Joe Kartheiser, CIMA®, CFP®
Managing Director, Private Wealth Advisor, Lending Specialist, Alternative Investments Director
Phone:
(312) 419-3337(312) 419-3337
The Kartheiser Group at Morgan Stanley
Our Mission Statement
Comprehensive wealth planning strategies for your life and legacy
Welcome
At The Kartheiser Group, we specialize in delivering customized wealth management solutions tailored to high-net-worth entrepreneurs and senior executives. Our clientele, comprised of financially successful C-suite leaders who have either risen through the ranks or founded their companies, face a unique set of financial challenges and opportunities. With significant wealth often concentrated in their companies, our clients require diversification strategies that align with their personal financial goals, are tax efficient, and integrate seamlessly with their estate plans.
Our Team
The Kartheiser Group is composed of six dedicated advisors who, though initially scattered throughout the wealth management industry, united under a common vision. Each advisor brings a wealth of varied experience and expertise to our team to include portfolio management, tax and estate plan advisory, and financial planning. We believe that growing a strong relationship with each client is a vital part of our practice. Our relationships transcend the traditional Advisor-Client dynamic, often feeling more like friendships.
Our History
This team was founded on the principle of delivering a better wealth management experience. Many of us on the team come from families that have been in the industry for decades and understand that the importance of the client experience is often forgotten in the process. Our overriding goal is to provide first class service where every client is elated with our partnership and fully understands the investment process and planning that is tied to their individual goals and dreams. We all work tirelessly to that end.
Our Executive Financial Wellness Program
Many of our client relationships begin through our Executive Financial Wellness Program, an employer-sponsored benefit that provides comprehensive financial planning to C-suite executives. This program allows us to address the unique financial needs of executives, ensuring they receive the highest level of personalized service and expertise.
At The Kartheiser Group, we are dedicated to helping you achieve your financial goals and securing your financial future.
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When Employees Thrive, Your Company Thrives Too
When you invest in your workforce, you empower it too. We can help deliver workplace financial solutions that can help employees build financial well-being.
Executive Services
Make it easier on your leaders to understand their equity compensation, so they can focus on what matters: moving your company forward.
Bespoke Support for Your Executives
Financial Wellness
Available with every service we provide, our Financial Wellness offering is designed to address the unique needs of your employees and help them reach their financial goals through a powerful combination of education, digital tools, and guidance from our team.
A Meaningful Advantage for Your Employees
Equity Solutions for Public Companies
Whether you’re newly public, expanding globally or looking to evolve your equity compensation offering, we’re ready to help you with our end-to-end equity compensation solutions.
Engaging Equity Compensation for the Whole Enterprise
Advantages For Your Company
Morgan Stanley puts our years of experience and leadership into action so you can provide benefits that set you apart. Learn how we can help you meet an evolving need.
Advantages for Your Company
Equity Solutions for Private Companies
Private companies face challenges that require specialized solutions. Grow with confidence, instill financial well-being and build a culture of shared ownership through equity.
Accessible, Flexible & SeamlessMorgan Stanley Family Office Resources
Morgan Stanley Family Office Resources develops expertise, tools, and networking events that enhance our ability to serve as your Family Office and ultimately act as your personal CFO.
Monetization Planning
Monetizing a privately held company requires seamless coordination of your personal wealth management and business monetization strategies.
Planning Your Exit Strategy
Family Governance & Education
Having a mechanism in place such as a family mission statement, a family constitution, or an investment policy statement can offer critical parameters and guidelines to make decisions as a collective. We work with you to find your way to becoming your own generation, with your own voice.
Why an Investment Policy Statement Matters
Estate Planning & Business Succession
The key to determining which trust, tax, and estate strategies to execute is to understand the interplay of personal and exogenous factors. Liquidity events such as an initial public offering or a merger or acquisition may provide income and estate planning opportunities.
Necessary Considerations of Estate Planning
Trust Planning
The road to financial well-being and success is an evolving one with three key phases that require careful planning and long-term commitment: Wealth accumulation, wealth preservation and wealth transition.
Trust Services Available Through Morgan Stanley
Philanthropic Advisory
We believe that philanthropy must be more than checkbook writing. That is why we encourage philanthropic conversations with our team and your family to discuss values, motivations, visions, and to develop a mission statement as an effective step to achieving long-term philanthropic engagement.
Charitable Giving Strategies
Lifestyle Services
We provide bespoke solutions and access to knowledgeable, highly personal specialists to help meet your exceptional needs, from the everyday to the extraordinary, such as: travel and concierge services, health and security advisory, tangible asset management, personal enrichment, and financial administration.
Signature Access Lifestyle AdvisoryOur Investment Philosophy
Our investment philosophy is to seek to maximize after-tax, after-fee, risk-adjusted returns. Most of our clients have already built their wealth so we put a premium on principal preservation. We spend a lot of time up front in the planning process to ensure you are comfortable with the portfolio, allowing us to stay invested in times of stress in the markets. We take great pride in the personalized service we offer and strive to keep you as involved as you wish to be in the investment process.
1. Use Active & Passive Portfolio Management to Minimize Costs: We will utilize passive investments for your US large core portfolio. This will attempt to minimize costs and taxes in an asset class that is difficult for managers to consistently outperform. We work with active managers in asset classes that are less efficient and outperformance is achievable. We have a group of 75 research analysts that perform the due diligence on all the third-party managers that we work with.
2. Tactical/Opportunistic Asset Allocation: Being in the right asset classes at the right time is the most important determinant of portfolio returns. Much more important than security selection. We utilize Morgan Stanley’s Global Investment Committee asset allocation recommendations as a starting point. We then customize this based on your individual needs and our team’s collective input. This is very different than market timing which can have disastrous effects on a portfolio. We are constantly looking for undervalued areas of the market and are willing to commit when we see opportunities.
3. Diversification: It is imperative to be diversified not only with stocks and bonds, but other asset classes as well. This may help you weather an economic storm like we have seen over the past decade. This may allow you to not only grow, but better preserve your wealth. We have extensive experience and can give you access to sometimes hard to access, top tier managers.
4. Risk Management / Wealth Protection: We put a premium on the risk management tools that we utilize with your wealth. We will first seek to optimize your portfolio to help you meet your goals while taking on a minimum amount of risk to do so. We strive for complete transparency in all the products we invest in. Through our planning process we implement your customized portfolio that puts a premium on principal preservation to help you achieve your goals.
1. Use Active & Passive Portfolio Management to Minimize Costs: We will utilize passive investments for your US large core portfolio. This will attempt to minimize costs and taxes in an asset class that is difficult for managers to consistently outperform. We work with active managers in asset classes that are less efficient and outperformance is achievable. We have a group of 75 research analysts that perform the due diligence on all the third-party managers that we work with.
2. Tactical/Opportunistic Asset Allocation: Being in the right asset classes at the right time is the most important determinant of portfolio returns. Much more important than security selection. We utilize Morgan Stanley’s Global Investment Committee asset allocation recommendations as a starting point. We then customize this based on your individual needs and our team’s collective input. This is very different than market timing which can have disastrous effects on a portfolio. We are constantly looking for undervalued areas of the market and are willing to commit when we see opportunities.
3. Diversification: It is imperative to be diversified not only with stocks and bonds, but other asset classes as well. This may help you weather an economic storm like we have seen over the past decade. This may allow you to not only grow, but better preserve your wealth. We have extensive experience and can give you access to sometimes hard to access, top tier managers.
4. Risk Management / Wealth Protection: We put a premium on the risk management tools that we utilize with your wealth. We will first seek to optimize your portfolio to help you meet your goals while taking on a minimum amount of risk to do so. We strive for complete transparency in all the products we invest in. Through our planning process we implement your customized portfolio that puts a premium on principal preservation to help you achieve your goals.
Awards & Designations
Forbes Best-In-State Wealth Management Teams 2023-2025
Source: Forbes.com (Awarded 2023-2025). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year the award was issued.
Joe Kartheiser Named to Barron's Top 1,200 Advisors 2011-2025
2011 – 2025 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 2011 -2025). Data compiled by Barron's based on 12-month period concluding in Sept of the year prior to the issuance of the award.
Joe Kartheiser Named to Forbes Magazine’s List of Best-In-State Wealth Advisors 2018, 2019, 2020, 2021, 2022, 2023, 2024
2018-2024 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.
Certified Financial Planner (CFP)
Joe Kartheiser holds the CFP® designation.
The CFP® designation is a highly respected certification for financial professionals, focusing on comprehensive financial planning. It covers areas such as retirement, investments, taxes, estate planning, and risk management. To earn this certification, candidates must meet rigorous education, experience, and ethical standards, as well as pass a comprehensive exam.
The CFP® designation is a highly respected certification for financial professionals, focusing on comprehensive financial planning. It covers areas such as retirement, investments, taxes, estate planning, and risk management. To earn this certification, candidates must meet rigorous education, experience, and ethical standards, as well as pass a comprehensive exam.
Certified Investment Management Analyst (CIMA)
Joe Kartheiser holds the CIMA® designation.
The CIMA® certification is designed for financial professionals who focus on advanced investment management. It covers topics such as portfolio construction, risk analysis, and asset allocation. This designation is particularly beneficial for advisors managing high-net-worth portfolios.
The CIMA® certification is designed for financial professionals who focus on advanced investment management. It covers topics such as portfolio construction, risk analysis, and asset allocation. This designation is particularly beneficial for advisors managing high-net-worth portfolios.
Certified Divorce Financial Analyst (CDFA)
Joseph Catalano holds the CDFA® designation.
The CDFA® designation is for professionals who specialize in financial planning for divorce. These professionals help clients understand asset division, tax implications, and the long-term financial impact of divorce settlements. They often work alongside attorneys and mediators to provide financial clarity during the divorce process.
Disclaimer: The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney.
The CDFA® designation is for professionals who specialize in financial planning for divorce. These professionals help clients understand asset division, tax implications, and the long-term financial impact of divorce settlements. They often work alongside attorneys and mediators to provide financial clarity during the divorce process.
Disclaimer: The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney.
Certified Private Wealth Advisor (CPWA)
Joseph Catalano holds the CPWA® designation.
The CPWA® certification is tailored for financial professionals who serve ultra-high-net-worth clients. It provides expertise in wealth preservation, tax-efficient investing, estate planning, and philanthropic strategies. This designation is ideal for advisors managing complex financial needs.
The CPWA® certification is tailored for financial professionals who serve ultra-high-net-worth clients. It provides expertise in wealth preservation, tax-efficient investing, estate planning, and philanthropic strategies. This designation is ideal for advisors managing complex financial needs.
Chartered Retirement Planning Counselor (CRPC)
Mike Mangan holds the CRPC® designation.
The CRPC® designation focuses on specialized knowledge in retirement planning. Professionals with this certification are trained in areas such as Social Security strategies, income distribution planning, and estate considerations. It is especially useful for advisors working with pre-retirees and retirees.
The CRPC® designation focuses on specialized knowledge in retirement planning. Professionals with this certification are trained in areas such as Social Security strategies, income distribution planning, and estate considerations. It is especially useful for advisors working with pre-retirees and retirees.
Location
233 S Wacker Dr
Ste 8600
Chicago, IL 60606
US
Direct:
(312) 419-3337(312) 419-3337
Meet The Kartheiser Group
Andrew Skoglund
Managing Director, Wealth Management, Financial Advisor
Phone:
(312) 419-3427(312) 419-3427
James P Doherty
Senior Vice President, Wealth Management, Financial Advisor, Alternative Investments Director
Phone:
(312) 419-3357(312) 419-3357
Joseph Catalano, CDFA®, CPWA®
First Vice President, Financial Advisor, Senior Portfolio Manager
Phone:
(312) 419-3422(312) 419-3422
Phone:
(312) 827-6772(312) 827-6772
Mike Mangan, CRPC®
Financial Advisor, Financial Planning Specialist
Phone:
(312) 419-3598(312) 419-3598
James Van Cura
Assistant Vice President, Wealth Management Associate
Phone:
(312) 419-3316(312) 419-3316
Petya Kaloferova
Business Development Associate, Financial Planning Specialist
Phone:
(312) 827-6841(312) 827-6841
Michael L Regan
Assistant Vice President, Wealth Management Associate
Phone:
(312) 419-3358(312) 419-3358
Jack White
Client Relationship Analyst
Phone:
(312) 419-3428(312) 419-3428
Michael Loughlin
Registered Associate
Phone:
(312) 419-3644(312) 419-3644
About Joe Kartheiser
Joe and his team deliver customized wealth management solutions to high-net-worth c-suite executives, entrepreneurs, and family offices. His role is to synchronize the execution of investment strategies with estate and tax planning through a collaborative approach to help clients achieve complete wealth management.
Joe earned his undergraduate degree from Indiana University and an MBA from Northwestern’s Kellogg School of Management. He started his career in the financial services industry in fixed income institutional sales at Morgan Stanley. After gaining extensive capital markets experience he transitioned into Private Wealth Management, the division serving high net worth individuals. Joe has been recognized by several leading publications to include Barron's Top 1,200 Advisors, Financial Times Top 400 Advisors, and Forbes Best-In-State Wealth Advisors. He is a Certified Financial Planner CFP® and a Certified Investment Management Analyst CIMA®.
Joe enjoys golf, music, travel, snowboarding, and exercise. He resides in the Chicago area with his two children.
Disclosures:
2011 – 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 2011 -2024). Data compiled by Barron's based on 12-month period concluding in Sept of the year prior to the issuance of the award.
2013, 2014, 2016, 2017 Financial Times 400 Top Financial Advisors
Source: ft.com. Data compiled by the Financial Times based the following time periods:
Advisor to choose appropriate years/periods from list below:
Awarded 2017; data 9/30/14 - 9/30/16
Awarded 2016; data 9/30/13 - 9/30/15
Awarded 2014; data 9/30/12 - 9/30/13
Awarded 2013; data as of 12/31/12
2018-2024 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Awarded 2018, 2019, 2020, 2021, 2022, 2023, 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.
Joe earned his undergraduate degree from Indiana University and an MBA from Northwestern’s Kellogg School of Management. He started his career in the financial services industry in fixed income institutional sales at Morgan Stanley. After gaining extensive capital markets experience he transitioned into Private Wealth Management, the division serving high net worth individuals. Joe has been recognized by several leading publications to include Barron's Top 1,200 Advisors, Financial Times Top 400 Advisors, and Forbes Best-In-State Wealth Advisors. He is a Certified Financial Planner CFP® and a Certified Investment Management Analyst CIMA®.
Joe enjoys golf, music, travel, snowboarding, and exercise. He resides in the Chicago area with his two children.
Disclosures:
2011 – 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 2011 -2024). Data compiled by Barron's based on 12-month period concluding in Sept of the year prior to the issuance of the award.
2013, 2014, 2016, 2017 Financial Times 400 Top Financial Advisors
Source: ft.com. Data compiled by the Financial Times based the following time periods:
Advisor to choose appropriate years/periods from list below:
Awarded 2017; data 9/30/14 - 9/30/16
Awarded 2016; data 9/30/13 - 9/30/15
Awarded 2014; data 9/30/12 - 9/30/13
Awarded 2013; data as of 12/31/12
2018-2024 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Awarded 2018, 2019, 2020, 2021, 2022, 2023, 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.
Securities Agent: PR, VA, OH, NM, NC, MN, KY, DC, AL, SC, NE, MO, ME, IL, HI, GA, DE, WA, NJ, MT, MI, KS, CA, WY, TN, FL, TX, OR, MD, ID, AZ, IN, CO, NH, MA, AK, OK, NY, IA, UT, SD, PA, NV, CT, AR, WI; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
NMLS#: 1255344
NMLS#: 1255344
About Andrew Skoglund
Andrew oversees business growth & development and overall client relationship management for our team.
Andrew graduated from Fairfield University where he was also a member of the varsity college hockey and rugby teams. He began his career at Deutsche Bank in New York City in 1999 on their Institutional Equities Sales & Trading desk and then went on to become a Managing Director and Principal at Bear Stearns in Chicago, and an Executive Director at J.P. Morgan (2000-2010).
Andrew moved to the private wealth management world in 2010, joining Credit Suisse Private Banking as a Director and then Merrill Lynch Private Wealth Management as a Managing Director over the years 2010-2022. He has received several annual top producer awards at Credit Suisse and Merrill, including being named to Credit Suisse’s President’s Club as well as the Bank of America Chairman’s Circle award.
He was born and raised in the northern suburbs of Chicago and now lives in Wilmette, IL with his three children: Peter (17), Harry (15) and Brynn (14) and two dogs (Duke & Malibu). Outside of work, he enjoys being with his children & family, spending time outdoors, exercising, watching his kids’ sports, traveling, playing golf and fishing.
He has been involved with supporting several civic, philanthropic organizations over the year including the Chicago Commonwealth Club, Economic Club of Chicago, Chicago Blackhawks Foundation and Camp Kesem.
Andrew graduated from Fairfield University where he was also a member of the varsity college hockey and rugby teams. He began his career at Deutsche Bank in New York City in 1999 on their Institutional Equities Sales & Trading desk and then went on to become a Managing Director and Principal at Bear Stearns in Chicago, and an Executive Director at J.P. Morgan (2000-2010).
Andrew moved to the private wealth management world in 2010, joining Credit Suisse Private Banking as a Director and then Merrill Lynch Private Wealth Management as a Managing Director over the years 2010-2022. He has received several annual top producer awards at Credit Suisse and Merrill, including being named to Credit Suisse’s President’s Club as well as the Bank of America Chairman’s Circle award.
He was born and raised in the northern suburbs of Chicago and now lives in Wilmette, IL with his three children: Peter (17), Harry (15) and Brynn (14) and two dogs (Duke & Malibu). Outside of work, he enjoys being with his children & family, spending time outdoors, exercising, watching his kids’ sports, traveling, playing golf and fishing.
He has been involved with supporting several civic, philanthropic organizations over the year including the Chicago Commonwealth Club, Economic Club of Chicago, Chicago Blackhawks Foundation and Camp Kesem.
Securities Agent: CT, DE, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY, DC, FL, AK, AL, AR, AZ, CA, CO; General Securities Representative; Investment Advisor Representative
NMLS#: 1428444
NMLS#: 1428444
About James P Doherty
Jim has been with Morgan Stanley since 2007 and is the eldest member of the Kartheiser Group. He brings over four decades of knowledge and experience in delivering customized wealth management solutions to c-suite executives and business owners.
Jim is a Senior Vice President, Financial Advisor with over 45 years of experience in the financial services industry. He holds a Bachelor of Sciences degree in Business Administration from Regis University. He started his career at Merrill Lynch in 1978 and has worked at UBS Financial Services and Smith Barney prior to the merger with Morgan Stanley. Jim has received numerous awards over his career and is currently a Morgan Stanley Director of Alternative Investments.
Jim has three grown daughters and enjoys golf and football. He has been on several charitable boards of directors over the years including Boys and Girls Hope, and the Daniel Murphy Scholarship Foundation.
Jim is a Senior Vice President, Financial Advisor with over 45 years of experience in the financial services industry. He holds a Bachelor of Sciences degree in Business Administration from Regis University. He started his career at Merrill Lynch in 1978 and has worked at UBS Financial Services and Smith Barney prior to the merger with Morgan Stanley. Jim has received numerous awards over his career and is currently a Morgan Stanley Director of Alternative Investments.
Jim has three grown daughters and enjoys golf and football. He has been on several charitable boards of directors over the years including Boys and Girls Hope, and the Daniel Murphy Scholarship Foundation.
Securities Agent: CT, DE, TN, NH, MO, WI, VA, UT, SC, NE, MD, OR, NV, ID, KY, IA, AL, TX, DC, AZ, AR, NM, NJ, WA, SD, KS, IL, HI, PA, NY, NC, MT, MA, FL, CO, CA, OK, GA, OH, MN, MI, IN; General Securities Representative; Investment Advisor Representative
NMLS#: 1326717
NMLS#: 1326717
About Joseph Catalano
Joseph (“Joe”) Catalano, CDFA®, CPWA® is directly engaged with clients to design, build, and execute customized portfolio and investment solutions geared towards the specific needs of each family member. He is a designated Portfolio Manager and a member of the Portfolio Management Institute ® [PMI] at Morgan Stanley. He delivers a research-based process that combines an understanding of the Global Macro framework with a price action overlay to security selection. In addition to portfolio construction and execution, Joe is a Certified Private Wealth Advisor, CPWA® which is an advanced professional certification for advisors who serve high-net-worth clients. With a deepened understanding of the wealth cycle – accumulation, preservation, and distribution; Joe is able to identify and analyze the unique challenges clients face and to therefore develop specific strategies to help reduce taxes, monetize and preserve assets, seek to enhance growth, and transfer wealth.
Joe is a First Vice President, Financial Advisor with a 23-year professional history working in finance, both corporate and personal, including roles as an analyst at Ford Motor Company and a managerial role at Deloitte. Joe has since worked at Citi Smith Barney (Citi Family Office), UBS Financial Services, and most recently was a Private Wealth Manager within Merrill Private Wealth at Bank of America. He holds a Certified Divorce Financial Analyst (CDFA®) designation and Certified Private Wealth Advisor (CPWA®) designation and is a member of the Investments & Wealth Institute TM. Joe earned his B.A. in Economics from the University of Chicago and also played Division III Football.
He is on the Board of Directors of Chicago Run, a nonprofit organization that provides young people from Pre-K through high school with inclusive running and physical activity programs. Joe is an avid runner and recently completed his second Bank of America Chicago Marathon. He lives in Park Ridge with his wife and two young children.
Joe is a First Vice President, Financial Advisor with a 23-year professional history working in finance, both corporate and personal, including roles as an analyst at Ford Motor Company and a managerial role at Deloitte. Joe has since worked at Citi Smith Barney (Citi Family Office), UBS Financial Services, and most recently was a Private Wealth Manager within Merrill Private Wealth at Bank of America. He holds a Certified Divorce Financial Analyst (CDFA®) designation and Certified Private Wealth Advisor (CPWA®) designation and is a member of the Investments & Wealth Institute TM. Joe earned his B.A. in Economics from the University of Chicago and also played Division III Football.
He is on the Board of Directors of Chicago Run, a nonprofit organization that provides young people from Pre-K through high school with inclusive running and physical activity programs. Joe is an avid runner and recently completed his second Bank of America Chicago Marathon. He lives in Park Ridge with his wife and two young children.
Securities Agent: DE, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY, FL, AK, AL, AR, AZ, CA, CO, CT, DC; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1451370
NMLS#: 1451370
About Colin Cody
Colin's unique experience in numerous sectors of the financial industry provides him with the ability to portray a holistic view of how market forces influence investment performance. Colin's practice is focused on the creation and execution of financial plans that help his clients navigate the increasing complex financial landscape and successfully achieve their financial goals. Colin also has specific experience in hedging strategies for concentrated stock positions. Whether it regards Estate Planning Strategies, Risk Management, Investment Allocation, Philanthropic Services, Business Services or Family Governance, Colin can tailor his strategies to best aid his clients in their quest for personal wealth management.
Before joining Morgan Stanley, Colin worked as a stock options trader on the floor of the Chicago Board of Exchange(CBOE). Colin then moved and became a member of the Chicago Mercantile Exchange (CME) where he traded United States treasury futures.
Colin received a B.S. in finance from Indiana University and was able to complete the Series 7, Series 66, and become licensed as an insurance agent for Life, Health, and Variable Annuities.
Colin enjoys international travel (speaks German and Spanish), getting outside with his kids and is an avid reader. Colin resides in the Lakeview neighborhood of Chicago with his family.
Before joining Morgan Stanley, Colin worked as a stock options trader on the floor of the Chicago Board of Exchange(CBOE). Colin then moved and became a member of the Chicago Mercantile Exchange (CME) where he traded United States treasury futures.
Colin received a B.S. in finance from Indiana University and was able to complete the Series 7, Series 66, and become licensed as an insurance agent for Life, Health, and Variable Annuities.
Colin enjoys international travel (speaks German and Spanish), getting outside with his kids and is an avid reader. Colin resides in the Lakeview neighborhood of Chicago with his family.
Securities Agent: SC, TN, VA, VI, VT, WA, WI, WV, WY, SD, TX, UT, AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI; General Securities Representative; Investment Advisor Representative
NMLS#: 1802247
NMLS#: 1802247
About Mike Mangan
Mike started with Morgan Stanley in August of 2019 as a member of the Kartheiser Group at Morgan Stanley Private Wealth Management. Mike’s business centers around developing individualized financial planning and asset allocation strategies based on his clients’ unique financial situation and goals. Mike’s primary focus is to deliver the immense resources of Morgan Stanley and provide access to first class investment advisory and private banking services. Mike received Morgan Stanley’s “PaceSetters Club” Award in 2025. Morgan Stanley’s Pacesetters Club is a global recognition for the Firm’s Financial Advisors who demonstrate the highest professional standards and first-class client service.
Prior to his current role, Mike spent three years as an associate with the Kartheiser Group. He was responsible for managing the team’s corporate executive reinvestment strategy and handling various day to day functions which included trading, money movement, account maintenance, lending strategy, and alternative investment operations. Mike leverages his prior experience as an associate to deliver an efficient and service centered approach to his clients.
Mike graduated from the University of Rochester, where he was also a 4 year member of the University of Rochester Basketball Team. In his free time, Mike enjoys Chicago sports, spending time with friends and family, golf, exercise and coaches a youth travel basketball team in the fall and winter months.
Morgan Stanley Smith Barney LLC 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 visit us at http://www.morganstanleyindividual.com or consult with your Financial Advisor to understand these differences.
Private Bankers are employees of Morgan Stanley Private Bank, National Association, Member FDIC.
Prior to his current role, Mike spent three years as an associate with the Kartheiser Group. He was responsible for managing the team’s corporate executive reinvestment strategy and handling various day to day functions which included trading, money movement, account maintenance, lending strategy, and alternative investment operations. Mike leverages his prior experience as an associate to deliver an efficient and service centered approach to his clients.
Mike graduated from the University of Rochester, where he was also a 4 year member of the University of Rochester Basketball Team. In his free time, Mike enjoys Chicago sports, spending time with friends and family, golf, exercise and coaches a youth travel basketball team in the fall and winter months.
Morgan Stanley Smith Barney LLC 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 visit us at http://www.morganstanleyindividual.com or consult with your Financial Advisor to understand these differences.
Private Bankers are employees of Morgan Stanley Private Bank, National Association, Member FDIC.
Securities Agent: RI, IA, TX, VT, WY, KS, ND, MO, NM, DE, WV, WI, WA, VI, VA, UT, TN, SD, SC, PR, PA, OR, OK, OH, NY, NV, NJ, NH, NE, NC, MT, MS, MN, MI, ME, MD, MA, LA, KY, IN, IL, ID, HI, GA, FL, DC, CT, CO, CA, AZ, AR, AL, AK; General Securities Representative; Investment Advisor Representative
NMLS#: 2458682
NMLS#: 2458682
About James Van Cura
James has been with Morgan Stanley since 2006. He joined the Kartheiser Group in 2008 after spending two years as a Morgan Stanley specialist where he assisted corporate executives with their company options, restricted stocks, and ESPPs. Here he worked with multiple FAs and dealt with a variety of different clients. He is responsible assisting clients in trade execution, including options and restricted stock, portfolio reviews and allocation, equity and bond research, alternative subscriptions, creating marketing pieces, and many other daily operational tasks.
A graduate of the University of Iowa, James now lives in the Chicago Suburb of Mount Prospect with his wife Ginny and their two sons, Cullen and Henry. James enjoys playing hockey, skiing, and being outdoors.
A graduate of the University of Iowa, James now lives in the Chicago Suburb of Mount Prospect with his wife Ginny and their two sons, Cullen and Henry. James enjoys playing hockey, skiing, and being outdoors.
About Petya Kaloferova
Petya is responsible for the team’s new client onboarding process, which consists of opening new accounts, collecting client documentation, and presenting clients with Morgan Stanley’s numerous digital and cash solutions. She handles client related services, ranging from financial transactions to client account maintenance, and helps in managing The Kartheiser Group’s marketing initiatives.
Before joining Morgan Stanley in 2020, Petya was a part of the sales team at Nuveen Investments and has prior experience at JPMorgan Chase and D Commerce Bank in Bulgaria. She earned a B.A. in Finance, and graduated Summa cum laude in her class.
Petya also serves on the Fundraising Committee of the Union League Boys & Girls Clubs, a nonprofit organization committed to providing quality programming to over 15,000 youth across Chicago. In her free time, she enjoys hiking, playing tennis, doing yoga and meditation.
Before joining Morgan Stanley in 2020, Petya was a part of the sales team at Nuveen Investments and has prior experience at JPMorgan Chase and D Commerce Bank in Bulgaria. She earned a B.A. in Finance, and graduated Summa cum laude in her class.
Petya also serves on the Fundraising Committee of the Union League Boys & Girls Clubs, a nonprofit organization committed to providing quality programming to over 15,000 youth across Chicago. In her free time, she enjoys hiking, playing tennis, doing yoga and meditation.
About Michael L Regan
Mike has been with Morgan Stanley since 2007. He is responsible for assisting clients with trade execution, portfolio reviews and navigating the financial planning process. These duties include asset allocation analysis, life insurance reviews and a focus on estate planning.
Mike is an Assistant Vice President, Wealth Management Associate with 26 years of experience working in financial services industry. Mike has previously worked at Smith Barney, UBS Financial Services, and Envestnet PMC. He currently holds his FINRA Series 7 and Series 66 licenses as well as his Illinois Life and Health Insurance licenses.
Mike is a graduate of Northwestern University and lives in Glenview, IL with his wife and three children. Outside of the office, Mike enjoys golf, baseball and traveling.
Mike is an Assistant Vice President, Wealth Management Associate with 26 years of experience working in financial services industry. Mike has previously worked at Smith Barney, UBS Financial Services, and Envestnet PMC. He currently holds his FINRA Series 7 and Series 66 licenses as well as his Illinois Life and Health Insurance licenses.
Mike is a graduate of Northwestern University and lives in Glenview, IL with his wife and three children. Outside of the office, Mike enjoys golf, baseball and traveling.
About Jack White
Jack is responsible for the team’s client account management and maintenance, which includes new account opening, account transfers, and any general account inquiries. Jack also handles any inquires related to Morgan Stanley Online support for all clients.
Prior to joining Morgan Stanley in 2023, Jack worked at KPMG LLP providing accounting and risk assessment services for clients. Jack earned a B.A. in Accounting and Finance from Illinois State University along with a minor in Financial Planning.
Jack is a part of the Working In the Schools (WITS) Program with a goal of improving the reading comprehension skills of children in the Chicago Public Schools. Jack enjoys competing in both marathons and triathlons in his free time as well as backcountry camping in our country’s National parks.
Prior to joining Morgan Stanley in 2023, Jack worked at KPMG LLP providing accounting and risk assessment services for clients. Jack earned a B.A. in Accounting and Finance from Illinois State University along with a minor in Financial Planning.
Jack is a part of the Working In the Schools (WITS) Program with a goal of improving the reading comprehension skills of children in the Chicago Public Schools. Jack enjoys competing in both marathons and triathlons in his free time as well as backcountry camping in our country’s National parks.
About Michael Loughlin
Michael Loughlin joined the Kartheiser Team at Morgan Stanley in January 2025, as a Client Service Associate. He supports clients by addressing their needs and ensuring a smooth onboarding process while building strong relationships.
Michael graduated from Indiana University’s Kelley School of Business in 2022 with a degree in finance and business analytics. Originally from Hinsdale, Illinois, he brings a strong analytical background and a thoughtful approach to his role.
Now living in Chicago’s Lakeview neighborhood, Michael enjoys traveling, especially to watch soccer matches in Europe. He is inspired by his close-knit family and their example of hard work and perseverance.
Michael graduated from Indiana University’s Kelley School of Business in 2022 with a degree in finance and business analytics. Originally from Hinsdale, Illinois, he brings a strong analytical background and a thoughtful approach to his role.
Now living in Chicago’s Lakeview neighborhood, Michael enjoys traveling, especially to watch soccer matches in Europe. He is inspired by his close-knit family and their example of hard work and perseverance.
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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 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.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
2Morgan 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.
3Morgan Stanley Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States.
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.
5Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
6When 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.
7Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
8Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck*.
The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.
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 appropriate for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
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.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) in the U.S, which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures
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.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
2Morgan 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.
3Morgan Stanley Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States.
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.
5Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
6When 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.
7Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
8Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck*.
The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.
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 appropriate for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
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.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) in the U.S, which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures
CRC 6491812 (04/2024)
