William McGlothin
First Vice President, Financial Advisor, Alternative Investments Director
Phone:
(865) 330-0720(865) 330-0720
The Fisher McGlothin Group at Morgan Stanley
Direct:
(865) 558-9000(865) 558-9000
Toll-Free:
(800) 448-0020(800) 448-0020
Our Mission Statement
Comprehensive wealth planning strategies for your life and legacy
Our Story and Services
We believe success in achieving important financial goals starts with a comprehensive wealth strategy. We will help you define what is most important to you and then formulate the strategies that are suited for your needs, whether you are accumulating wealth or investing for income, solidifying your retirement plan or devising a distribution approach that meets your lifestyle and legacy goals.
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Working With You
“Someone is sitting in the shade today because someone planted a tree a long time ago.” – Warren Buffett
With over 30 years of experience in the financial services industry, The Fisher McGlothin Group at Morgan Stanley can assist in directing you through any financial situation or responsibility. Our trusted wealth management advice and security is held to the highest standard and has one focus: our clients. Employing thoughtful evaluation and planning, our team will guide you through the investment process with sound decision making that meet your objectives and needs for the future.
With over 30 years of experience in the financial services industry, The Fisher McGlothin Group at Morgan Stanley can assist in directing you through any financial situation or responsibility. Our trusted wealth management advice and security is held to the highest standard and has one focus: our clients. Employing thoughtful evaluation and planning, our team will guide you through the investment process with sound decision making that meet your objectives and needs for the future.
Events
The Fisher McGlothin Group periodically hosts events for clients and guests to provide educational opportunities and to facilitate an enjoyable atmosphere where clients engage in meaningful conversations. Some of the events include:
Knoxville Symphony Show House Reception
This client appreciation event supports the Knoxville Symphony Orchestra and provides an enjoyable environment for local clients to engage and network over cocktails and hors d’ oeuvres.
Defending Your Portfolio – A Self-Defense Workshop for Women
This event included a discussion of various investing techniques to mitigate risk in portfolios. A self-defense workshop followed, led by two female police officers.
Charlotte Dinner
This dinner hosted for our local Charlotte clients included a Q&A session with Kevin Kisner, a golf pro, who shared stories about life as a PGA Tour Golfer. There were also presentations from representatives with Blackstone, J.P. Morgan, and Legg Mason discussing ways to lower risk with alternative strategies.
Knoxville Symphony Show House Reception
This client appreciation event supports the Knoxville Symphony Orchestra and provides an enjoyable environment for local clients to engage and network over cocktails and hors d’ oeuvres.
Defending Your Portfolio – A Self-Defense Workshop for Women
This event included a discussion of various investing techniques to mitigate risk in portfolios. A self-defense workshop followed, led by two female police officers.
Charlotte Dinner
This dinner hosted for our local Charlotte clients included a Q&A session with Kevin Kisner, a golf pro, who shared stories about life as a PGA Tour Golfer. There were also presentations from representatives with Blackstone, J.P. Morgan, and Legg Mason discussing ways to lower risk with alternative strategies.
Community Involvement
The Fisher McGlothin Group is proud to support many nonprofit organizations that create a positive impact on communities in our area. Contributing to these organizations is a way our team shows appreciation for the long-term benefits they deliver. Nonprofit organizations and programs that our team supports include:
Boys and Girls Clubs of the Tennessee Valley
Emerald Youth Foundation
Big Brothers Big Sisters
Second Harvest Food Bank
Knoxville Fellows Program
Childhelp USA
Hope Resource Center
Knoxville Symphony Orchestra
Knox Area Rescue Ministries
Greater Knoxville YMCA
Joni and Friends Tennessee
Senior Citizens Home Assistant Service
Rotary International
Executive Women International
Boys and Girls Clubs of the Tennessee Valley
Emerald Youth Foundation
Big Brothers Big Sisters
Second Harvest Food Bank
Knoxville Fellows Program
Childhelp USA
Hope Resource Center
Knoxville Symphony Orchestra
Knox Area Rescue Ministries
Greater Knoxville YMCA
Joni and Friends Tennessee
Senior Citizens Home Assistant Service
Rotary International
Executive Women International
We Hear You
Maintaining a great team is our key to success. Everyone who works with us is committed to helping you succeed.
Along with our financial experience, we pride ourselves on being strong communicators. That means we take time to listen carefully to you. We also work hard to make sure you understand—and are comfortable with—any financial options we suggest.
Along with our financial experience, we pride ourselves on being strong communicators. That means we take time to listen carefully to you. We also work hard to make sure you understand—and are comfortable with—any financial options we suggest.
Location
1111 Northshore Drive
Suite N-160
Knoxville, TN 37919
US
Direct:
(865) 558-9000(865) 558-9000
Toll-Free:
(800) 448-0020(800) 448-0020
Fax:
(866) 755-9037(866) 755-9037
Meet The Fisher McGlothin Group
Sally Fisher
Senior Vice President, Financial Advisor, Alternative Investments Director
Phone:
(865) 330-0712(865) 330-0712
Emily DeJarnett
Financial Advisor
Phone:
(865) 330-0702(865) 330-0702
John Fisher
Wealth Management Associate
Phone:
(865) 330-0711(865) 330-0711
Chris Pilone
Client Service Associate
About Me
I am a First Vice President and Financial Advisor with The Fisher McGlothin Group at Morgan Stanley. With over a decade of experience in the financial services industry, I focus on asset allocation, portfolio construction and ongoing review of financial plans for institutions and affluent families.A graduate of Wake Forest University, I received my B.S. in Business from The Calloway School of Business and Accountancy. In 2004, I began my professional career at our team’s predecessor firm, Smith Barney. Five years later, I achieved partner status in what is now The Fisher McGlothin Group.
My primary responsibility to our clients is building, implementing, monitoring and amending customized wealth management strategies, including retirement plans and trust services. Closely monitoring relationships with equity, fixed income and alternative investment managers allows me to consistently test and refine the team’s investment management process. I thoughtfully allocate strategies in each client’s portfolio with an emphasis on tax and risk management.Proud to be a Knoxville native, I love the people and natural beauty of East Tennessee. My community involvement includes active board membership with Boys & Girls Clubs of the Tennessee Valley, Senior Citizens Home Assistance Service, Joni and Friends Knoxville and The Knoxville Fellows Program. A member of Cedar Springs Presbyterian Church, I enjoy participating in Bible Study Fellowship and mentoring children through Big Brothers Big Sisters. Personal interests include world travel, reading, running, college athletics and anything related to the history of the financial markets.
My primary responsibility to our clients is building, implementing, monitoring and amending customized wealth management strategies, including retirement plans and trust services. Closely monitoring relationships with equity, fixed income and alternative investment managers allows me to consistently test and refine the team’s investment management process. I thoughtfully allocate strategies in each client’s portfolio with an emphasis on tax and risk management.Proud to be a Knoxville native, I love the people and natural beauty of East Tennessee. My community involvement includes active board membership with Boys & Girls Clubs of the Tennessee Valley, Senior Citizens Home Assistance Service, Joni and Friends Knoxville and The Knoxville Fellows Program. A member of Cedar Springs Presbyterian Church, I enjoy participating in Bible Study Fellowship and mentoring children through Big Brothers Big Sisters. Personal interests include world travel, reading, running, college athletics and anything related to the history of the financial markets.
Securities Agent: TN, WI, VT, VA, UT, TX, SC, PA, OK, NY, NJ, NH, NC, MT, MS, MO, MI, ME, MD, MA, LA, KS, IN, IL, ID, GA, FL, DC, CT, CO, CA, AR, AL; Managed Futures; General Securities Representative; Investment Advisor Representative
About Me
I am a Senior Vice President, Senior Investment Management Consultant and Financial Advisor with The Fisher McGlothin Group at Morgan Stanley. With more than 30 years of experience in the financial services industry, I focus on comprehensive wealth management strategies for affluent families, employee benefits for corporations and investment management for environmental remediation funds.
A graduate of the University of South Florida with a B.S. in Finance, I got my start in financial services in commercial banking, culminating in division management. Later I transitioned to private banking where I established and managed a Florida location for a regional bank. In 2001, I joined Salomon Smith Barney, which later became Morgan Stanley, as a Financial Advisor.
Continuing education is important to me. In 2010, I earned the designation of Chartered Retirement Plans Specialist. As a CRPS, I have completed a rigorous course of study encompassing the design, maintenance and administration of retirement plans. I am also an Accredited Asset Management Specialist (AAMS®), a designation that requires one to be adept at using sophisticated tools for vetting investment strategies. Morgan Stanley selected me to participate in their Family Wealth Advisor program, which is designed to deliver comprehensive solutions to complex matters facing our clients, including asset and liability management, insurance and wealth transfer strategies.
Wanting to give back to my community, I have served on numerous committees for non-profit organizations. My longest tenure was as a volunteer and board member with Hope Resource Center, ultimately serving as Board Chairman. I am currently Vice Chairman of the Board of Knox Area Rescue Ministries. My husband John and I are members of the Cedar Springs Presbyterian Church and are blessed with three children, nine grandchildren and one very pampered dog.
A graduate of the University of South Florida with a B.S. in Finance, I got my start in financial services in commercial banking, culminating in division management. Later I transitioned to private banking where I established and managed a Florida location for a regional bank. In 2001, I joined Salomon Smith Barney, which later became Morgan Stanley, as a Financial Advisor.
Continuing education is important to me. In 2010, I earned the designation of Chartered Retirement Plans Specialist. As a CRPS, I have completed a rigorous course of study encompassing the design, maintenance and administration of retirement plans. I am also an Accredited Asset Management Specialist (AAMS®), a designation that requires one to be adept at using sophisticated tools for vetting investment strategies. Morgan Stanley selected me to participate in their Family Wealth Advisor program, which is designed to deliver comprehensive solutions to complex matters facing our clients, including asset and liability management, insurance and wealth transfer strategies.
Wanting to give back to my community, I have served on numerous committees for non-profit organizations. My longest tenure was as a volunteer and board member with Hope Resource Center, ultimately serving as Board Chairman. I am currently Vice Chairman of the Board of Knox Area Rescue Ministries. My husband John and I are members of the Cedar Springs Presbyterian Church and are blessed with three children, nine grandchildren and one very pampered dog.
Securities Agent: TN, FL, WI, VT, VA, UT, TX, SC, PA, OK, NY, NJ, NH, NC, MT, MS, MO, MI, ME, MD, MA, LA, KY, KS, IN, IL, ID, HI, GA, DC, CT, CO, CA, AR, AL; Managed Futures; General Securities Representative; Investment Advisor Representative
NMLS#: 1305278
NMLS#: 1305278
About Me
I am a Financial Advisor with The Fisher McGlothin Group at Morgan Stanley. My primary focus is assessing the needs and goals of our clients in order to present comprehensive financial plans.I graduated with a B.S. in Psychology and a minor in Religion from the University of Georgia. I began my professional career working for a non-profit organization primarily focusing on the development and engagement of cross-sector community leaders. In that capacity, I also recorded, monitored and reported all organizational financial matters. Having moved to Knoxville four years ago, I am enjoying exploring all that East Tennessee has to offer. I am an alumnus of the Knoxville Fellows, a Christian leadership development program that focuses on service to our Knoxville community. I am passionate about education and have volunteered at Emerald Youth Foundation with their after-school program for elementary aged students. I am also an active member of Rotary International and Executive Women International. I also enjoy researching new recipes, college football, golf and attending live concerts.
Securities Agent: TN, WI, VT, VA, UT, TX, SC, PA, OK, NY, NJ, NH, NC, MT, MS, MO, MI, ME, MD, MA, LA, KS, IN, IL, ID, GA, FL, DC, CT, CO, CA, AR, AL; Managed Futures; General Securities Representative; Investment Advisor Representative
About Me
I am a Wealth Management Associate with The Fisher McGlothin Group at Morgan Stanley. With over 40 years of experience in the financial services industry, I concentrate on sophisticated wealth management strategies and tactical solutions for business owners, corporate executives, families and institutional clients.
I hold a B.A. in Economics from Miami University and attended Cleveland Marshall Law School. I began my career in corporate and institutional banking, providing a full array of banking services to institutional clients. After serving as City President for a major bank, I transitioned in 2001 to the securities industry, joining Salomon Smith Barney (a predecessor to Morgan Stanley) as a Financial Advisor. My role has evolved over time in response to the growth of our practice and the needs of our clients. Practice management and team dynamics are my highest priority.
Throughout my career, I have volunteered in leadership positions with non-profit organizations. As past President of the Knoxville Opera Company I instituted changes to help ensure continued viability. As a former board member of the Tennessee Theatre I co-chaired the major donors campaign for a $24 million facility restoration. I also previously chaired the Development and Finance Committees for Freedom in Christ Ministries as they transitioned from California to Knoxville. Other charities I have supported in recent years include Childhelp USA, Knoxville Chamber of Commerce, Knoxville Symphony Orchestra, Greater Knoxville YMCA, Boys & Girls Clubs of the Tennessee Valley, UT Knoxville Chancellors Associates, and Leadership Knoxville. In my free time, I enjoy tennis, reading and world travel.
I hold a B.A. in Economics from Miami University and attended Cleveland Marshall Law School. I began my career in corporate and institutional banking, providing a full array of banking services to institutional clients. After serving as City President for a major bank, I transitioned in 2001 to the securities industry, joining Salomon Smith Barney (a predecessor to Morgan Stanley) as a Financial Advisor. My role has evolved over time in response to the growth of our practice and the needs of our clients. Practice management and team dynamics are my highest priority.
Throughout my career, I have volunteered in leadership positions with non-profit organizations. As past President of the Knoxville Opera Company I instituted changes to help ensure continued viability. As a former board member of the Tennessee Theatre I co-chaired the major donors campaign for a $24 million facility restoration. I also previously chaired the Development and Finance Committees for Freedom in Christ Ministries as they transitioned from California to Knoxville. Other charities I have supported in recent years include Childhelp USA, Knoxville Chamber of Commerce, Knoxville Symphony Orchestra, Greater Knoxville YMCA, Boys & Girls Clubs of the Tennessee Valley, UT Knoxville Chancellors Associates, and Leadership Knoxville. In my free time, I enjoy tennis, reading and world travel.
About Me
I am a Client Service Associate with The Fisher McGlothin Group at Morgan Stanley. My role is to support the team operationally with new relationships, account maintenance and money movement. Our clients consider me the point person for anything related to their administrative needs.
I am a recent graduate of The University of Tennessee, receiving a Bachelor of Science in Finance with a concentration in Accounting. My college activities included The University of Tennessee Investment Group and Finance Executives International.
A native of Ohio, I enjoy traveling home frequently to spend time with family.
I am a recent graduate of The University of Tennessee, receiving a Bachelor of Science in Finance with a concentration in Accounting. My college activities included The University of Tennessee Investment Group and Finance Executives International.
A native of Ohio, I enjoy traveling home frequently to spend time with family.
Contact William McGlothin
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From Our Team
Michael Wilson: Monthly Investment Perspectives Webcast
Retirement
Working with you to understand your life goals and develop a personalized wealth strategy. Today and for the years to come.
- 401(k) Rollovers
- IRA Plans
- Retirement Income Strategies
- Retirement Plan Participants
- Annuities
Investing
Working closely with you to guide your wealth and investments through the most challenging market cycles.
- Asset Management
- Wealth Planning
- Traditional Investments
- Alternative Investments
- Impact Investing
Family
Creating customized financial strategies for the challenges that today's families face.
- Estate Planning Strategies
- 529 Plans / Education Savings Planning
- Long Term Care Insurance
- Special Needs Planning
- Trust Services
Business Planning
Helping you on key aspects of your business such as ownership, liquidity and developing opportunities.
- Succession Planning
- Business Planning
- Retirement Plan Sponsors
- Qualified Retirement Plans
- Corporate Pension Funds
Philanthropy
Making sure your philanthropic dollars are managed with the same high quality service as the rest of your wealth.
- Endowments
- Foundations
- Donor Advised Funds
- Impact Investing
Ready to start a conversation? Contact The Fisher McGlothin Group today.
Market Information Delayed 20 Minutes
1Morgan 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.
2Morgan 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.
3Morgan 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
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 suitable only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.
The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.
Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link: https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.
The securities/instruments, services, investments and investment strategies discussed in this material may not be suitable for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.
The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.
*References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.
CRC 2019752 10/2018
2Morgan 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.
3Morgan 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
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 suitable only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.
The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.
Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link: https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.
The securities/instruments, services, investments and investment strategies discussed in this material may not be suitable for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.
The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.
*References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.
Awards and Disclosures
2018 Financial Times 401 Top Retirement Advisors
The Financial Times 401 Top Retirement Advisors is an independent listing produced annually by the Financial Times (September 2018). The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in seven primary areas: DC plan assets under management (AUM), DC AUM growth rate, specialization in DC plans, years of experience, advanced industry credentials, compliance record and DC plan participation rate. This award does not evaluate the quality of services provided to clients and is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to The Financial Times in exchange for the rating.
40 under 40 Most Influential Business Leaders
Source: Baltimore Business Journal, “40 under 40 Most Influential Business Leaders”, August 2007. The award is based upon a recipient’s application and not upon any qualitative and quantitative criteria relating specifically to one’s position as a Financial Advisor. As such the award is not representative of any client’s experience nor is it indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney nor any of their Financial Advisors pay a fee to the Baltimore Business Journal in exchange for the rating.
40 under 40 Most Influential Business Leaders
Source: Baltimore Business Journal, “40 under 40 Most Influential Business Leaders”, August 1997. The award is based upon a recipient’s application and not upon any qualitative and quantitative criteria relating specifically to one’s position as a Financial Advisor. As such the award is not representative of any client’s experience nor is it indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney nor any of their Financial Advisors pay a fee to the Baltimore Business Journal in exchange for the rating.
401kWire’s 2011 300 Most Influential DC Advisors (2011 Ranking)
The 401kWire’s 300 Most Influential DC Advisors as identified by 401kWire using quantitative criteria selected from a pool of over 3000 nominations from the industry and the 401kWire’s editorial staff. The list of the 300 Most Influential DC Advisors was selected from more than 120,000 reader votes as well as from input from last year’s Top 40 Advisors and from distributors working with the advisors. Quantitative factors include but are not limited to, total assets, production, average account size, years in the business and other statistics about the advisors’ practices gathered directly from the nominees. Investment performance is not a criterion. The rating may not be representative of any one client’s experience and is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanly Smith Barney LLC nor its Financial Advisors pay a fee to 401kWire in exchange for the rating.
ASPPA 401(k) Leadership Award
Source: ASPPA’s “ASPPA 401(k) Leadership Award,” is designed to acknowledge a specific accomplishment and/or contribution by an individual or group of individuals within the 401(k) industry. This Award, sponsored by Morningstar, recognizes leadership, innovation and significant influence within the retirement industry targeting the sales, marketing and establishment of 401(k) plans. Firms review and approve nominations of individuals who match the ASPPA award criteria. Individuals are judged based on qualitative information collected from the nomination form, and potentially from interviews with the Award Committee. Finalists are entitled to receive paid airfare, conference registration, and three nights’ hotel accommodations to The ASPPA 401(k) SUMMIT. For more information on the award, go to http://www.aspa.org. The award is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors pay a fee to ASPPA in exchange for the award.
Barron’s - Top 100 Financial Advisors
Source: Barron’s “Top 100 Financial Advisors,” April 23, 2018. Barron’s “Top 100 Financial Advisors” bases its ratings on qualitative criteria: professionals with a minimum of 7 years of financial services experience, acceptable compliance records, client retention reports, customer satisfaction, and more. Financial Advisors are quantitatively rated based on varying types of revenues and assets advised by the financial professional, with weightings associated for each. Because individual client portfolio performance varies and is typically unaudited, this rating focuses on customer satisfaction and quality of advice. The rating may not be representative of any one client’s experience because it reflects a sample of all of the experiences of the Financial Advisor’s clients. The rating is not indicative of the Financial Advisor’s past or future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pay a fee to Barron’s in exchange for the rating. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Barron’s - Top Women Advisors Summit Attendees
2015 Summit
This advisor in addition to the award recipients, was one of several hundred financial advisors who were selected by their firms to attend the tenth annual Barron’s Top Women Advisors Summit, hosted by Barron’s magazine to promote best practices in the industry and the value of advice to the investing public. The invitation-only conference was held at The Breakers in Palm Beach, FL, from December 2 to 4. This exclusive conference is designed to promote best practices and generate new ideas across the industry. Participants attended workshops, many led by the Top 100 Women Financial Advisors, that explored current issues ranging from business development ideas through managing high-net-worth accounts and families to portfolio management and retirement planning.
This advisor in addition to the award recipients, was one of several hundred financial advisors who were selected by their firms to attend the tenth annual Barron’s Top Women Advisors Summit, hosted by Barron’s magazine to promote best practices in the industry and the value of advice to the investing public. The invitation-only conference was held at The Breakers in Palm Beach, FL, from December 2 to 4. This exclusive conference is designed to promote best practices and generate new ideas across the industry. Participants attended workshops, many led by the Top 100 Women Financial Advisors, that explored current issues ranging from business development ideas through managing high-net-worth accounts and families to portfolio management and retirement planning.
Barron’s - Winner’s Circle (Top 100)
Source: Barron’s “Top 100 Financial Advisors,” April 17, 2017. Barron’s “Top 100 Financial Advisors” bases its ratings on qualitative criteria: professionals with a minimum of 7 years of financial services experience, acceptable compliance records, client retention reports, customer satisfaction, and more. Financial Advisors are quantitatively rated based on varying types of revenues and assets advised by the financial professional, with weightings associated for each. Because individual client portfolio performance varies and is typically unaudited, this rating focuses on customer satisfaction and quality of advice. The rating may not be representative of any one client’s experience because it reflects a sample of all of the experiences of the Financial Advisor’s clients. The rating is not indicative of the Financial Advisor’s past or future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pay a fee to Barron’s in exchange for the rating. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Barron’s - Winner’s Circle Top Advisors Summit 2013
This advisor, in addition to the award recipients, was one of approximately 500 financial advisors who were selected by their firms to attend the eighth annual Barron’s Winner’s Circle Top Women Advisors Summit, hosted by Barron’s magazine to promote best practices in the industry and the value of advice to the investing public. The invitation-only conference was held at The Breakers in Palm Beach, FL, from December 4 to 6. This exclusive conference is designed to promote best practices and generate new ideas across the industry. Participants attended workshops, led by the Top 100 Women Financial Advisors, that explored current issues ranging from business development ideas through managing high-net-worth accounts and families to portfolio management and retirement planning.
Barron’s “Ranking the Institutional Consultants”
Source: Barron’s “Ranking the Institutional Consultants,” April 17, 2017. The teams in the ranking were evaluated on a range of criteria, including institutional investment assets overseen by the team, the revenue generated by those assets, the number of clients served by the team, and the number of team members and their regulatory records. Also considered were the advanced professional designations and accomplishments represented on the team. The rating is not indicative of the Institutional Consulting Director’s past or future performance. Neither Morgan Stanley Smith Barney LLC nor its Institutional Consulting Directors pay a fee to Barron’s in exchange for the rating. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Barron’s Multiple Award Winners
Awards as identified by Barron’s Magazine, using quantitative and qualitative criteria and selected from a total annual pool of over 3,000 nominations. Advisors who are selected have a minimum of seven years of financial services experience. Quantitative factors include, but are not limited to, the amount of assets under management. Qualitative factors include, but are not limited to, compliance record, interviews with senior management, and philanthropic work. Investment performance is not a criterion. The rating may not be representative of any one client’s experience and is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors pay a fee to Barron’s in exchange for the rating. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Barron’s Top 1,000 FAs
Source: Barron’s “Top 1,000 Advisors,” February 18, 2013, as identified by Barron’s magazine, using quantitative and qualitative criteria and selected from a pool of over 4,000 nominations. Advisors in the Top 1,000 Financial Advisors have a minimum of seven years of financial services experience. Qualitative factors include, but are not limited to, compliance record, interviews with senior management, and philanthropic work. Investment performance is not a criterion. The rating may not be representative of any one client’s experience and is not indicative of the financial advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron’s in exchange for the rating. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Barron’s Top 1,200 Advisors
Source: Barron’s “Top 1,200 Advisors,” March 6, 2017, as identified by Barron’s magazine, using quantitative and qualitative criteria and selected from a pool of over 4,000 nominations. Advisors in the Top 1,200 Financial Advisors have a minimum of seven years of financial services experience. Qualitative factors include, but are not limited to, compliance record and philanthropic work. Investment performance is not a criterion. The rating may not be representative of any one client’s experience and is not indicative of the financial advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron’s in exchange for the rating. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Barron’s Top 1,200 Advisors 2019
Source: Barron’s “Top 1,200 Advisors,” March 11, 2019, as identified by Barron’s magazine, using quantitative and qualitative criteria and selected from a pool of over 4,000 nominations. Advisors in the Top 1,200 Financial Advisors list have a minimum of seven years of financial services experience. Qualitative factors include, but are not limited to, compliance record and philanthropic work. Investment performance is not a criterion. The rating may not be representative of any one client’s experience and is not indicative of the financial advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron’s in exchange for the rating. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Barron’s Top 1,200 Financial Advisors - 2018
Source: Barron’s “Top 1,200 Financial Advisors,” March 12, 2018, as identified by Barron’s magazine, using quantitative and qualitative criteria and selected from a pool of over 4,000 nominations. Advisors in the Top 1,200 Financial Advisors list have a minimum of seven years of financial services experience. Qualitative factors include, but are not limited to, compliance record and philanthropic work. Investment performance is not a criterion. The rating may not be representative of any one client’s experience and is not indicative of the financial advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron’s in exchange for the rating. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Barron’s Top 100 Women
Source: Barron’s “Top 100 Women Financial Advisors,” June 5, 2017. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved. Barron’s “Top 100 Women Financial Advisors” bases its ratings on qualitative criteria: professionals with a minimum of 7 years financial services experience, acceptable compliance records, client retention reports, customer satisfaction, and more. Financial Advisors are quantitatively rated based on varying types of revenues and assets advised by the financial professional, with weightings associated for each. Because individual client portfolio performance varies and is typically unaudited, this rating focuses on customer satisfaction and quality of advice. The rating may not be representative of any one client’s experience because it reflects a sample of all of the experiences of the Financial Advisor’s clients. The rating is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor any of its Financial Advisors pay a fee to Barron’s in exchange for the rating.
© 2017 Morgan Stanley Smith Barney LLC. Member SIPC.
© 2017 Morgan Stanley Smith Barney LLC. Member SIPC.
Barron’s Top 100 Women Financial Advisors - 2018
Source: Barron’s “Top 100 Women Financial Advisors,” June 11, 2018. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved. Barron’s “Top 100 Women Financial Advisors” bases its ratings on qualitative criteria: professionals with a minimum of 7 years financial services experience, acceptable compliance records, client retention reports, customer satisfaction, and more. Financial Advisors are quantitatively rated based on varying types of revenues and assets advised by the financial professional, with weightings associated for each. Because individual client portfolio performance varies and is typically unaudited, this rating focuses on customer satisfaction and quality of advice. The rating may not be representative of any one client’s experience because it reflects a sample of all of the experiences of the Financial Advisor’s clients. The rating is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor any of its Financial Advisors pay a fee to Barron’s in exchange for the rating.
Barron’s Top Institutional Consultants 2018
Source: Barron’s “Ranking the Institutional Consultants,” April 23, 2018. The teams in the ranking were evaluated on a range of criteria, including institutional investment assets overseen by the team, the revenue generated by those assets, the number of clients served by the team, and the number of team members and their regulatory records. Also considered were the advanced professional designations and accomplishments represented on the team. The rating is not indicative of the Institutional Consulting Director’s past or future performance. Neither Morgan Stanley Smith Barney LLC nor its Institutional Consulting Directors pay a fee to Barron’s in exchange for the rating. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Crain’s Chicago Notable Financial Advisors
“Chicago’s Notable Financial Advisers 2018” October 22, 2018 as appearing in Crain’s Chicago Business, is based on nominations made to Crain’s. The criteria are that nominees must be based in the Chicago area, currently employed full time at a financial institution or company offering wealth management services, have a minimum 5 years’ experience, oversee at least $10 million in assets under advisement and contributions within the industry. The rating is not indicative of the Financial Advisors’ future performance. Neither Morgan Stanley Smith Barney LLC or its Financial Advisors paid a fee to Crain’s in exchange for the award.
Financial Times - Top 100 Women Financial Advisors
Source: Financial Times “Top 100 Women Financial Advisors,” November 19, 2014. Using quantifiable and objective criteria and selected from a pool of over 400 candidates, financial advisors in the Top 100 Women Financial Advisors are required to have a minimum of ten years’ experience and at least $200 million assets under management (“AUM”). Financial advisors were graded based on various factors including, but not limited to, AUM, compliance record, years of experience, AUM growth rate, industry certifications and online accessibility. The rating may not be representative of any one client’s experience and is not indicative of the financial advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to Financial Times in exchange for the rating. For more on methodology please go to www.ft.com/reports.
Financial Times 400 Top Advisors 2018
Source: The Financial Times 400 Top Financial Advisors is an independent listing produced annually by the Financial Times (March 2018). The FT 400 is based on data gathered from advisors, broker-dealer home offices, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in six primary areas: assets under management (AUM), asset growth, compliance record, experience, credentials and online accessibility. This award does not evaluate the quality of services provided to clients and is not indicative of this advisor’s future performance. Neither the brokerages nor the advisors pay a fee to the Financial Times in exchange for inclusion in the FT 400.
Financial Times Top 400
The Financial Times Top 400 Financial Advisors is an independent listing produced annually by the Financial Times (March, 2017). The FT 400 is based on data gathered from advisors, broker-dealer home offices, regulatory disclosures and the FT’s research. The listing reflects each advisor’s status in six primary areas: assets under management, asset growth, compliance record, experience and online accessibility. The award does not evaluate the quality of services provided to clients. The rating may not be representative of any one client’s experience and is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to The Financial Times in exchange for the rating.
Financial Times Top 401 Retirement Plan Advisors
Source: The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced annually by the Financial Times (September 2017). The FT 401 is based on data gathered from advisors, regulatory disclosures , and the FT’s research. The listing reflects each advisor’s status in seven primary areas: DC plan assets under management (AUM), DC AUM growth rate, specialization In DC plans, years of experience, advanced industry credentials, compliance record and DC plan participation rate. This award does not evaluate the quality of services provided to clients and is not indicative of the Financial Advisor’s future performance . Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to The Financial Times In exchange for the rating.
Five Star Wealth Manager
Five Star Professional, as a third party research firm, identified pre-qualified award candidates based on industry data and contacted all identified broker dealers, Registered Investment Advisor firms and FINRA-registered representatives to gather wealth manager nominations. Self-nominations are not accepted. Award candidates are then evaluated against 10 objective eligibility and evaluation criteria associated with wealth managers who must have a minimum of five years’ experience as an investment adviser representative or other accepted credentials, client retention rates, client assets administered, firm review and a favorable regulatory and complaint history as defined by Five Star. Five Star Professional determines the final list of Five Star Wealth Manager Award winners. The Award does not evaluate the quality of services furnished to clients and it is possible that the recipient may have received unfavorable ratings from those surveyed. Five Star Professional collected the information for this Award through surveys it conducted.
• Wealth managers and/or their firms do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers.
• The Five Star award is not indicative of the wealth manager’s future performance.
• Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets.
• The inclusion of a wealth manager on the list should not be construed as an endorsement of the wealth manager by Five Star Professional.
• Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future.
• For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com.
• Wealth managers and/or their firms do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers.
• The Five Star award is not indicative of the wealth manager’s future performance.
• Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets.
• The inclusion of a wealth manager on the list should not be construed as an endorsement of the wealth manager by Five Star Professional.
• Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future.
• For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com.
Forbes Best In State Wealth Advisors
Source: Forbes.com (February 2018). Best-in-State 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. Rankings are based on the opinions of SHOOK Research, LLC and are not indicative of future performance or representative of any one client’s experience. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pay a fee to Forbes or SHOOK Research in exchange for the ranking. For more information: www.SHOOKresearch.com.
Forbes Best-In-State Wealth Advisors 2019
Source: Forbes.com (Feb. 2019). America’s Best-In-State 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 are not indicative of future performance or representative of any one client’s experience. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pay a fee to Forbes or SHOOK Research in exchange for the ranking. For more information: www.SHOOKresearch.com.
Forbes Top Advisor List
Source: Forbes Magazine and Forbes Online (August 2016). The ranking of America’s Top Wealth Advisors, developed by Forbes’ partner SHOOK Research, is based on an algorithm of qualitative and quantitative data, rating thousands of wealth advisors with a minimum of seven years of experience and weighing factors like revenue trends, AUM, compliance records, industry experience and best practices learned through telephone and in-person interviews. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. The rating may not be representative of any one client’s experience and is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to Forbes or SHOOK Research in exchange for the ranking. For the full list and more, visit: www.forbes.com/top-wealth-advisors.
Forbes Top Next Gen Advisor 2018
Source: Forbes Magazine (July, 2018). Data provided by SHOOK™ Research, LLC. Data as of 3/31/18. SHOOK considered Financial Advisors born in 1980 or later with a minimum 4 years relevant experience, who have: built their own practices and lead their teams; joined teams and are viewed as future leadership; or a combination of both. Ranking algorithm is based on qualitative measures: telephone and in-person interviews, client retention, industry experience, credentials, review of compliance records, firm nominations; and quantitative criteria, such as: 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, which does not receive compensation from the advisors or their firms in exchange for placement on a ranking. The rating may not be representative of any one client’s experience and is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to Forbes or SHOOK Research in exchange for the ranking. For more information see www.SHOOKresearch.com.
Forbes Top Wealth Advisors
America’s Top Wealth Advisors (Forbes.com Sept. 2017). The ranking, developed by SHOOK Research, 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. 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 Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to Forbes or SHOOK Research in exchange for the ranking. For more information: www.SHOOKresearch.com.
Forbes Top Women Wealth Advisors 2018
Source: Forbes.com (May, 2018). America’s Top Women 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-- America’s Top Next Generation Wealth Advisors
Source: Forbes Magazine (July, 2017). Data provided by SHOOK™ Research, LLC. Data as of 3/31/17. SHOOK considered Financial Advisors born in 1980 or later with a minimum 4 years relevant experience, who have: built their own practices and lead their teams; joined teams and are viewed as future leadership; or a combination of both. Ranking algorithm is based on qualitative measures: telephone and in-person interviews, client retention, industry experience, credentials, review of compliance records, firm nominations; and quantitative criteria, such as: 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, which does not receive compensation from the advisors or their firms in exchange for placement on a ranking. The rating may not be representative of any one client’s experience and is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to Forbes or SHOOK Research in exchange for the ranking. For more information see www.SHOOKresearch.com.
Forbes’ Top 200 Women Wealth Advisors
Source: Forbes.com (February 2017). The ranking of America’s Top Women Wealth Advisors, developed by Forbes’ partner SHOOK Research, is based on a ranking algorithm that includes telephone and in-person interviews, 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 which does not receive compensation from the advisors or their firms in exchange for placement on a ranking. The rating may not be representative of any one client’s experience and is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to Forbes or SHOOK Research in exchange for the ranking. For the full list and more visit: www.forbes.com/top-wealth-advisors.
NABCAP Premier Wealth Advisors (5-Star Local List)
Source: NABCAP: "Premier Wealth Advisors", Omaha Magazine, Over 5000 direct contacts and over 40000 indirect contacts were made to seek participation and/or nomination of participants in the Premier Wealth Advisor Program. The number of individuals contacted varies based on the size of the local market. NABCAP uses a methodology that it has created that includes both quantitative and qualitative criteria including, but not limited to financial planning, education, experience, and compliance record. NABCAP contracts with Rank Premier Advisors to administer its evaluation process. NABCAP’s evaluation and ranking program (including the evaluation and validation process and the list of NABCAP Premier Advisors) is an independent third-party assessment based on objective, unbiased questions ("Program"). The Program is structured to ensure a comprehensive and objective evaluation of financial advisory practices. NABCAP’s methodology includes, but is not limited to (i) average assets per client, (ii) average number of clients per advisor, (iii) financial advisor to support staff ratio, and (iv) financial advisor and support staff credentials/designations. For more information on NABCAP’s methodology go to nabcap.org.
Premier Wealth Advisors do not pay a fee to be included in the final list of NABCAP Premier Wealth Advisors.
The overall evaluation score of a wealth manager may not be representative of any one client’s evaluation.
The inclusion of a wealth manager on the list should not be construed as an endorsement of the wealth manager by NABCAP or Omaha Magazine.
The rating is not indicative of the Financial Advisor’s future performance.
Premier Wealth Advisors do not pay a fee to be included in the final list of NABCAP Premier Wealth Advisors.
The overall evaluation score of a wealth manager may not be representative of any one client’s evaluation.
The inclusion of a wealth manager on the list should not be construed as an endorsement of the wealth manager by NABCAP or Omaha Magazine.
The rating is not indicative of the Financial Advisor’s future performance.
NAPA Net’s "Top Women Advisors of 2016"
NAPA Net’s "Top Women Advisors of 2016", December 14, 2016 as appearing in NAPA Net or www.NAPA-NET.org is based on a combination of nominations by the NAPA members as well as votes from individuals across the spectrum of the retirement industry. Nominees are asked to respond to a series of questions, both quantitative and qualitative, about their experience and practice. A panel of judges reviewed the anonymized questionnaires and selected the women honored in three separate categories including All-Star, Captains, and Rising Stars. The rating is not indicative of the Financial Advisors’ future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors pay a fee to NAPA-Net in exchange for the rating.
NAPA Net’s Top Women Advisors 2017
NAPA Net’s "Top Women Advisors of 2017," December 19, 2017 as appearing in NAPA Net or www.Napa-Net.org, is based on nominations by the NAPA members. Nominees are asked to respond to a series of questions, both quantitative and qualitative, about their experience and practices. A panel of judges reviewed the anonymized questionnaires and selected the women honored in three categories: All Star, Captains, and Rising Stars. The rating is not indicative of the Financial Advisors’ future performance. Neither Morgan Stanley Smith Barney LLC or its Financial Advisors paid a fee to NAPA-Net in exchange for the rating.
NAPA Net’s Top Women Advisors of 2018
NAPA Net’s “Top Women Advisors of 2018,” November 28,2018 as appearing in NAPA Net or www.Napa-Net.org, is based on nominations by the NAPAmembers. Nominees are asked to respond to a series of questions, both quantitative and qualitative, about their experience and practices. A panel of judges reviewed the anonymized questionnaires and selected the women honored in three categories: All Star, Captains, and Rising Stars. The rating is not indicative of the Financial Advisors’ future performance. Neither Morgan Stanley Smith Barney LLC or its Financial Advisors paid a fee to NAPA-Net in exchange for the rating.
NAPA Top DC Advisor Teams - 2018
Source: NAPA “Top DC Advisor Firms,” December 2018 NAPA Net The Magazine. NAPA’s “Top DC Advisor Firms” recognizes firms, teams, or offices, for their defined contribution (DC) practice specifically. The ranking is based on the team’s defined contributions assets under management. This award does not evaluate the quality of services provided to clients and is not indicative of the team’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pay a fee to NAPA in exchange for the rating.
NAPA Top DC Advisors (Team Ranking)
Source: NAPA "Top DC Advisors Firms," Winter Issue NAPA Net The Magazine. NAPA’s "Top DC Advisor Firms," unlike other lists, recognizes firms, or what may, in a wirehouse environment, be referred to as a team, or office, for their defined contribution (DC) practice specifically. The ranking is based on the team’s defined contributions assets under management. This award does not evaluate the quality of services provided to clients and is not indicative of the team’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pay a fee to NAPA in exchange for the rating.
NAPA’s Top Retirement Plan Advisors Under 40
NAPA Net’s "Top Retirement Plan Advisors Under 40," www.NAPA-NET.org, is drawn from nominations provided by the advisors’ firms. Final selection is based on a review of quantitative and qualitative data provided by the Financial Advisor. The rating is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors paid a fee to NAPA Net in exchange for the rating
On Wall Street’s Top 100 Branch Manager Honorees
On Wall Street’s Top 100 Branch Manager Honorees as identified by onwallstreet using criteria such as achievements during the year, ability to identify, recruit, develop, retain and reward talented Financial Advisors and dedication to the goal of providing superior client service. The Honorees are selected from the pool of nominees by judges chosen by onwallstreet. The rating may not be representative of any one client’s experience and is not indicative of the Branch Manager’s future performance. Neither Morgan Stanly Smith Barney LLC nor its Branch Managers pay a fee to onwallstreet in exchange for the rating.
On Wall Street’s Top 40 Under 40
On Wall Street’s Top 40 Under 40 asks brokerage firms to nominate their top young brokers. Of those nominated, On Wall Street bases its rankings on quantitative and qualitative criteria. FAs are ranked by their annual trailing-12 month production (as of Sept 30, 2014), The rating is not indicative of the advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its financial advisors pay a fee to On Wall Street in exchange for the rating.
PLAN ADVISOR OF THE YEAR
Source: PLANSPONSOR Adviser nominations for "Retirement Plan Adviser/ Team of the Year" were solicited from retirement plan advisers, from employers and/or broker/dealers and from plan sponsors, as well as from working partners of the nominees, including investment vendors, accountants, attorneys and pension administrators. Nominees were required to provide various details about their practice and answer essay questions. In order to be selected as a finalist, advisers nominees must have a majority of their business revenue derived from employer-sponsored retirement plans; serve as a fiduciary to client plans; show a commitment to fee-based compensation; and use replacement rate or outcome-based metrics of plans with clients, among other benchmarks. The rating is not indicative of the Financial Advisor Team’s future performance. Neither the Financial Advisor Team nor Morgan Stanley Smith Barney LLC pay a fee to PLANSPONSOR in exchange for the ranking.
PLANADVISER Team of the Year
Source: PLANADVISER.com, October 2015, "The 2015 PLANADVISER Retirement Plan Team of the Year." Adviser nominations for Retirement Plan Adviser Team of the Year were solicited from retirement plan advisers ( self-nominations are not permitted), from employers and/or broker/dealers and from plan sponsors, as well as from working partners of the nominees, including investment vendors, accountants, attorneys and pension administrators. Nominees were required to provide various details about their practice and answer essay questions. In order to be selected as a finalist, advisers had to meet requirements, set by the PLANADVISER editorial and judging team, nominees must: have a majority of their business revenue derived from employer-sponsored retirement plans; serve as a fiduciary to client plans; show a commitment to fee-based compensation; and use replacement rate or outcome-based metrics of plans with clients, among other benchmarks. The rating is not indicative of the Financial Advisor Team’s future performance. Neither the Financial Advisor Team nor Morgan Stanley Smith Barney LLC pay a fee to PlanSponsor in exchange for the ranking.
PLANADVISER Top 100
Source: PLANADVISER.com, January/February 2019. The 2019 PLANADVISER Top 100 Retirement Plan Advisers award is compiled from responses to the PLANADVISER Retirement Plan Adviser Survey. It is based solely from a set of quantitative variables and information from a survey supplied by the advisers themselves. A sub-segment of the questions was used to determine eligibility for the Top 100. The rating is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors paid a fee to PLANADVISER in exchange for the rating.
PLANADVISER Top 100
Source: PLANADVISER.com, January/February 2018. The 2018 PLANADVISER Top 100 Retirement Plan Advisers award is compiled from responses to the PLANADVISER Retirement Plan Adviser Survey. It is based solely from a set of quantitative variables and information from a survey supplied by the advisers themselves. A sub-segment of the questions was used to determine eligibility for the Top 100. The rating is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors paid a fee to Plan Adviser in exchange for the rating.
Registered Rep’s List of Top 100 Wirehouse Advisors
Source: REP. Magazine October, 2015. Advisors on the Top 100 Wirehouse Advisors list are ranked exclusively by assets under management custodied at the four wirehouse firms. Only advisors for whom 80 percent or more of assets corresponded to retail clients were eligible for the list. Assets under management are as of the end of the second quarter 2015. REP. magazine and WealthManagement.com do not receive any compensation from the financial advisors, participating firms, affiliates or the media in exchange for rankings.
REP Magazine
REP. Magazine’s "Top 50 Wirehouse Women," Oct. 1, 2014. Advisors on the Top 50 Wirehouse Women list are ranked exclusively by assets under management custodied at their firm. Only advisors for whom 80 percent or more of assets corresponding to retail clients were eligible for the list. Assets under management are as of the end of the first quarter 2014. REP. magazine and WealthManagement.com do not receive any compensation from the financial advisors, participating firms, affiliates or the media in exchange for rankings.
REP Magazine
Source: REP. magazine’s "Top 40 Wirehouse Advisors Under 40", August 5, 2013. Selected Financial Advisors are ranked exclusively by assets under management custodied at their firm. Only Financial Advisors for whom 60 percent or more of assets correspond to retail clients were eligible for the list. Financial Advisors must be under the age of 40 as of August 2013. The rating is not indicative of the Financial Advisor’s future performance. Neither the Financial Advisor nor Morgan Stanley Wealth Management pay a fee to REP. magazine in exchange for the ranking
Research Magazine’s - Winner’s Circle Top Teams
Source: Research Magazine’s "130 Top-Ranked Advisor Teams in America," as identified by The Winner’s Circle®, LLC, bases its rankings on qualitative criteria: professionals with a minimum of 7 years’ financial services experience, acceptable compliance records, client retention reports, customer satisfaction, and more. With over 7,000 nominations compiled on an annual basis, Financial Advisor teams are quantitatively ranked based on varying types of revenues and assets advised by the financial professional, with weightings associated for each. Additional measures include: in-depth interviews and discussions with senior management, peers, and customers, and telephone-based and in-person interviews with the nominees. Because individual client portfolio performance varies and is typically unaudited, this ranking focuses on customer satisfaction and quality of advice. For more information on ranking methodology, go to www.WCorg.com. The rating may not be representative of any one client’s experience because it reflects a sample of all of the experiences of the Financial Advisor’s clients. The rating is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors pay a fee to The Winner’s Circle in exchange for the rating.
Research Magazine’s Top Ranked Teams in America
Source: Research Magazine’s "Top Ranked Teams in America,", as identified by Barron’s magazine in, using quantitative and qualitative criteria and selected from a pool of over 3,000 nominations. Financial Advisors in the Top Ranked Teams have a minimum of seven years of financial services experience. Qualitative factors include but are not limited to compliance record, interviews with senior management, and philanthropic work. Investment performance is not a criterion. The rating may not be representative of any one client’s experience and is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors pay a fee to Barron’s in exchange for the rating. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Reuters AdvicePoint
Source: Reuters AdvicePoint bases its rankings exclusively on quantitative criteria such as assets under management, size of the book, and an acceptable compliance record. Reuters accepts nominations from Financial Advisors. The rating is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC does not pay a fee to Reuters in exchange for the rating.
Top 100 Women
Source: Maryland Daily Record, "Top 100 Women",1998, 2004 and 2007. The award is based upon a recipient’s application and not upon any qualitative and quantitative criteria relating specifically to one’s position as a Financial Advisor. As such the award is not representative of any client’s experience nor is it indicative of the Financial Advisor’s future performance. The publication states that it considers four factors in compiling its list: accomplishments to date, contributions to the industry, leadership, and promise. Neither Morgan Stanley Smith Barney nor any of their Financial Advisors pay a fee to the Maryland Daily Record in exchange for the rating.
Up and Coming Young Professionals
Source: Baltimore Jewish Times, "Up and Coming Young Professionals", March 2009. The award is based upon a recipient’s application and not upon any qualitative and quantitative criteria relating specifically to one’s position as a Financial Advisor. As such the award is not representative of any client’s experience nor is it indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney nor any of their Financial Advisors pay a fee to the Baltimore Jewish Times in exchange for the rating.
Washingtonian Magazine Wealth Manager Award
Source: Washingtonian, November, 2012. Washingtonian’s "They Know Money" bases its ratings on quantitative and qualitative criteria, including but not limited to: surveys to Washington-area financial professionals, nominations submitted to them by firms based upon assets under management, degrees, and certifications. The rating may not be representative of any one client’s experience. The rating is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor any of their Financial Advisors pay a fee to Washingtonian in exchange for the rating.
The individual(s) mentioned as the [Portfolio Manager or Portfolio Management Team] is/are [a] Financial Advisor(s) with Morgan Stanley participating in the Morgan Stanley Portfolio Management program. The Portfolio Management program is an investment advisory program in which the client’s Financial Advisor invests the client’s assets on a discretionary basis in a range of securities. The Portfolio Management program is described in the applicable Morgan Stanley ADV Part 2, available at www.morganstanley.com/ADV or from your Financial Advisor.
The individual(s) mentioned as the [Portfolio Manager or Portfolio Management Team] is/are [a] Financial Advisor(s) with Morgan Stanley participating in the Morgan Stanley Portfolio Management program. The Portfolio Management program is an investment advisory program in which the client’s Financial Advisor invests the client’s assets on a discretionary basis in a range of securities. The Portfolio Management program is described in the applicable Morgan Stanley ADV Part 2, available at www.morganstanley.com/ADV or from your Financial Advisor.
Winner’s Circle Top 50
The Winner’s Circle®, LLC, bases its rankings on qualitative criteria: professionals with a minimum of 7 years’ financial services experience, acceptable compliance records, client retention reports, customer satisfaction, and more. With over 7,000 nominations compiled on an annual basis, Financial Advisors are quantitatively ranked based on varying types of revenues and assets advised by the financial professional, with weightings associated for each. Additional measures include: in-depth interviews and discussions with senior management, peers, and customers, and telephone-based and in-person interviews with the nominees. Because individual client portfolio performance varies and is typically unaudited, this ranking focuses on customer satisfaction and quality of advice. For more information on ranking methodology, go to www.WCorg.com. The rating may not be representative of any one client’s experience because it reflects a sample of all of the experiences of the Financial Advisor’s clients. The rating is not indicative of the Financial Advisor’s future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors pay a fee to The Winner’s Circle in exchange for the rating.
Working Mothers
Source: Working Mother magazine (October/November, 2017) SHOOK™ Research considered Financial Advisors who are mothers with children living at home and under the age of 18. Ranking algorithm is based on qualitative measures derived from telephone and in-person interviews and surveys: service models, investing process, client retention, industry experience, review of compliance records, firm nominations, etc.; and quantitative criteria, such as 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. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to Working Mother or SHOOK Research in exchange for the ranking. For more information see www.SHOOKresearch.com.
Working Mothers – 2018
Source: Working Mother magazine (October/November, 2018) SHOOK™ Research considered Financial Advisors who are mothers with children living at home and under the age of 18. Ranking algorithm is based on qualitative measures derived from telephone and in-person interviews and surveys: service models, investing process, client retention, industry experience, review of compliance records, firm nominations, etc.; and quantitative criteria, such as 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. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to Working Mother or SHOOK Research in exchange for the ranking. For more information see www.SHOOKresearch.com.
Worth (Top 100)
Source: Worth Magazine’s "Top 100 Wealth Advisors," bases its rankings on qualitative criteria that include: professional designations and educational credentials, professional experience, acceptable compliance records, outlook on the investment climate, model portfolio returns, and client retention rate. Worth editors receive thousands of nominations nationwide from Worth readers and investment professionals. Nominated advisors are then asked to complete an extensive survey. All credentials and designations are verified and nominee compliance records are verified. For more information on ranking methodology, go to www.worth.com/Editorial/Wealth-Management/Advisors/subarticles/Taking-the-Measure-of-Your-Managers-The-Top-100-Methodology.asp. The rating may not be representative of any one client’s experience because it reflects a sample of all of the experiences of the Financial Advisor’s clients. The rating is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC does not pay a fee to Worth Magazine in exchange for the rating.
Worth (Top 250)
Source: Worth Magazine’s "Top 250 Wealth Advisors," bases its rankings on qualitative criteria that include: professional designations and educational credentials, professional experience, acceptable compliance records, outlook on the investment climate, model portfolio returns, and client retention rate. Worth editors receive thousands of nominations nationwide from Worth readers and investment professionals. Nominated advisors are then asked to complete an extensive survey. All credentials and designations are verified and nominee compliance records are verified. For more information on ranking methodology, go to www.worth.com/Index.asp. The rating may not be representative of any one client’s experience because it reflects a sample of all of the experiences of the Financial Advisor’s clients. The rating is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC does not pay a fee to Worth Magazine in exchange for the rating.
CRC 2019752 10/2018
