Scott Waxman
Managing Director, Private Wealth Management, Private Wealth Advisor, Corporate Cash Investment Director
Morgan Stanley Private Wealth Management
The 511 Group
Our Mission Statement
Creating optimum financial solutions customized towards your business, family, philanthropic and lifestyle objectives
Welcome
Since 1985, the 511 Group has built a premier wealth management business at Morgan Stanley catering to both high net worth individuals / families and organizations in need of corporate cash management. Our dual capabilities differentiate us within the industry, as we understand liquidity and investment challenges facing both successful entrepreneurs and investors, as well as their companies. Our team of 14 serves as an outsourced financial resource either directly or through our considerable network, striving to address and advise on any financial needs our clients face. Client service is the foundation on which our business was built. We welcome the opportunity to get to know you, determine where we can add value, and help create a blueprint for your financial and philanthropic success.
Capabilities
- Comprehensive Wealth Planning
- Corporate Services
- Investment Management
- Risk Management
- Sustainable & Responsible InvestingFootnote1
- Proprietary Investment Opportunities
- Philanthropy Management
- Family Governance & Wealth Education
- Consolidated Reporting
- Hedging Strategies
- Pre-Liquidity Planning
- 10b5-(1) Programs
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
About PWM
Founded in 1977, Private Wealth Management is the division of Morgan Stanley Wealth Management that is dedicated to serving the firm’s most affluent clients, including some of the world’s most accomplished entrepreneurs, executives and stewards of multigenerational wealth. Functioning as an exclusive investment boutique within a global financial firm, we deliver sophisticated solutions that leverage the intellectual capital and insight of Morgan Stanley’s substantial global resources. Drawing on a deep understanding of your financial life, our goal is to help you:
- Manage investments with an unwavering focus on your financial strategy and personal goals
- Create comprehensive, multigenerational wealth management plans based on your needs, challenges and the values that guide your life and legacy
- Simplify financial complexity to help you achieve clarity and control
Private Wealth Management Highlights
- Approximately 350 teams1 specialized in assisting individuals and families with $20MM+ in investable assets
- Over $980 billion in AUM1
- Comprising 23% of the Barron’s Top 250 Private Wealth Management Teams for 2024
- Direct access to ultra high net worth experts in philanthropy, family dynamics, wealth transfer, lifestyle advisory and other areas of interest to ultra high net worth families
1 Morgan Stanley Wealth Management, December, 2024
Source: Barron's.com (May 2024) 2024 Barron's Top 250 Private Wealth Management Teams awarded in 2024. The teams are ranked on a variety of factors, including their size and shape, their regulatory records and credentials of their members, and the resources they have at their disposal to serve their client bases. The rankings are meant as a starting point for clients looking for an advisor—a first-pass vetting that can help investors narrow a search. Every advisor will have his or her own approach to investing, financial planning, and other services. Clients are encouraged to approach a search for an advisor the way they would a search for a doctor—interviewing multiple professionals and getting opinions from multiple third parties. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one client’s experience. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Approach
Discovery Process
Investing the time to learn about you and your family; your assets and liabilities and the risk exposures, enables us to formulate strategies and customize the relationship to your needs.
Formulation of Tax, Trust and Estate Strategy
Working with your tax and legal advisors, we help analyze your income and estate tax circumstances to identify and tailor planning techniques that may be used to address your objectives.
Creation of Customized Strategic Asset Allocation
Your customized asset allocation reflects risk, opportunities and taxation across multiple entities, while integrating your investing and estate plans.
Integration of Tactical Asset Allocation
Short-term adjustments seek to capitalize on temporary market distortions. Before making adjustments, we analyze the impact of taxes and trading costs on potential returns.
Implementation of a Customized Wealth Strategy
After comprehensive due diligence and analysis of expected results across multiple market scenarios, strategies are chosen from our expansive investment platform.
Ongoing Assessment
In coordination with your other advisors, we can conduct ongoing reviews and comprehensive reporting to ensure that your strategy adapts to changing financial and family needs.
Private Wealth Management Clients
Our team works with ~85 high net worth individuals and their families throughout the United States, serving as the ultimate steward for our clients’ wealth. Our typical clients span a variety of industries and serve as leaders within their fields.
Industry examples include:
- Technology
- Biotech / Healthcare
- Venture Capital / Private Equity
- Media
- Fashion
- Biotech / Healthcare
- Venture Capital / Private Equity
- Media
- Fashion
Our Philosophy
Since inception we have guided our clients through numerous economic cycles, providing the experience necessary to navigate the volatility of the market. Our investment philosophy is based on macroeconomics with an emphasis on wealth preservation and inflation protection to help ensure true financial independence for each of our clients. In creating this financial independence, we afford our clients the ability to pursue new passions and endeavors while also creating meaningful social impact around the globe. Our concept of asset allocation caters to entrepreneurs and executives who have created significant wealth and are concerned about quantifying and controlling the year-over-year risk and volatility of their total capital assets. We confine the asset allocation process to two categories: Safety and Growth. The Safety portfolio is designed to provide the anchor and base returns in the portfolio regardless of the market environment, while the Growth portfolio utilizes global investment opportunities across asset classes to enhance the total return above inflation and allow for a long term material increase in your asset base.
Corporate Cash Clients
Our team provides a separately managed customized fixed income solution for a variety of institutions including private and public corporations, non-profits, endowments, foundations and others.
Industry examples include:
- Technology
- Healthcare / Biotech
- Venture Capital / Private Equity
- Consumer Goods
- Insurance
- Healthcare / Biotech
- Venture Capital / Private Equity
- Consumer Goods
- Insurance
Our Philosophy
We think of ourselves as an extension of our clients’ treasury department, providing a comprehensive hands-on service approach that includes strategy, investment management, and regulatory reporting.
We work closely with our clients to tailor a high quality, duration adjusted fixed income portfolio that adheres to their Investment Policy Statement. In addition, our open architecture removes conflict of interest as all securities purchased are non-proprietary.
We work closely with our clients to tailor a high quality, duration adjusted fixed income portfolio that adheres to their Investment Policy Statement. In addition, our open architecture removes conflict of interest as all securities purchased are non-proprietary.
We look to align our goals with our clients:
i. Preservation of Capital
ii. Maintain Ease of Liquidity
iii. Enhancing After-Tax Rate of Return
This is designed to provide the preservation, marketability and optimized return of one of your most treasured assets, the cash on your balance sheet.
ii. Maintain Ease of Liquidity
iii. Enhancing After-Tax Rate of Return
This is designed to provide the preservation, marketability and optimized return of one of your most treasured assets, the cash on your balance sheet.
Location
555 California Street, 14th
Fl
San Francisco, CA 94104
US
Direct:
(415) 576-2016(415) 576-2016
Meet The 511 Group
Tom Piliero
Managing Director, Private Wealth Management, Private Wealth Advisor, Family Wealth Director
Alexander Yu
Managing Director, Private Wealth Management, Private Wealth Advisor, Corporate Cash Investment Director
Jeff Basich
Executive Director, Private Wealth Management, Private Wealth Advisor, Corporate Cash Investment Director
Mitch Waxman
Executive Director, Private Wealth Management, Private Wealth Advisor, Workplace Advisor – Equity Compensation
Haylie Garrie
Senior Vice President, Wealth Management, Private Wealth Advisor, Corporate Cash Investment Director
Phone:
(415) 576-2099(415) 576-2099
Will Benner
Private Wealth Advisor Associate
Phone:
(415) 576-2116(415) 576-2116
Monna Laing
Group Director, Senior Vice President
Phone:
(415) 576-2103(415) 576-2103
Anne Green
Director of Business Strategy, Senior Vice President
Phone:
(415) 576-2017(415) 576-2017
Christine Kim
Wealth Management Associate, Vice President
Phone:
(415) 576-2196(415) 576-2196
Angela Kiriakopoulos
Wealth Management Associate, Assistant Vice President
Phone:
(415) 576-2334(415) 576-2334
Kevin Tuholski
Registered Client Service Associate
Phone:
(415) 576-2390(415) 576-2390
Greg Thomas
Registered Client Service Associate
Phone:
(415) 576-2056(415) 576-2056
Richard Ralston
Wealth Management Associate
Phone:
(415) 576-2219(415) 576-2219
Anna Kathryn deBoisblanc
Wealth Management Associate
Phone:
(415) 576-2145(415) 576-2145
Amaka Nwankwo
Registered Client Service Associate
Phone:
(415) 576-2039(415) 576-2039
About Scott Waxman
Scott Waxman is an original Managing Director with the Private Wealth Management division of Morgan Stanley. His primary responsibilities include macroeconomic investment strategy with oversight of fixed income, currency, and total return discretionary management. He also focuses on pre & post liquidity monetization strategies.
Scott has over 39 years of experience in the industry, joining Morgan Stanley in 1985 after beginning his career at General Foods Corporation and Salomon Brothers. He received a B.A. in Economics from Colgate University and an MBA from Stanford Graduate School of Business. Scott lives with his wife in Marin County, where they have raised three children.
Scott is a former Wexner fellow and has served on the Kentfield School Foundation, as Board President of Congregation Kol Shofar and currently serves on the executive board of American Jewish World Service and the advisory board of Beyond Differences.
Scott has over 39 years of experience in the industry, joining Morgan Stanley in 1985 after beginning his career at General Foods Corporation and Salomon Brothers. He received a B.A. in Economics from Colgate University and an MBA from Stanford Graduate School of Business. Scott lives with his wife in Marin County, where they have raised three children.
Scott is a former Wexner fellow and has served on the Kentfield School Foundation, as Board President of Congregation Kol Shofar and currently serves on the executive board of American Jewish World Service and the advisory board of Beyond Differences.
Securities Agent: MA, MS, LA, IL, CT, CA, WI, SC, OR, DC, TN, NC, MT, MN, VT, MI, AK, TX, MO, ID, NE, MD, IN, VA, UT, NY, NV, NM, KS, HI, GA, FL, WA, PA, NJ, NH, DE, CO, AZ, WY, OH; General Securities Representative; Investment Advisor Representative
NMLS#: 1265298
NMLS#: 1265298
About Tom Piliero
Tom Piliero is a Managing Director with the Private Wealth Management division of Morgan Stanley. He is a manager of discretionary fixed income. In addition, his primary responsibilities include investment strategy and asset allocation across equity, alternative investments, as well as other total return assets. He also focuses on tax and estate planning strategies as well as the philanthropic pursuits of his clients.
Tom has over 24 years of experience in the industry. He began his career with Sanford C. Bernstein Investment Management and joined Morgan Stanley in 2001. He received a B.S. in Biology from Virginia Tech University in 1998, served on the Board of the Ross School Foundation and is President of the Ross School Endowment. Tom lives with his wife and two children in Marin County, California.
Tom has over 24 years of experience in the industry. He began his career with Sanford C. Bernstein Investment Management and joined Morgan Stanley in 2001. He received a B.S. in Biology from Virginia Tech University in 1998, served on the Board of the Ross School Foundation and is President of the Ross School Endowment. Tom lives with his wife and two children in Marin County, California.
Securities Agent: OR, NJ, NM, KS, WY, VT, OH, MD, LA, HI, CA, WI, WA, NV, CO, NC, MI, DE, VA, TX, TN, IN, DC, UT, SC, NY, NH, NE, IL, MA, ID, GA, CT, PA, AZ, AK, MT, MS, MO, MN, FL; General Securities Representative; Investment Advisor Representative
NMLS#: 1278893
NMLS#: 1278893
About Alex Yu
Alex Yu is a Managing Director and Corporate Cash Investment Director with the Private Wealth Management division of Morgan Stanley. His primary responsibilities include investment strategy and managing discretionary fixed income for institutions.
Alex has over 25 years of experience in the industry and joined Morgan Stanley in 1993. He received a B.S. in Computer Science and an MBA from Rutgers University. Alex lives in the East Bay with his wife and three kids.
Alex has been actively involved in coaching youth sports for baseball and basketball.
Alex has over 25 years of experience in the industry and joined Morgan Stanley in 1993. He received a B.S. in Computer Science and an MBA from Rutgers University. Alex lives in the East Bay with his wife and three kids.
Alex has been actively involved in coaching youth sports for baseball and basketball.
Securities Agent: DE, GA, KS, VT, SC, IN, WI, VA, NY, MO, FL, NH, NC, MT, MN, MI, UT, WY, NV, NJ, MA, CO, AK, OR, LA, TX, PA, OH, NM, NE, MD, HI, WA, TN, MS, DC, CA, CT, AZ, IL, ID; General Securities Representative; Investment Advisor Representative
NMLS#: 1274529
NMLS#: 1274529
About Jeff Basich
Jeff Basich is an Executive Director and Corporate Cash Investment Director with the Private Wealth Management division of Morgan Stanley. His primary responsibilities include business development, investment strategy and managing discretionary fixed income for corporations.
Prior to joining Morgan Stanley in 1997, he attended California State University, Chico where he received a Bachelor of Science in Finance. With over 27 years experience in Private Wealth Management, he brings diverse expertise to his position.
Outside of work, Jeff is an avid runner and coaches youth basketball. A native Californian, he currently lives in Petaluma with his wife and two daughters.
Jeff is Series 7, 63 and 66 licensed.
Prior to joining Morgan Stanley in 1997, he attended California State University, Chico where he received a Bachelor of Science in Finance. With over 27 years experience in Private Wealth Management, he brings diverse expertise to his position.
Outside of work, Jeff is an avid runner and coaches youth basketball. A native Californian, he currently lives in Petaluma with his wife and two daughters.
Jeff is Series 7, 63 and 66 licensed.
Securities Agent: IL, GA, AK, AZ, DE, NM, VT, WA, TX, MS, KS, ID, AR, UT, TN, NC, HI, VA, NY, NJ, MO, MI, MD, CO, DC, MN, NE, NV, OR, LA, CA, CT, MA, MT, NH, OK, WY, SC, FL, PA, WI, OH, IN; General Securities Representative; Investment Advisor Representative
NMLS#: 1569123
NMLS#: 1569123
About Mitch Waxman
Mitch Waxman is an advisor within the Private Wealth Management division of Morgan Stanley. His primary responsibilities include investment strategy, asset allocation, liquidity planning, impact investing and business development.
Mitch joined PWM in 2018, after having worked in Morgan Stanley’s Fixed Income division. He has previously held Product and Business Development roles for two different Bay Area startups and worked for Wipro as a technology consultant. He received a B.A. from Colgate and an MBA from Kellogg Graduate School of Management.
Mitch serves as a fellow in the Jewish Family and Children’s Services New Leaders program and has been actively involved with developmentally disabled initiatives in Marin County. He lives with his wife and son in Tiburon, California.
Mitch joined PWM in 2018, after having worked in Morgan Stanley’s Fixed Income division. He has previously held Product and Business Development roles for two different Bay Area startups and worked for Wipro as a technology consultant. He received a B.A. from Colgate and an MBA from Kellogg Graduate School of Management.
Mitch serves as a fellow in the Jewish Family and Children’s Services New Leaders program and has been actively involved with developmentally disabled initiatives in Marin County. He lives with his wife and son in Tiburon, California.
Securities Agent: MD, ID, MI, IN, IL, FL, AK, PA, NY, NH, AZ, OH, VA, LA, DC, WY, MT, MA, HI, GA, TX, NM, NJ, NE, MN, KS, CA, SC, OR, CO, VT, NV, MO, DE, WI, UT, MS, CT, WA, TN, NC; General Securities Representative; Investment Advisor Representative
NMLS#: 1842852
NMLS#: 1842852
About Haylie Garrie
Haylie Garrie is a Senior Vice President and Corporate Cash Investment Director with the Private Wealth Management Division of Morgan Stanley. Her primary responsibilities include business development, macroeconomic analysis, and business strategy.
Haylie joined Morgan Stanley in 2017. Prior to joining Morgan Stanley, she was at Goldman Sachs. Haylie received a B.A. in History and a MAcc from University of Southern California. She currently lives in San Francisco, CA.
Haylie serves on the Board of Directors and Executive Finance Committee for a Federally Qualified Health Center whose mission is to provide quality clinical outreach and social services to underserved communities confronted with barriers to accessing healthcare. Haylie also serves on Morgan Stanley’s Regional Diversity Council as a champion of the Firm’s commitment to Diversity & Inclusion.
Haylie joined Morgan Stanley in 2017. Prior to joining Morgan Stanley, she was at Goldman Sachs. Haylie received a B.A. in History and a MAcc from University of Southern California. She currently lives in San Francisco, CA.
Haylie serves on the Board of Directors and Executive Finance Committee for a Federally Qualified Health Center whose mission is to provide quality clinical outreach and social services to underserved communities confronted with barriers to accessing healthcare. Haylie also serves on Morgan Stanley’s Regional Diversity Council as a champion of the Firm’s commitment to Diversity & Inclusion.
Securities Agent: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY; General Securities Representative; Investment Advisor Representative
NMLS#: 2153779
NMLS#: 2153779
About Will Benner
Will joined Morgan Stanley in August 2013 and originally joined the 511 Group in 2018 as the team’s Senior Analyst. In 2023 he transitioned to the Private Wealth Advisor Associate role in which he leads all investment research and due diligence efforts across long-only equity, hedge funds, and private investments for client implementation. This work has deepened his interest in the study of investment philosophy and process across different portfolio management teams.
Will graduated from Cal Poly – San Luis Obispo in 2013 with a B.A in Business Administration with a concentration in Finance.
As a Bay Area native Will enjoys the plentiful views the SF Bay has to offer, the proximity of Napa wine country, and watching all Bay Area Sports.
Will graduated from Cal Poly – San Luis Obispo in 2013 with a B.A in Business Administration with a concentration in Finance.
As a Bay Area native Will enjoys the plentiful views the SF Bay has to offer, the proximity of Napa wine country, and watching all Bay Area Sports.
Securities Agent: AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY, AZ, AK, AL; General Securities Representative; Investment Advisor Representative
About Monna Laing
Monna is a Senior Vice President and Group Director within the Private Wealth Management Division of Morgan Stanley. She provides administrative support and oversees the daily operations, maintenance and service for the clients.
Monna joined Morgan Stanley in 1998 and has 25 years Private Wealth experience. She attended Newbury College in Massachusetts and received a B.S. in Business Management from University of Phoenix.
On most Saturday mornings, you can find Monna “a foodie” at the Ferry Plaza farmers market. In her spare time, she enjoys cooking and ballroom dancing. Originally from Hong Kong, Monna now lives in Alameda CA with her husband.
Monna joined Morgan Stanley in 1998 and has 25 years Private Wealth experience. She attended Newbury College in Massachusetts and received a B.S. in Business Management from University of Phoenix.
On most Saturday mornings, you can find Monna “a foodie” at the Ferry Plaza farmers market. In her spare time, she enjoys cooking and ballroom dancing. Originally from Hong Kong, Monna now lives in Alameda CA with her husband.
About Anne Green
Anne is a Director of Business Strategy and Senior Vice President within the Private Wealth Management Division of Morgan Stanley. She joined Morgan Stanley in 2005 after a year at Deutsche Bank Alex.Brown and has over 18 years of experience in the industry. She graduated from Santa Clara University with a B.S. in Finance where she played D1 water polo.
Anne lives in Half Moon Bay with her husband and two children and is an avid Bay Area sports fan. She is on the state board of directors for a conservation organization and on the board of directors of her local Little League. On the weekends, she can be found shuttling her kids between activities and cheering them on at sports games.
Anne lives in Half Moon Bay with her husband and two children and is an avid Bay Area sports fan. She is on the state board of directors for a conservation organization and on the board of directors of her local Little League. On the weekends, she can be found shuttling her kids between activities and cheering them on at sports games.
About Christine Kim
Christine Kim is a Registered Wealth Management Associate within the Private Wealth Management division of Morgan Stanley. Her primary responsibilities include administrative support, daily operations, and service to our clients. Prior to joining Morgan Stanley, she spent 12 years as a Relationship Manager within Citi’s Prime Finance team. Christine earned a B.S. in Managerial Economics at the University of California, Davis.
After 10 years in Manhattan, Christine now lives in the East Bay with her husband and two young kids. She enjoys spending the weekends hosting dinner parties for friends and family.
After 10 years in Manhattan, Christine now lives in the East Bay with her husband and two young kids. She enjoys spending the weekends hosting dinner parties for friends and family.
About Angela Kiriakopoulos
Angela is a registered Wealth Management Associate and Assistant Vice President within the Private Wealth Management division of Morgan Stanley. She joined the firm in 2018 after graduating from Dominican University of California with a B.A. in Business Management. Her primary responsibilities are centered around providing administrative and operational support to best service our clients.
Angela is a Bay Area native currently living in San Francisco who enjoys exploring the outdoors, trying new foods, traveling whenever possible, and spending time with a good book.
Angela is a Bay Area native currently living in San Francisco who enjoys exploring the outdoors, trying new foods, traveling whenever possible, and spending time with a good book.
About Kevin Tuholski
Kevin Tuholski is a Registered Client Service Associate within the Private Wealth Management division of Morgan Stanley. His main responsibilities include reporting, trading, and operational support. He joined the firm in 2022 after working at Cannell Capital, a long short equity hedge fund. Kevin is a graduate and former D1 Rugby player of UC Berkeley.
Kevin is a Bay Area native who enjoys watching Formula 1 and golfing in his free time.
Kevin is a Bay Area native who enjoys watching Formula 1 and golfing in his free time.
About Richard Ralston
Richard is a registered Wealth Management Associate within the Private Wealth Management division of Morgan Stanley. He joined the firm in 2024 after working at First Republic for nearly ten years. His main responsibilities include reporting, trading, and operational support.
Richard is a Sonoma County native who currently lives in Marin with his wife and daughter. Outside of the office, Richard enjoys hiking and spending time at the beach with his family.
Actively involved in his community, Richard serves on the Loans and Grants committee for the Jewish Family and Children’s Services in San Francisco.
Richard is a Sonoma County native who currently lives in Marin with his wife and daughter. Outside of the office, Richard enjoys hiking and spending time at the beach with his family.
Actively involved in his community, Richard serves on the Loans and Grants committee for the Jewish Family and Children’s Services in San Francisco.
About Anna Kathryn deBoisblanc
Anna Kathryn is a Client Service Associate within the Private Wealth Management division of Morgan Stanley. She joined the firm in 2024 after working with BTIG in Capital Markets. Prior to that, she was with JMP Securities, working in Institutional Equity Sales. She graduated from The University of Oregon with a B.A. in Environmental Studies and Geography. Anna Kathryn primarily works with clients to support them in Auxiliary and Concierge Services with Morgan Stanley.
Anna Kathryn is a Bay Area native currently living in Orinda, who enjoys hiking, cooking, and spending time outdoors with her dog.
Anna Kathryn is a Bay Area native currently living in Orinda, who enjoys hiking, cooking, and spending time outdoors with her dog.
About Amaka Nwankwo
Amaka Nwankwo is a Registered Client Service Associate within the Private Wealth Management division of Morgan Stanley. She joined the firm in 2025 after working at JP Morgan. Prior to that, she was at First Republic Private Wealth Management. She graduated from Santa Clara University with a bachelor’s degree in economics. In her spare time, she enjoys reading and learning figure skating.
Contact Scott Waxman
Contact Tom Piliero
Contact Alexander Yu
Contact Jeff Basich
Contact Mitch Waxman
Contact Haylie Garrie
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Bringing you engaging stories and key insights surrounding the complexities associated with significant wealth, including:
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LISTEN | Passion Assets: Investing in Art
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Thought Leadership for our ultra high net worth clients, which contains thought-provoking articles, authored by leading experts from Morgan Stanley Family Office Resources.
We look forward to discussing your needs and goals, and the exceptional resources we can place at your disposal.
1Investing in the market entails the risk of market volatility. The value of all types of investments may increase or decrease over varying time periods. The returns on a portfolio consisting primarily of sustainable or impact investments may be lower or higher than a portfolio that is more diversified or where decisions are based solely on investment considerations. Because sustainability and impact criteria exclude some investments, investors may not be able to take advantage of the same opportunities or market trends as investors that do not use such criteria.
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, and CFP® (with plaque design) in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website 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.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
See the Financial Advisors Biographies for Registration and Licensing information.
Certified Financial Planner™ Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and CFP® (with flame logo)® in the U.S., which it awards to individuals who successfully complete CFP® Board's initial and ongoing certification requirements.
Investment Management Consultants Association, Inc. owns the marks CIMA®, Certified Investment Management Analyst® (with graph element)®, and Certified Investment Management Analyst® .
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Lifestyle Advisory Services: Products 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.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
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
Awards Disclosures
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, and CFP® (with plaque design) in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website 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.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
See the Financial Advisors Biographies for Registration and Licensing information.
Certified Financial Planner™ Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and CFP® (with flame logo)® in the U.S., which it awards to individuals who successfully complete CFP® Board's initial and ongoing certification requirements.
Investment Management Consultants Association, Inc. owns the marks CIMA®, Certified Investment Management Analyst® (with graph element)®, and Certified Investment Management Analyst® .
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Lifestyle Advisory Services: Products 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.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
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
Awards Disclosures
CRC 4237142 (02/2025)
