonqualified Deferred Compensation plan services or pick the ones that best fit your needs. We provide recordkeeping and plan design, portfolio construction services, and plan education for your executive talent. We help you determine the appropriate plan design and inform a funding strategy through a needs-based assessment and consultative approach.

    Services include:

    • Recordkeeping and Plan Design
    • Portfolio Construction
    • Wealth Management Services
    Learn more
    Executive Services

    Our dedicated team provides concierge-level support for your executives' equity compensation plans, from 10b5-1 trading plans to form filing related to Rule 144 transactions, to access to wealth management and tax-optimization strategies, so helping them navigate their complex financial needs with greater confidence and certainty:

    • Equity Compensation Services
    • Equity Award Analysis
    • Specialized Solutions
    Learn more
    Saving and Giving

    Saving and Giving benefits can make a real difference in your employees' lives as they can support the things that matter most to them—like saving for education and repaying student loans. Show that you are committed to your employees' priorities with leading-edge solutions that help them chart a path toward financial well-being.

    • College Savings
    • Student Loan Repayment and Refinancing
    • Charitable Giving
    Learn more
    Financial Wellness

    We offer Financial Wellness with every solution we provide. Through a powerful combination of education, digital tools and guidance, Financial Wellness is designed to address the unique needs of your employees and empower their financial journey at every stage. Give your employees the confidence to take charge of their finances.

    • Financial Education
    • Digital Tools
    • Financial Guidance

    Learn more

Location

31099 Chagrin Blvd., 3rd
Fl
Pepper Pike, OH 44124
US
Direct:
(216) 360-8604(216) 360-8604

Meet NEO Wealth Management Group

Photo of Peter Carfagna

Peter Carfagna, CFP®, CPWA®

Managing Director, Wealth Management, Financial Advisor, Family Wealth Director, Alternative Investments Director, Financial Planning Specialist, CERTIFIED FINANCIAL PLANNER®, Certified Private Wealth Advisor®, Global Sports and Entertainment Director
Phone:
(216) 360-8604(216) 360-8604
Photo of Janet Padula

Janet Padula, CFP®, CDFA®

Senior Vice President, Financial Advisor, Senior Portfolio Manager, Workplace Advisor – Equity Compensation
Phone:
(216) 360-8606(216) 360-8606

About Peter Carfagna

Peter Carfagna has extensive experience and training in wealth management and finance. He has worked in the financial services industry for over 20 years and has been with Morgan Stanley since 2012. He holds a Bachelor’s Degree from Harvard University and a Master’s Degree from Case Western University.

Peter’s interest in wealth management began during college when he worked as an intern in a private wealth management firm that focused on servicing professional athletes. As a collegiate athlete, Peter found it was a great opportunity to combine his two passions for business and sports. He continued on with the firm after graduating and learned a great deal about working with high-net-worth clients. Pro athletes need a high level of service as well as clear, objective and effective guidance. He continues to provide these while working with his clients today.

Prior to joining Morgan Stanley, Peter spent several years in private equity. He helped buy, operate and sell professional baseball teams nationwide, as well as interests in other companies. Since returning to wealth management, Peter has earned a Certified Financial Planner™ practitioner and Certified Private Wealth Advisor designations. His role is to understand clients and apply the best practices in a way that can fit their unique situations ideally so they can potentially accomplish their goals.

Peter earned the prestigious Family Wealth Director designation in 2023. Limited to just 5% of Financial Advisors at Morgan Stanley as of December 2023, Peter received extensive additional training and passed examinations focused on best practices employed by Morgan Stanley's Ultra High Net Worth clients in the areas of advanced estate planning strategies, business succession planning, wealth transfer, trust services, philanthropy, and family office resources.

In 2024, Peter was named a Global Sports & Entertainment Director, representing a highly focused wealth management division dedicated to serving the unique and complex needs of athletes, entertainers, creators and top professionals in the sports and entertainment industry.

Peter has served on numerous community and non-profit boards over the years including past-President of the Harvard Club of Northeast Ohio, the Nature Center at Shaker Lakes, Ruffing Montessori School and Lake Erie College. He has also served on the Finance Committee of the Cleveland Skating Club.

Peter has spent his entire life around sports: from playing every sport possible as a kid to following his favorite professional teams, to being the son of a sports lawyer, to having family ownership of a minor league baseball team. He played on a state and national championship football team in high school, and an Ivy League championship team in college.

He is married with three children and lives in Shaker Heights Ohio. In his free time, he enjoys spending time with his family, following sports, exercising, traveling and dining.
Securities Agent: ME, AL, TX, MA, TN, NM, NJ, CA, UT, NC, HI, WV, IN, CO, OH, MI, SC, NY, MO, WA, MN, FL, DC, AZ, VA, LA, GA, PA, MD, IL, CT; General Securities Representative; Investment Advisor Representative
NMLS#: 1321604

About Janet Padula

Janet brings more than 17 years of experience to her role as a Certified Financial Planner™ and Financial Advisor at Morgan Stanley. She enjoys building deep relationships with each of her clients, listening carefully to understand the intricate details of their personal wealth stories. For Janet, professional achievement is measured in terms of client well-being and goal achievement, essentially getting them from point A to point B. She believes a comprehensive financial plan can help enable clients to maintain financial strength throughout their lives, while effectively navigating today’s complex financial markets.

Like many professionals, Janet has enjoyed more than one successful career. Prior to working in financial services, she was the Director of Finance and Administration at University Hospitals of Cleveland/Case Center for Imaging Research, where she managed the department budget, led various projects and supervised staff members. Janet joined Morgan Stanley in 2007 for the opportunity to work more directly with people, helping them achieve their goals and make a real difference in the quality of their lives. She credits her mother for always encouraging her to explore a career that combines her love of finance with her love for helping others. Becoming a Financial Advisor was the perfect fit.

Throughout her career, Janet has remained committed to professional development, earning her Certified Financial PlannerTM (CFP®) designation in 2010 and her Certified Divorce Financial Analyst® (CDFA®) certification in 2019. Most recently, she was named a Workplace Advisor – Equity Compensation at Morgan Stanley, helping executives integrate the equity awards they receive from their employer into an overall wealth management plan. Janet earned her B.B.A. degree from St. Thomas University in Miami, Florida and her M.B.A. from Case Western Reserve University in 2006.

A long-time resident of Highland Heights, Janet is a former President and Board member of the Hillcrest Rotary Club and serves on the finance committee for her church. She is an avid reader, plays piano, and loves to travel and spend time with her blended family.


The use of the CDFA® designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney.
Securities Agent: CA, WA, TX, CT, VA, NY, AZ, IL, HI, FL, CO, TN, MD, NM, MN, ME, GA, AL, WV, OH, MA, PA, NC, DC, SC, UT, NJ, MO, MI, LA, IN; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1589609
CA Insurance License #: 4200319

About Charles Brennan

Charlie joined Morgan Stanley in 2014. He is passionate about helping his clients plan for their future, so they feel more comfortable. His goal to remove their anxiety and instill confidence that they’re creating a legacy that can span generations. Charlie’s primary focus at the NEO Wealth Management Group is corporate cash management, as well as fixed income strategies for individuals and institutions. He plays an integral role in developing strategies for individuals with concentrated stock positions.

Charlie graduated from the Carroll School of Management at Boston College, where he also played football. He began in the financial industry in 1993 where he worked at the Chicago Board of Trade. As Charlie’s career evolved, he went on to Key Bank and JPMorgan where his focused in institutional fixed income planning and frequently worked with C-Suite Executives.

Charlie and his wife are raising four sons and live in Chagrin Falls, Ohio, where they play a lot of sports together. He actively supports Boys Hope/Girls Hope and is heavily involved in coaching youth sports locally, including football, basketball and lacrosse.
Securities Agent: FL, ME, TX, WA, NJ, IL, VA, OH, MD, CT, WV, UT, MO, LA, CO, NY, NM, MA, CA, OK, NC, GA, AZ, NV, MN, MI, TN, IN, AL, SC, PA; General Securities Representative; Investment Advisor Representative
NMLS#: 529920

About Cleav Peavy

Cleav grew up on the Alabama Gulf Coast and went on to earn his Bachelor’s degree at Auburn University. With more than 25 years of experience in the financial services industry, Cleav brings a wealth of knowledge and a broad perspective of the investment world to his clients. While he has enjoyed success as a resident director as well as numerous leadership positions over the years, Cleav finds the greatest joy in serving clients and helping them articulate and achieve their most important goals.

He believes that the firm’s “open architecture” platform gives him the flexibility to choose money managers, asset classes, individual securities and strategies designed to help achieve specific client objectives. Cleav also has extensive business and real estate experience which allows him to be more comprehensive in the guidance for his clients. He has been recognized for his talents and success by being awarded to the prestigious Chairman’s Club.

Cleav, and his wife Jennifer, have two children, Cam and Marissa. The family splits their time between Lake Martin, Alabama and Chagrin Falls, Ohio. He values his time with his family and enjoys traveling, boating, classic cars and playing music.
Securities Agent: NV, VA, OK, MN, CA, MI, WV, WI, NC, PA, MD, GA, VI, OH, AL, TN, SC, FL, CT, WA, NY, NJ, MA, IL, HI, CO, TX, IN; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 590962

About Camille Fisher

Camille Fisher - Senior Client Service Associate
Phone:
(216) 360-8611
Email:Camille.Fisher@morganstanley.com
Having spent more than 20 years in the financial services industry, Camille has served in many roles from cashier to Operations Manager to Resident Directors Assistant. Often the first point of contact she takes a strong personal interest in getting to know each client. She focuses on utilizing her deep job knowledge to deliver exceptional service to our clients and their families. Her goal is to make the wealth management process as easy as possible for our clients so they can focus on enjoying the life they have worked so hard to achieve.

Camille resides in Willoughby. Outside of work she enjoys cooking, reading, spending time with friends and family.

Hear From Our Clients

Peter and his team have provided important peace of mind to us as we entered retirement. They always listen carefully to our goals, even when our goals change. The team is experienced, thoughtful and attentive to our input.
checkmarkVerified Client
Peter was instrumental in coordinating and consolidating a very complicated estate with many moving pieces and parts. He did a great job coordinating with our estate attorneys to ensure a smooth transition. He has done a fantastic job with investing these assets, and we have seen a very strong and consistent rate of return over the last 4 years. We find Peter extremely responsive and always willing to go the extra mile for us in every instance.
checkmarkVerified Client

Testimonial(s) are solicited by Morgan Stanley Wealth Management Canada and provided by current client(s) at the time of publication. No compensation of any kind was provided in exchange for the client testimonial(s) presented. Client testimonials may not be representative of the experience of other clients and are not a guarantee of future performance or success.

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Awards and Recognition

Forbes America's Top Wealth Management Teams
Forbes America’s Top Wealth Management Teams Source: Forbes.com (Awarded Nov 2025) Data compiled by SHOOK Research LLC for the period 3/31/24-3/31/25.
Forbes Best-In-State Wealth Advisors
Forbes Best-In-State Wealth Advisors Source: Forbes.com (Awarded April 2025) Data compiled by SHOOK Research LLC for the period 6/30/23 - 6/30/24.
Forbes America's Top Women Wealth Advisors
Forbes America's Top Women Wealth Advisors Source: Forbes.com (Awarded Feb 2025) Data compiled by SHOOK Research LLC for the period 9/30/23 - 9/30/24.
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The Power of Partnerships

By partnering with experienced individuals across wealth disciplines, Morgan Stanley Financial Advisors can align specialized resources with your custom needs and deliver strategic guidance through the familiarity and trust of existing relationships
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Joshua Gilbert

Private Banker
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Jake Battipaglia

Planning Associate

About Joshua Gilbert

Joshua Gilbert is a Private Banker serving Morgan Stanley’s Wealth Management offices in Ohio.

Private Bankers partner with Financial Advisors to develop a specialized approach for managing clients’ cash flow, liquidity and financing needs, leveraging our comprehensive suite of cash management and lending solutions.

Joshua began his career in financial services in 2001 and joined Morgan Stanley in 2018. Prior to joining the firm, he served as a Business Banking Client Manager at U.S. Bank. He also held numerous roles with progressive responsibilities at JPMorgan Chase Bank, where he notably served as a Branch Manager.

Joshua currently resides in Cincinnati, Ohio. Outside of the office, Joshua dedicates his time to various civic organizations focused on fostering the well-being of others, such as Lighthouse Youth & Family Services, and the Freestore Foodbank. In his spare time, Joshua enjoys traveling, hiking, skiing, and staying healthy and active.
NMLS#: 427087

About Jake Battipaglia

Jake Battipaglia is a Planning Associate at Morgan Stanley providing dedicated financial planning support to Financial Advisors and their teams. Operating as an extension of the FA/Team, he collaborates with clients to discover and define the goals that matter most to them. Leveraging state of the art technology, he will evaluate various options and their potential outcomes to help clients confidently choose the appropriate course of action. Jake provides expertise across a wide suite of Morgan Stanley planning tools designed to assist in the areas of investment accumulation, retirement, education, major purchase, cash flow, risk management, tax efficiency, and wealth transfer planning.

He earned his undergraduate degree from The Kelley School of Business at Indiana University and received the Financial Planning Specialist® designation from the College for Financial Planning. Jake is originally from Marlboro, New Jersey and currently resides in New York City.
Private Banking Group (PBG) Market Managers, Senior Private Bankers, Private Bankers, and Associate Private Bankers are employees of Morgan Stanley Private Bank, National Association.

Banking products and services are offered by Morgan Stanley Private Bank, National Association, Member FDIC.

Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.

Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY

Important information about your relationship with your Financial Advisor and Morgan Stanley Smith Barney LLC when using a Financial Planning tool. When your Financial Advisor prepares a Financial Plan, they will act in an investment advisory capacity for thirty (30) days after the delivery of your Financial Plan. To understand the differences between brokerage and advisory relationships, you should consult your Financial Advisor, or review our “Understanding Your Brokerage and Investment Advisory Relationships,” brochure available at https://www.morganstanley.com/wealth-relationshipwithms/pdfs/understandingyourrelationship.pdf.

You have sole responsibility for making all investment decisions with respect to the implementation of a Financial Plan. You may implement the Financial Plan at Morgan Stanley or at another firm. If you engage or have engaged Morgan Stanley, it will act as your broker, unless you ask it, in writing, to act as your investment adviser on any particular account.

Morgan Stanley offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please consult with your Financial Advisor to understand these differences.

Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.

When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account.

Wealth Management
Global Investment Office

Portfolio Insights

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Equity Compensation

Helping you make the most of your equity awards and better understand how it may fit into your your larger financial picture – today and tomorrow.

  • Vesting events
  • Option expirations
  • Restricted stock units
  • Tax implications

Retirement

Working with you to understand your life goals and develop a personalized wealth strategy. Today and for the years to come.
  • 401(k) Rollovers
  • IRA Plans
  • Retirement income strategies
  • Retirement plan participants
  • Annuities
Learn More about Retirement
A Simple Six-Step Retirement Checkup
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A Simple Six-Step Retirement Checkup

Checking in on your retirement plan may make a lot of sense, especially when market volatility arises.

Investing

Working closely with you to guide your wealth and investments through the most challenging market cycles.
  • Asset Management
  • Wealth Planning
  • Traditional Investments
  • Alternative Investments
  • Impact Investing
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Rational Investing in an Age of Uncertainty
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Rational Investing in an Age of Uncertainty

When it comes to investing, even the most savvy of us fall prey to bias and emotional trades. So what triggers should you watch for?

Family

Creating customized financial strategies for the challenges that today’s families face.
  • Estate Planning Strategies
  • 529 Plans / Education Savings Planning
  • Long Term Care Insurance
  • Special Needs Planning
  • Trust Services
Learn More about Family
529 Plans: A Powerful Tool to Save for Education
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529 Plans: A Powerful Tool to Save for Education

Though education costs continue to climb, starting to save and invest early can make a difference.

Business Planning

Helping you on key aspects of your business such as ownership, liquidity and developing opportunities.
  • Succession Planning
  • Business Planning
  • Qualified Retirement Plans
Learn More about Business Planning
Financial Planning for Life After Selling a Business
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Financial Planning for Life After Selling a Business

Selling your business can mean big changes for your life, both personally and financially. Know how to make the most of your windfall.

Philanthropy

Making sure your philanthropic dollars are managed with the same high quality service as the rest of your wealth.
  • Endowments
  • Foundations
  • Donor Advised Funds
  • Impact Investing
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Donor Advised Funds: A Smart Way to Manage Your Giving
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Donor Advised Funds: A Smart Way to Manage Your Giving

There's more to charitable giving than you may realize. Here's one method that may be a tax-efficient way to give and can help maximize your impact.

Financial Wellness

Enhancing Financial Wellness enables your workforce to do their best work. Companies that invest in financial wellness have an opportunity to:
  • Reduce employee stress,
  • Improve retention and engagement, and
  • Set themselves apart by offering comprehensive financial wellness benefits.
Learn More about Financial Wellness
The Business Case for a Financially Resilient Workforce
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The Business Case for a Financially Resilient Workforce

In the face of turbulent markets, the word “resilience” may be top of mind. Broadly speaking, resilience is the ability to “bounce back” when encountering life’s inevitable challenges.

Wealth Management for Athletes and Entertainers

Understanding the unique financial challenges of athletes and entertainers and how they differ from one profession to the next, we deliver the experience and resources you need to help create and implement a comprehensive, multigenerational wealth management plan based on your needs, values and aspirations.
  • Investment Management
  • Wealth Transfer & Philanthropy
  • Private Banking Solutions
  • Family Governance & Wealth Education
  • Lifestyle Advisory
Learn More about Wealth Management for Athletes and Entertainers
You are your Own CEO: Build a Dream Team for Your Career
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You are your Own CEO: Build a Dream Team for Your Career

Assembling a team of trusted professionals to manage your career?and your money?is essential to help best position you to thrive. Here?s how.
Ready to start a conversation? Contact NEO Wealth Management Group today.
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Certified Financial Planner Board of Standards Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization’s initial and ongoing certification requirements to use the certification marks.

1Morgan Stanley offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please consult with your Financial Advisor to understand these differences or review our Understanding Your Brokerage and Investment Advisory Relationships brochure available at www.morganstanley.com/wealth-relationshipwithms/pdfs/understandingyourrelationship.pdf.

For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.

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2When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.

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3Morgan Stanley Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States. Morgan Stanley Wealth Management is a business of Morgan Stanley Smith Barney LLC.

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4Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.

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5Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.

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6Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.

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7Alternative Investments are speculative and include a high degree of risk. An investor could lose all or a substantial amount of his/her investment. Alternative investments are appropriate only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.

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8Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.

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9Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.

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Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck*.

The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.

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The securities/instruments, services, investments and investment strategies discussed in this material may not be appropriate for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.

Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.

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The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.

*References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.

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Awards Disclosures | Morgan Stanley
CRC 4665150 (8/2025)