Daniel S. Schwartz
Managing Director, Private Wealth Management, Private Wealth Advisor, Senior Portfolio Management Director, Family Wealth Director
Phone:
(212) 296-9957(212) 296-9957
Morgan Stanley Private Wealth Management
The Alfa Group
Our Mission Statement
Experience, intellectual capital and dedicated personal service to help you meet your life goals
Our Story and Services
Welcome to The Alfa Group at Morgan Stanley Private Wealth Management.
To truly make a difference in our clients’ lives, we go beyond just analyzing balance sheets. We begin by understanding what matters most to you and your family, and the reasons behind those priorities.
Our team guide’s our clients through the evolving landscape of the global economy. Whether advising leading CEOs, working with innovative entrepreneurs, or supporting exceptional families across generations, we offer a comprehensive perspective alongside the resources of a dedicated private wealth management team.
Our mission is to provide you with exceptional service every day, helping to ensure you stay on track to achieve your financial goals.
To truly make a difference in our clients’ lives, we go beyond just analyzing balance sheets. We begin by understanding what matters most to you and your family, and the reasons behind those priorities.
Our team guide’s our clients through the evolving landscape of the global economy. Whether advising leading CEOs, working with innovative entrepreneurs, or supporting exceptional families across generations, we offer a comprehensive perspective alongside the resources of a dedicated private wealth management team.
Our mission is to provide you with exceptional service every day, helping to ensure you stay on track to achieve your financial goals.
Capabilities
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.
EVERYTHING YOU NEED, ALL IN ONE PLACE
As a Morgan Stanley client, you have access to a suite of digital tools and resources aimed at helping you manage your finances with greater ease.
Morgan Stanley Online (MSO)
When you sign up for MSO, you can conveniently and securely manage your account online or on your mobile device.
Spending and Budgeting Tool
Track spending habits, categorize expenses and create budgets across your Morgan Stanley and external financial accounts with our Spending and Budgeting Tool.
Digital Vault
Digital Vault allows for easy sharing and convenient access to your most important documents from wills and deeds to financial statements and tax fillings. Easily manage your encrypted financial records all in one place.
eDelivery
eDelivery provides you with the ability to view statements and other documents electronically in lieu of paper. Clients who are registered in Morgan Stanley Online may enroll in eDelivery.
Total Wealth View
View all your external financial accounts directly in Morgan Stanley Online or the mobile app. By linking your accounts, you'll benefit from more informed wealth planning, secure data access and convenient connectivity.
Online Security Center
Safeguarding your assets and information is one of our highest priorities, but you also have a critical role to play. Check out our collection of practical takeaways and best practices from our cybersecurity professionals, then explore a few of the ways we help protect you.
Awards & Recognitions
Daniel Schwartz - Forbes Best In State Wealth Advisor, NJ (2018-2024)
2018, 2019, 2020, 2021, 2022, 2023, 2024 Forbes Best-In- State Wealth Advisors Source: Forbes.com (Awarded 2018, 2019, 2020, 2021, 2022, 2023, 2024). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Daniel Schwartz - Forbes America’s Top Wealth Advisors (2016 – 2024)
2016, 2017, 2018, 2019, 2020, 2021, 2022, 2023, 2024 Forbes America's Top Wealth Advisors Source: Forbes.com (Awarded 2016, 2017, 2018, 2019, 2020, 2021, 2022, 2023, 2024). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of the year the award was issued.
Daniel Schwartz - Barrons’s Top 1,200 Financial Advisors 2009, 2010, 2011, 2012, 2014, 2015, 2016, 2017, 2018, 2019, 2020,2021, 2022, 2023, 2024
2009, 2010, 2011, 2012, 2014, 2015, 2016, 2017, 2018, 2019, 2020,2021, 2022, 2023, 2024 Barron's Top 1,200 Financial Advisors: State-by-State (formerly referred to as Barron's Top 1,000 Financial Advisors: State-by-State) Source: Barrons.com (Awarded 2009, 2010, 2011, 2012, 2014, 2015, 2016, 2017, 2018, 2019, 2020,2021, 2022, 2023, 2024). Data compiled by Barron's based on 12-month period concluding in Sept of the year prior to the issuance of the award.
William Schwartz: #47 Top Next-Gen Wealth Advisors Best-in-State (2024)
2024 Forbes America's Top Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-in-State (formerly referred to as Forbes America's Top Next-Gen Wealth Advisors, Forbes Top 1,000 Next-Gen Wealth Advisors, Forbes Top 500 Next Generation Wealth Advisors) Source: Forbes.com (Awarded 2024). Data compiled by SHOOK Research LLC based on 12-month period concluding in Mar of the year the award was issued.
William Schwartz: Team Member - Best-In-State Wealth Management Teams (2024)
2024 Forbes Best-In-State Wealth Management Teams Source: Forbes.com (Awarded 2024). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year prior to the issuance of the award.
Devin Darcangelo: FT Top 400 Financial Advisers 2016
2016 Financial Times 400 Top Financial Advisors Source: ft.com. Data compiled by the Financial Times based the following time periods: Awarded 2016; data 9/30/13 - 9/30/15
Team: Barron’s 2024 Top 250 Private Wealth Management Team.
Barron's Top 250 Private Wealth Management Teams Source: barrons.com (Awarded May 2024) Data compiled by Barron's for the period Jan 2023-Dec 2023.
Team Award: Forbes Best-In-State Wealth Management Team for 2024
Forbes Best-In-State Wealth Management Teams Source: Forbes.com (Awarded Jan 2024) Data compiled by SHOOK Research LLC based for the period 3/31/22-3/31/23.
Team Award: Forbes America’s Top Wealth Management Teams, 2023, 2024
2023, 2024 Forbes America's Top Wealth Management Teams
Source: Forbes.com (Awarded 2023, 2024). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year the award was issued.
Team Award: Forbes Best-in-State Wealth Management Teams, 2022
Forbes Best-in-State Wealth Management Teams Source: Forbes.com (Awarded Nov 2022) Data compiled by SHOOK Research LLC based on time period from 3/31/21-3/31/22.
Location
55 East 52nd Street 10th
Fl
New York, NY 10055
US
Direct:
(212) 296-0666(212) 296-0666
61 South Paramus Road
1st Floor
Paramus, NJ 07652
US
Meet The Alfa Group
William Schwartz
Senior Vice President, Private Wealth Advisor
Phone:
(212) 296-6047(212) 296-6047
George Fosdick, CFP®
Senior Vice President, Wealth Management, Private Wealth Advisor, CERTIFIED FINANCIAL PLANNER®
Phone:
(212) 296-1976(212) 296-1976
Devin Darcangelo
Executive Director, Private Wealth Management, Private Wealth Advisor, Corporate Retirement Director
Phone:
(212) 296-9951(212) 296-9951
Michael Sanzone
Vice President, Private Wealth Management, Private Wealth Advisor, Portfolio Manager, Workplace Advisor - Equity Compensation
Phone:
(212) 296-1055(212) 296-1055
Setta Oghlian
Senior Client Service Associate
Phone:
(212) 296-1931(212) 296-1931
Krystle Tharani-Kukreja
Business Development Associate
Phone:
(212) 296-0517(212) 296-0517
Nicole Flanzbaum
Assistant Vice-President, Wealth Management Associate
Phone:
(212) 296-0125(212) 296-0125
Tyler Paulino
Registered Client Relationship Analyst
Phone:
(212) 296-4185(212) 296-4185
Kevin Cunane, CFA*
Investment Consultant
Phone:
(212) 296-1347(212) 296-1347
About Daniel S. Schwartz
Over his 30-year career, Dan has helped clients navigate through several market cycles and has continuously strived to refine the skills that has earned him his institutional recognition. He works with a wide range of clients, including CEO's, entrepreneurs, families, and businesses, providing portfolio management and financial planning strategies.
“Inspired by the example my father set of passion and drive, I have built this practice by always putting our clients and their families first. What's sets us apart is our compassionate understanding of each generation's unique needs.”
The foundation of Dan’s investment process is exhaustive. With a focus on intrinsic value, his understanding of financial markets and money management helps him refine his clients’ strategies to cater to their life events and financial markets. An industry recognized professional, Dan helps provide a steady hand to clients and their families.
Experience:
• Began career with Kidder Peabody in 1982.
• Move to Morgan Stanley Smith Barney in 1991.
• Joined UBS Private Wealth Management in 2012.
• Rejoined Morgan Stanley’s Private Wealth Management in 2024
Credentials:
• Certified Investment Management Analysis, CIMA professional.
• Certified portfolio manager, CPM
• Economics, SUNY Albany, 1987
Life:
• Dan has two sons, Billy & Michael
• Avid golfer, vintage race car driver and plays guitar.
Awards:
- Barron’s Top 250 Private Wealth Management Teams, 2024
- Barron’s Top 1200 Financial Advisors, 2014-2024
- Forbes American’s Top Wealth Management Teams (Private - Wealth & HNW) 2024-2022
- Forbes American’s Top Wealth Advisors, 2018–2024
- Forbes Best in State Wealth Advisors, 2018–2024
- Forbes Best in State Wealth Management Teams 2023, 2024
Barron's Top 250 Private Wealth Management Teams 2024
Source: Barron's (May 2024) Barron's Top 250 Private Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by Barron's for the period from Jan 2023-Dec 2023. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on an algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the assessment 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Barron's Top 1,200 Financial Advisors: State-by-State 2024
Source: Barron's (March 2024) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by Barron's for the period from Oct 2022-Sept 2023. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on an algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the assessment of Barron's and 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Barron's Top 1,200 Financial Advisors: State-by-State 2023
Source: Barron's.com (March 2023) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2023. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2021 - Sept 2022. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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. ©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
Barron's Top 1,200 Financial Advisors: State-by-State 2022
Source: Barron's.com (March 2022) 2022 Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2020 - Sept 2021. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron’s Top 1,200 Financial Advisors: State-by-State 2021
Source: Barron's.com (March 2021) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2021. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2019- Sept 2020. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron’s Top 1,200 Financial Advisors: State-by-State 2020
Source: Barron's.com (March 2020) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2020. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2018- Sept 2019. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron's Top 1,200 Financial Advisors: State-by-State 2019
Source: Barron's.com (March 2019) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2019. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2017- Sept 2018. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron's Top 1,200 Financial Advisors: State-by-State 2018
Source: Barron's.com (March 2018) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2018. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2016- Sept 2017. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron's Top 1,200 Financial Advisors: State-by-State 2017
Source: Barron's.com (March 2017) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2017. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2015 - Sept 2016. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron's Top 1,200 Financial Advisors: State-by-State 2016
Source: Barron's.com (March 2016) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2016. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2014 - Sept 2015. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron's Top 1,200 Financial Advisors: State-by-State 2015
Source: Barron's.com (February 2015) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2015. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2013 - Sept 2014. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron's Top 1,200 Financial Advisors: State-by-State 2014
Source: Barron's.com (February 2014) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2014. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2012 - Sept 2013. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Forbes America’s Top Wealth Management Teams 2024
Source: Forbes.com (November 2024) 2024 Forbes America’s Top Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/23–3/31/24. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2024
Source: Forbes.com (Jan 2024) 2024 Forbes Best-In-State Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/22–3/31/23. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC, for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2023
Source: Forbes.com (January 2023) 2023 Forbes Best-In-State Wealth Management Teams ranking awarded in 2023. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Management Teams 2022
Source: Forbes.com (November 2022) 2022 Forbes America’s Top Wealth Management Teams ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America's Top Wealth Advisors 2022
Source: Forbes.com (August 2022) 2022 Forbes America's Top Wealth Advisors ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 - 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Forbes Best-In-State Wealth Advisors 2022
Source: Forbes.com (April 2022) 2022 Forbes Best-In- State Wealth Advisors rankings awarded in 2022. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/20 - 6/30/21. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America's Top Wealth Advisors 2021
Source: Forbes.com (August 2021) 2021 Forbes America's Top Wealth Advisors ranking awarded in 2021. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/20 - 3/31/21. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com ©2021 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Advisors 2021
Source: Forbes.com (Feb 2021) 2021 Forbes Best-In- State Wealth Advisors rankings awarded in 2021. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/19 - 6/30/20. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Advisors 2020
Source: Forbes.com (August 2020) 2020 Forbes America's Top Wealth Advisors ranking awarded in 2020. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/19 - 3/31/20. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
©2020 Morgan Stanley Smith Barney LLC. Member SIPC
Forbes Best-In-State Wealth Advisors 2020
Source: Forbes.com (Jan 2020) 2020 Forbes Best-In- State Wealth Advisors rankings awarded in 2020. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/18 - 6/30/19. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America's Top Wealth Advisors 2019
Source: Forbes.com (April 2019). America’s Top Wealth Advisors ranking was developed by SHOOK Research and is based on in-person and telephone due diligence meetings and a ranking algorithm that includes: client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Rankings are based on the opinions of SHOOK Research, LLC and not indicative of future performance or representative of any one client’s experience. Neither Forbes nor SHOOK Research receives compensation in exchange for placement on the ranking. For more information: www.SHOOKresearch.com.
Forbes Best-In-State Wealth Advisors 2019
Source: Forbes.com (Feb 2019) 2019 Forbes Best-In- State Wealth Advisors rankings awarded in 2019. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/17 - 6/30/18. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America's Top Wealth Advisors 2018
Source: Forbes.com (Sept 2018) 2018 Forbes America's Top Wealth Advisors ranking awarded in 2018. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/17 - 6/30/18. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Forbes Best-In-State Wealth Advisors 2018
Source: Forbes.com (Feb 2018) 2018 Forbes Best-In- State Wealth Advisors rankings awarded in 2018. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/16 - 6/30/17. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
©2018 Morgan Stanley Smith Barney LLC. Member SIPC.
“Inspired by the example my father set of passion and drive, I have built this practice by always putting our clients and their families first. What's sets us apart is our compassionate understanding of each generation's unique needs.”
The foundation of Dan’s investment process is exhaustive. With a focus on intrinsic value, his understanding of financial markets and money management helps him refine his clients’ strategies to cater to their life events and financial markets. An industry recognized professional, Dan helps provide a steady hand to clients and their families.
Experience:
• Began career with Kidder Peabody in 1982.
• Move to Morgan Stanley Smith Barney in 1991.
• Joined UBS Private Wealth Management in 2012.
• Rejoined Morgan Stanley’s Private Wealth Management in 2024
Credentials:
• Certified Investment Management Analysis, CIMA professional.
• Certified portfolio manager, CPM
• Economics, SUNY Albany, 1987
Life:
• Dan has two sons, Billy & Michael
• Avid golfer, vintage race car driver and plays guitar.
Awards:
- Barron’s Top 250 Private Wealth Management Teams, 2024
- Barron’s Top 1200 Financial Advisors, 2014-2024
- Forbes American’s Top Wealth Management Teams (Private - Wealth & HNW) 2024-2022
- Forbes American’s Top Wealth Advisors, 2018–2024
- Forbes Best in State Wealth Advisors, 2018–2024
- Forbes Best in State Wealth Management Teams 2023, 2024
Barron's Top 250 Private Wealth Management Teams 2024
Source: Barron's (May 2024) Barron's Top 250 Private Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by Barron's for the period from Jan 2023-Dec 2023. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on an algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the assessment 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Barron's Top 1,200 Financial Advisors: State-by-State 2024
Source: Barron's (March 2024) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by Barron's for the period from Oct 2022-Sept 2023. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on an algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the assessment of Barron's and 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Barron's Top 1,200 Financial Advisors: State-by-State 2023
Source: Barron's.com (March 2023) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2023. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2021 - Sept 2022. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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. ©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
Barron's Top 1,200 Financial Advisors: State-by-State 2022
Source: Barron's.com (March 2022) 2022 Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2020 - Sept 2021. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron’s Top 1,200 Financial Advisors: State-by-State 2021
Source: Barron's.com (March 2021) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2021. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2019- Sept 2020. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron’s Top 1,200 Financial Advisors: State-by-State 2020
Source: Barron's.com (March 2020) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2020. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2018- Sept 2019. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron's Top 1,200 Financial Advisors: State-by-State 2019
Source: Barron's.com (March 2019) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2019. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2017- Sept 2018. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron's Top 1,200 Financial Advisors: State-by-State 2018
Source: Barron's.com (March 2018) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2018. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2016- Sept 2017. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron's Top 1,200 Financial Advisors: State-by-State 2017
Source: Barron's.com (March 2017) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2017. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2015 - Sept 2016. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron's Top 1,200 Financial Advisors: State-by-State 2016
Source: Barron's.com (March 2016) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2016. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2014 - Sept 2015. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron's Top 1,200 Financial Advisors: State-by-State 2015
Source: Barron's.com (February 2015) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2015. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2013 - Sept 2014. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Barron's Top 1,200 Financial Advisors: State-by-State 2014
Source: Barron's.com (February 2014) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2014. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2012 - Sept 2013. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. 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.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Forbes America’s Top Wealth Management Teams 2024
Source: Forbes.com (November 2024) 2024 Forbes America’s Top Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/23–3/31/24. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2024
Source: Forbes.com (Jan 2024) 2024 Forbes Best-In-State Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/22–3/31/23. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC, for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2023
Source: Forbes.com (January 2023) 2023 Forbes Best-In-State Wealth Management Teams ranking awarded in 2023. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Management Teams 2022
Source: Forbes.com (November 2022) 2022 Forbes America’s Top Wealth Management Teams ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America's Top Wealth Advisors 2022
Source: Forbes.com (August 2022) 2022 Forbes America's Top Wealth Advisors ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 - 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Forbes Best-In-State Wealth Advisors 2022
Source: Forbes.com (April 2022) 2022 Forbes Best-In- State Wealth Advisors rankings awarded in 2022. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/20 - 6/30/21. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America's Top Wealth Advisors 2021
Source: Forbes.com (August 2021) 2021 Forbes America's Top Wealth Advisors ranking awarded in 2021. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/20 - 3/31/21. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com ©2021 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Advisors 2021
Source: Forbes.com (Feb 2021) 2021 Forbes Best-In- State Wealth Advisors rankings awarded in 2021. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/19 - 6/30/20. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Advisors 2020
Source: Forbes.com (August 2020) 2020 Forbes America's Top Wealth Advisors ranking awarded in 2020. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/19 - 3/31/20. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
©2020 Morgan Stanley Smith Barney LLC. Member SIPC
Forbes Best-In-State Wealth Advisors 2020
Source: Forbes.com (Jan 2020) 2020 Forbes Best-In- State Wealth Advisors rankings awarded in 2020. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/18 - 6/30/19. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America's Top Wealth Advisors 2019
Source: Forbes.com (April 2019). America’s Top Wealth Advisors ranking was developed by SHOOK Research and is based on in-person and telephone due diligence meetings and a ranking algorithm that includes: client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Rankings are based on the opinions of SHOOK Research, LLC and not indicative of future performance or representative of any one client’s experience. Neither Forbes nor SHOOK Research receives compensation in exchange for placement on the ranking. For more information: www.SHOOKresearch.com.
Forbes Best-In-State Wealth Advisors 2019
Source: Forbes.com (Feb 2019) 2019 Forbes Best-In- State Wealth Advisors rankings awarded in 2019. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/17 - 6/30/18. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America's Top Wealth Advisors 2018
Source: Forbes.com (Sept 2018) 2018 Forbes America's Top Wealth Advisors ranking awarded in 2018. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/17 - 6/30/18. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC
Forbes Best-In-State Wealth Advisors 2018
Source: Forbes.com (Feb 2018) 2018 Forbes Best-In- State Wealth Advisors rankings awarded in 2018. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/16 - 6/30/17. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
©2018 Morgan Stanley Smith Barney LLC. Member SIPC.
Securities Agent: OR, NM, OH, ME, IL, CO, MS, VT, VA, NH, ID, UT, RI, NE, MA, LA, HI, WY, WA, NC, MD, GA, CT, WI, AZ, AL, TX, NY, NV, DC, CA, SC, PA, NJ, DE, MT, MN, MI, KY, FL, TN; General Securities Representative; Investment Advisor Representative
About William Schwartz
Whether working with multigenerational families, corporate executives, or entrepreneurs, Billy helps deliver tailored advice focused on virtually all aspects of their lives. Driven by empathy for understanding his client’s unique situation, passion for helping them pursue their goals and discipline for continually working to provide efficient and useful guidance. Billy strives for excellence in everything he does.
Billy was exposed to the wealth management industry at a young age, watching his father become a top financial adviser, he recognized the joy his father's life’s work brought him - helping people simplify their complex financial lives. That's why he set the same goal for himself, to build the kind of enduring client relationships that can last a lifetime.
“There is nothing more rewarding to me than helping bring confidence into someone’s financial Life.”
A graduate of Franklin & Marshall College with a BA in Economics, Billy started his career working as a credit analyst for Amalgamated Bank’s commercial and industrial lending team. He then was selected for UBS’s Wealth Advice Center training program in 2018, where he gained experience as a Client Service Associate and Financial Advisor. The following year he joined his father and The Alfa Group.
Billy resides in Hoboken with his wife.
Billy was exposed to the wealth management industry at a young age, watching his father become a top financial adviser, he recognized the joy his father's life’s work brought him - helping people simplify their complex financial lives. That's why he set the same goal for himself, to build the kind of enduring client relationships that can last a lifetime.
“There is nothing more rewarding to me than helping bring confidence into someone’s financial Life.”
A graduate of Franklin & Marshall College with a BA in Economics, Billy started his career working as a credit analyst for Amalgamated Bank’s commercial and industrial lending team. He then was selected for UBS’s Wealth Advice Center training program in 2018, where he gained experience as a Client Service Associate and Financial Advisor. The following year he joined his father and The Alfa Group.
Billy resides in Hoboken with his wife.
Securities Agent: HI, DC, CT, OR, NV, MN, LA, WY, TX, RI, NH, NC, KY, UT, SC, PA, NE, MI, FL, DE, VA, MS, MA, AZ, MT, IL, VT, GA, WI, WA, OH, ME, ID, CO, CA, AL, TN, NY, NJ, MD; General Securities Representative; Investment Advisor Representative
NMLS#: 2658576
NMLS#: 2658576
About George Fosdick
For over 25 years, George has guided his clients in helping achieve their most important financial goals, navigating an ever-changing and complex financial landscape. As a Private Wealth Advisor backed by the global resources of Morgan Stanley, he provides highly personalized strategies to help grow and preserve the wealth of ultra-high-net-worth individuals, families and institutions.
George takes a holistic and collaborative approach, fostering deep, long-term relationships with his clients. Their goals and priorities remain at the center of his practice. Leveraging cutting-edge technology, market insights, and the intellectual capital of Morgan Stanley Private Wealth Management, his clients benefit from his clear, focused and objective advice.
“The care with which I approach planning and investing is rooted in treating my clients’ assets as irreplaceable – crafting personalized financial plans.”
Background:
• Joined the Alfa Group in 2011
• JPMorgan Chase and Wells Fargo Private Banking prior to joining the Alfa Group
Education:
• Certified Financial Planner
• Muhlenberg College, B.A. Political Economy
• Executive Education Certificate though Wharton, UPenn
Outside of Work:
• Married to Monica, father of 3 children
• Youth sports coach for 15+ years
• Volunteer Firefighter for 33 years
• Enjoys spending time outdoors with family and friends and a good country music concert
• Barron’s Top 250 Private Wealth Management Teams, 2024
• Forbes American’s Top Wealth Management Teams (Private Wealth & HNW) 2024-2022
• Forbes Best in State Wealth Management Teams 2023, 2024
Barron's Top 250 Private Wealth Management Teams 2024
Source: Barron's (May 2024) Barron's Top 250 Private Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by Barron's for the period from Jan 2023-Dec 2023. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on an algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the assessment 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Management Teams 2024
Source: Forbes.com (November 2024) 2024 Forbes America’s Top Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/23–3/31/24. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2024
Source: Forbes.com (Jan 2024) 2024 Forbes Best-In-State Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/22–3/31/23. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC, for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2023
Source: Forbes.com (January 2023) 2023 Forbes Best-In-State Wealth Management Teams ranking awarded in 2023. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Management Teams 2022
Source: Forbes.com (November 2022) 2022 Forbes America’s Top Wealth Management Teams ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2024
Source: Forbes.com (Jan 2024) 2024 Forbes Best-In-State Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/22–3/31/23. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC, for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2023
Source: Forbes.com (January 2023) 2023 Forbes Best-In-State Wealth Management Teams ranking awarded in 2023. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Management Teams 2022
Source: Forbes.com (November 2022) 2022 Forbes America’s Top Wealth Management Teams ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
George takes a holistic and collaborative approach, fostering deep, long-term relationships with his clients. Their goals and priorities remain at the center of his practice. Leveraging cutting-edge technology, market insights, and the intellectual capital of Morgan Stanley Private Wealth Management, his clients benefit from his clear, focused and objective advice.
“The care with which I approach planning and investing is rooted in treating my clients’ assets as irreplaceable – crafting personalized financial plans.”
Background:
• Joined the Alfa Group in 2011
• JPMorgan Chase and Wells Fargo Private Banking prior to joining the Alfa Group
Education:
• Certified Financial Planner
• Muhlenberg College, B.A. Political Economy
• Executive Education Certificate though Wharton, UPenn
Outside of Work:
• Married to Monica, father of 3 children
• Youth sports coach for 15+ years
• Volunteer Firefighter for 33 years
• Enjoys spending time outdoors with family and friends and a good country music concert
• Barron’s Top 250 Private Wealth Management Teams, 2024
• Forbes American’s Top Wealth Management Teams (Private Wealth & HNW) 2024-2022
• Forbes Best in State Wealth Management Teams 2023, 2024
Barron's Top 250 Private Wealth Management Teams 2024
Source: Barron's (May 2024) Barron's Top 250 Private Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by Barron's for the period from Jan 2023-Dec 2023. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on an algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the assessment 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Management Teams 2024
Source: Forbes.com (November 2024) 2024 Forbes America’s Top Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/23–3/31/24. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2024
Source: Forbes.com (Jan 2024) 2024 Forbes Best-In-State Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/22–3/31/23. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC, for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2023
Source: Forbes.com (January 2023) 2023 Forbes Best-In-State Wealth Management Teams ranking awarded in 2023. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Management Teams 2022
Source: Forbes.com (November 2022) 2022 Forbes America’s Top Wealth Management Teams ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2024
Source: Forbes.com (Jan 2024) 2024 Forbes Best-In-State Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/22–3/31/23. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC, for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2023
Source: Forbes.com (January 2023) 2023 Forbes Best-In-State Wealth Management Teams ranking awarded in 2023. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Management Teams 2022
Source: Forbes.com (November 2022) 2022 Forbes America’s Top Wealth Management Teams ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Securities Agent: DE, GA, WY, TX, IL, NY, ME, WI, NJ, CO, CA, TN, PA, OR, MS, MI, AZ, WA, VT, NV, MD, NH, RI, NE, MN, HI, UT, SC, OH, MT, DC, CT, VA, NC, MA, LA, KY, FL, AL; General Securities Representative; Investment Advisor Representative
NMLS#: 2681663
NMLS#: 2681663
About Devin Darcangelo
Devin is an experienced financial advisor with over 25 years of experience in wealth management, offering personalized advice to both private and institutional clients. He focuses on helping clients address complex wealth management issues, focusing on risk mitigation, financial planning, and long-term wealth preservation strategies. By identifying specific goals and crafting tailored solutions, Devin helps enable clients to grow and preserve their wealth while helping ensure smooth transitions to future generations.
Devin spent several years at Morgan Stanley and UBS helping clients navigate volatile markets. He has extensive experience advising wealthy families and institutional clients on complex liquidity events and business transactions.
Barron’s Top 250 Private Wealth Management Teams, 2024
Forbes American’s Top Wealth Management Teams (Private Wealth & HNW) 2024-2022
Forbes Best in State Wealth Management Teams 2023, 2024
Barron's Top 250 Private Wealth Management Teams 2024
Source: Barron's (May 2024) Barron's Top 250 Private Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by Barron's for the period from Jan 2023-Dec 2023. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on an algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the assessment 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Management Teams 2024
Source: Forbes.com (November 2024) 2024 Forbes America’s Top Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/23–3/31/24. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2024
Source: Forbes.com (Jan 2024) 2024 Forbes Best-In-State Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/22–3/31/23. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC, for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2023
Source: Forbes.com (January 2023) 2023 Forbes Best-In-State Wealth Management Teams ranking awarded in 2023. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Management Teams 2022
Source: Forbes.com (November 2022) 2022 Forbes America’s Top Wealth Management Teams ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Devin spent several years at Morgan Stanley and UBS helping clients navigate volatile markets. He has extensive experience advising wealthy families and institutional clients on complex liquidity events and business transactions.
Barron’s Top 250 Private Wealth Management Teams, 2024
Forbes American’s Top Wealth Management Teams (Private Wealth & HNW) 2024-2022
Forbes Best in State Wealth Management Teams 2023, 2024
Barron's Top 250 Private Wealth Management Teams 2024
Source: Barron's (May 2024) Barron's Top 250 Private Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by Barron's for the period from Jan 2023-Dec 2023. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on an algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the assessment 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.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Management Teams 2024
Source: Forbes.com (November 2024) 2024 Forbes America’s Top Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/23–3/31/24. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2024
Source: Forbes.com (Jan 2024) 2024 Forbes Best-In-State Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/22–3/31/23. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC, for placement on its rankings. This ranking is based on in-person and telephone due diligence meetings to evaluate each Financial Advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.
© 2024 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes Best-In-State Wealth Management Teams 2023
Source: Forbes.com (January 2023) 2023 Forbes Best-In-State Wealth Management Teams ranking awarded in 2023. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one client’s experience; investors must carefully choose the right Financial Advisor or team for their own situation and perform their own due diligence. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2023 Morgan Stanley Smith Barney LLC. Member SIPC.
Forbes America’s Top Wealth Management Teams 2022
Source: Forbes.com (November 2022) 2022 Forbes America’s Top Wealth Management Teams ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 3/31/21 – 3/31/22. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC 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 SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com. ©2022 Morgan Stanley Smith Barney LLC. Member SIPC.
Securities Agent: ID, WY, NC, ME, CO, NH, MT, MD, KY, HI, DE, WI, MI, MA, DC, SC, NJ, GA, AZ, VT, TN, RI, MN, IL, CT, CA, VA, MS, OH, NE, FL, AL, WA, UT, TX, OR, NV, PA, NY, LA; General Securities Representative; Investment Advisor Representative; Managed Futures
About Michael Sanzone
In working directly with a diverse group of ultra-high net worth clients, including millennial investors who may be just starting out, Michael is dedicated to making a meaningful difference in their lives. He has experience with uncommonly complex investment solutions and focuses on understanding clients’ big picture and. Most pressing needs.
Michael is working to build lasting relationships by being consistently responsible, proactive and accountable. He works closely with each member of the team to provide market research, develop and implement financial plans, coordinate investment strategies and monitor client portfolios. Michael is dedicated to helping clients feel prepared and on track to reaching their goals.
“Our steady guidance helps us develop long-term relationships with our clients. They know we are right there with them every step of the way as they face opportunities and complexities in various stages of their life.
Michael, graduated from Merrill Lynch’s Financial Advisor program, where he started as a Junior Analyst on a team within the Private Banking & Investments Group (PBIG), primarily servicing High-Net Worth and Institutional clients.
Joined the Alfa Group in 2022
Education:
- BA, Business and Political Science, Franklin & Marshall College
- Holds the Series 7 & 66 licenses
Outside of Work:
- Avid Golfer & Skier
- Member of the Upper Montclair Country Club
- Michael and his wife live in Hoboken, NJ
Michael is working to build lasting relationships by being consistently responsible, proactive and accountable. He works closely with each member of the team to provide market research, develop and implement financial plans, coordinate investment strategies and monitor client portfolios. Michael is dedicated to helping clients feel prepared and on track to reaching their goals.
“Our steady guidance helps us develop long-term relationships with our clients. They know we are right there with them every step of the way as they face opportunities and complexities in various stages of their life.
Michael, graduated from Merrill Lynch’s Financial Advisor program, where he started as a Junior Analyst on a team within the Private Banking & Investments Group (PBIG), primarily servicing High-Net Worth and Institutional clients.
Joined the Alfa Group in 2022
Education:
- BA, Business and Political Science, Franklin & Marshall College
- Holds the Series 7 & 66 licenses
Outside of Work:
- Avid Golfer & Skier
- Member of the Upper Montclair Country Club
- Michael and his wife live in Hoboken, NJ
Securities Agent: MN, NH, RI, OR, ME, LA, VA, NV, GA, NE, MT, KY, AL, MI, DE, WY, WI, WA, UT, ID, CO, AZ, TX, SC, MS, MA, HI, DC, CA, TN, PA, NJ, NC, FL, OH, IL, MD, CT, VT, NY; General Securities Representative; Investment Advisor Representative
NMLS#: 1572607
NMLS#: 1572607
About Setta Oghlian
Setta has worked in the financial services industry for over 25 years, most recently as Senior Client Service Associate at UBS. Setta has focused on private clients and small businesses. She resides in Westwood, NJ with her husband and 2 sons.
About Krystle Tharani-Kukreja
With over 19 years of experience in the financial services industry, Krystle has developed a strong acumen in client relations and financial strategy. She joined the Alfa Group in February 2018, where she focuses on managing special client projects, overseeing account monitoring, executing trades, and providing comprehensive reporting on alternative investment strategies for clients. Prior to her role with the Alfa Group, Krystle served as a Client Coverage Executive at Dealogic and worked within the strategic initiatives group at Bank of America-Merrill Lynch, where she contributed to delivering institutional solutions for clients in Global Wealth Management, driving business across both groups.
Krystle holds a Bachelor of Science from the University of Southern California (USC) Marshall School of Business and is licensed with FINRA Series 7, 63, and 66.
Outside of her professional career, Krystle enjoys practicing yoga, exploring fine dining, and spending quality time with her husband and two sons in Franklin Lakes, NJ.
Krystle holds a Bachelor of Science from the University of Southern California (USC) Marshall School of Business and is licensed with FINRA Series 7, 63, and 66.
Outside of her professional career, Krystle enjoys practicing yoga, exploring fine dining, and spending quality time with her husband and two sons in Franklin Lakes, NJ.
About Nicole Flanzbaum
Nicole has been in the financial industry for over 25 years. She joined The Alfa Group in 2019. Nicole is a dedicated Wealth Management Associate delivering exceptional client service. Her attention to detail and proactive approach ensure that clients receive timely and accurate information while fostering strong, trusting relationships. Outside of work, she enjoys music, traveling and spending time with her two sons.
About Kevin Cunane
Kevin is an Investment Consultant and focuses on equity research, asset allocation & strategy, and portfolio analytics. Prior to joining the Alfa Group, he spent 5 years at Citi in Equity Research covering the Oil and Gas sector. Kevin is a CFA charterholder* and has his Series 7, 63, 86 and 87 securities licenses. He graduated Cum Laude from the University at Buffalo in 2011 with a bachelor’s degree in business administration with a finance concentration. Kevin and his wife live in New York, NY.
*This role cannot solicit or provide investment advice
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
*This role cannot solicit or provide investment advice
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
Contact Daniel S. Schwartz
Contact William Schwartz
Contact George Fosdick
Contact Devin Darcangelo
Contact Michael Sanzone
Wealth Management
Global Investment Office
Portfolio Insights
This is a video content
Managing Significant Wealth
- Investment Management
- Wealth Transfer & Philanthropy
- Cash Management & Lending
- Family Governance & Wealth Education
- Lifestyle Advisory
- Business Services
Funding Climate Action: Pathways for Philanthropy
Article Image
Insights and Outcomes
Thought Leadership for our ultra high net worth clients, which contains thought-provoking articles, authored by leading experts from Morgan Stanley Family Office Resources.
Private Wealth Management Podcast
Bringing you engaging stories and key insights surrounding the complexities associated with significant wealth, including:
- Intergenerational Planning
- Philanthropic Giving
- Non-Traditional Assets
- Managing Family Wealth
We look forward to discussing your needs and goals, and the exceptional resources we can place at your disposal.
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.
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.
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.
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 always check with their tax or legal advisor before engaging in any transaction involving 529 Plans, Education Savings Accounts and other tax-advantaged investments.
3Morgan 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.
4Alternative 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.
5When 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.
6Morgan 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
7Morgan 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.
8Morgan Stanley’s investment advisory programs may require a minimum asset level and, depending on your specific investment objectives and financial position, may not be appropriate for you. Please see the Morgan Stanley Smith Barney LLC program disclosure brochure (the “Morgan Stanley ADV”) for more information in the investment advisory programs available. The Morgan Stanley ADV is available at www.morganstanley.com/ADV.
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
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.
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.
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 always check with their tax or legal advisor before engaging in any transaction involving 529 Plans, Education Savings Accounts and other tax-advantaged investments.
3Morgan 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.
4Alternative 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.
5When 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.
6Morgan 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
7Morgan 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.
8Morgan Stanley’s investment advisory programs may require a minimum asset level and, depending on your specific investment objectives and financial position, may not be appropriate for you. Please see the Morgan Stanley Smith Barney LLC program disclosure brochure (the “Morgan Stanley ADV”) for more information in the investment advisory programs available. The Morgan Stanley ADV is available at www.morganstanley.com/ADV.
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)
