Welcome

The Malone Neuhaus Group at Morgan Stanley Private Wealth Management is a 9-person team focused exclusively on the wealth management needs of our exceptional clients. By placing our clients’ goals first, we currently manage more than 5.5 billion in assets for approximately 150 families and their charitable entities.  Our clients live throughout Northern and Southern California as well as across the country; we help address issues for them, their families, foundations and businesses.

We are proud to service a dynamic client based whose individual ventures and successes are truly admirable. Our client base spans across industries including but not limited to technology, real estate, healthcare and entertainment. We enjoy getting to know our clients and their families as individuals so that we can understand their unique goals, values and circumstances to ultimately foster a close and dependable relationship. Our goal is to ensure our clients spend less time concentrating on the day-to-day aspects of their financial life, and more time pursuing the things that add the most value to their life.    

Frank and Jon, the two senior partners, have over 36 years of Wealth Management experience. This experience, combined with the team’s service and support model, and the team’s access to the vast resources of one of a top global financial services firm, allow us to develop strategies and tailored solutions to preserve and grow client assets, support their lifestyles and offer advice before, during and after significant life events.

Both Frank and Jon have consistently received national recognition for their achievements by Barron’s, Forbes, The Financial Times, and Rep Magazine.

Please learn more about the individuals on our team in the “Meet the Professionals” section below - we look forward to learning more about you.
Capabilities
  • Comprehensive Wealth Planning
  • Pre-Liquidity Planning
  • 10b5-(1) Programs
  • Risk Management
  • Investment Management
  • Family Governance & Wealth Education
  • Consolidated Reporting
  • Philanthropy Management
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*

About PWM

Founded in 1977, Private Wealth Management is the division of Morgan Stanley Wealth Management that is dedicated to serving the firm’s most affluent clients, including some of the world’s most accomplished entrepreneurs, executives and stewards of multigenerational wealth. Functioning as an exclusive investment boutique within a global financial firm, we deliver sophisticated solutions that leverage the intellectual capital and insight of Morgan Stanley’s substantial global resources. Drawing on a deep understanding of your financial life, our goal is to help you:
  • Manage investments with an unwavering focus on your financial strategy and personal goals
  • Create comprehensive, multigenerational wealth management plans based on your needs, challenges and the values that guide your life and legacy
  • Simplify financial complexity to help you achieve clarity and control
Private Wealth Management Highlights
  • Approximately 250 teams1  specialized in assisting individuals and families with $20MM+ in investable assets
  • Over $330 billion in AUM2
  • Comprising 26% of the Barron’s Top 100 Financial Advisors list for 20173
  • Direct access to ultra high net worth experts in philanthropy, family dynamics, wealth transfer, lifestyle advisory and other areas of interest to ultra high net worth families
1 Morgan Stanley Wealth Management, December 31, 2017
2 Morgan Stanley Internal Compensable Revenue Report, December 31, 2017
3 Barron’s Top 100 Financial Advisors, April 2017

Approach

Discovery Process
Investing the time to learn about you and your family; your assets and liabilities and the risk exposures, enables us to formulate strategies and customize the relationship to your needs.
Formulation of Tax, Trust and Estate Strategy
Working with your tax and legal advisors, we help analyze your income and estate tax circumstances to identify and tailor planning techniques that may be used to address your objectives.
Creation of Customized Strategic Asset Allocation
Your customized asset allocation reflects risk, opportunities and taxation across multiple entities, while integrating your investing and estate plans.
Integration of Tactical Asset Allocation
Short-term adjustments seek to capitalize on temporary market distortions. Before making adjustments, we analyze the impact of taxes and trading costs on potential returns.
Implementation of a Customized Wealth Strategy
After comprehensive due diligence and analysis of expected results across multiple market scenarios, strategies are chosen from our expansive investment platform.
Ongoing Assessment
In coordination with your other advisors, we can conduct ongoing reviews and comprehensive reporting to ensure that your strategy adapts to changing financial and family needs.

Awards & Recognitions

Barron's   

Frank Malone

Top 100 Financial Advisors in America; 2017-2019
Top 1,200 Financial Advisors in America; 2014-2019
Top 15 California Financial Advisors; 2018
Top 30 California Financial Advisors; 2017 
Top 50 California Financial Advisors; 2016
Top 70 California Financial Advisors; 2015
Top 50 California Financial Advisors; 2014  

Jon Neuhaus    

Top 1,200 Financial Advisors in America; 2016-2019
Top 40 California Financial Advisors; 2018
Top 50 California Financial Advisors; 2017 
Top 120 California Financial Advisors; 2016                                                                                                    


Financial Times

Frank Malone   
Top 400 Financial Advisors in America; 2014, 2016-2019

Jon Neuhaus    
Top 400 Financial Advisors in America; 2018-2019


Forbes Magazine

Frank Malone
Top 40 Financial Advisors in California, 2018-2019

Jon Neuhaus    
Top 60 Financial Advisors in California, 2018-2019

    Global Franchise

    Morgan Stanley serves a global clientele of individuals, families, corporations, endowments, foundations, governments and others through three core businesses:
    • Morgan Stanley Wealth Management
    • Institutional Securities Group
    • Investment Management
    Our strength and synergies across each of these businesses not only contributes to the economic vitality and stability of the firm, but also expands the vast resources, expertise and global insight that we can offer you.
    Morgan Stanley Franchise Power
    • $2.4tn in client assets under management1
    • Morgan Stanley reported revenues of $11.9Bn1
    • More than 55,000 global employees1
    • Global footprint includes 1,200 offices in 31 countries on six continents1
    • Tier 1 risk-based capital Ratio under U.S. Basel III was approximately 17.8%1
    • $206Bn in liquidity reserve1
    • Long-term credit rating A3, BBB+ and A, by Moody’s, S&P and Fitch, respectively2
    1Unaudited. As of March 31, 2018, Morgan Stanley Quarterly Financial Supplement
    2MorganStanley.com/InvestorRelations

    Location

    444 South Flower St, 34th
    Fl
    Los Angeles, CA 90071
    US
    Direct:
    (800) 514-1385(800) 514-1385

    Meet The Malone Neuhaus Group

    About Me

    Frank is a Private Wealth Advisor at Morgan Stanley Private Wealth Management. Frank has worked for 25 years in private wealth management: at Morgan Stanley (12 years), at Goldman Sachs (7 years) and Merrill Lynch’s Private Banking & Investment Group (6 years). Prior to graduate school at Duke University, Frank worked in Corporate Finance for Bank of America. Frank was recognized by Barron’s as one of the Top 100 Financial Advisors in 2016, as well as the Top 1,200 Financial Advisors in 2016, 2015, and 2014. He was also named to The Financial Times’ list of America’s Top 400 Financial Advisors for 2016 and 2014 in addition to being named to Rep. Magazine’s list of the Top 100 Financial Advisors for 2015.

     

     Frank graduated with a MBA from Duke University’s Fuqua Graduate School of Management. He also earned a Masters credit in International Finance from the University of Leuven in Leuven, Belgium. Frank earned his B.S. degree in Finance from the University of Notre Dame. Frank actively participates in fund-raising and serving in other voluntary functions. Frank is married with four children and resides in Palos Verdes Estates, CA.
    Securities Agent: TX, CA, WA, VA, UT, SC, PR, OR, NY, NV, NM, NJ, NH, NC, MT, MI, MD, MA, KS, IL, ID, HI, GA, FL, DE, DC, CT, CO, AZ, AR, AK; Managed Futures; Transactional Futures/Commodities; General Securities Representative; Investment Advisor Representative
    NMLS#: 1261853
    CA Insurance License #: 0E20884

    About Me

    Jon is a Managing Director and Private Wealth Advisor at Morgan Stanley Private Wealth Management. Jon has worked for 16 years in private wealth management: at Morgan Stanley (12 years) and in Merrill Lynch’s Private Banking & Investment Group (4 years). Before graduating from business school, Jon worked at Deloitte Consulting Group and, after two years, co-founded a management consulting firm which advised Fortune 15 companies. He is recognized as one of the Top 1,200 Financial Advisors in America for 2016 and 2017 by Barron’s Magazine.

     

    Jon graduated with a MBA from the Kellogg School of Management at Northwestern University. He received his B.A. with high honors in Political Science and History and high distinction in general scholarship from U.C. Berkeley. He is a graduate of Phillips Exeter Academy. Jon is active with City Year, a youth service and leadership development organization in which Jon served as a corps member full-time in Boston (prior to matriculating at Berkeley in 1990-91) and later as a member of the start-up team in Chicago in 1994. He leads City Year Los Angeles’ major gifts program as its “Red Jackets Society” Chair. Jon served on Rumsey Hall School’s Board of Trustees in his hometown of Washington, CT. Rumsey is a K-9 boarding/day school. Jon served as Trustee for 8 years, including as Board Chair from 2015-2017.   Jon coached youth baseball during college in Oakland and in Palos Verdes, CA for the past several years.  Jon currently resides in Berkeley and Hermosa Beach, CA.
    Securities Agent: TX, CA, WA, VA, UT, SC, PR, OR, NY, NV, NM, NJ, NH, NC, MT, MI, MD, MA, KS, IL, ID, HI, GA, FL, DE, DC, CT, CO, AZ, AR, AK; Managed Futures; Transactional Futures/Commodities; General Securities Representative; Investment Advisor Representative
    NMLS#: 1278664
    CA Insurance License #: 0E27464

    About Me

    Anna is a registered Portfolio Associate who has been servicing clients' financial needs since 2007 at Morgan Stanley. Prior to joining Morgan Stanley Anna performed similar services at RBC Dain Rauscher, Inc., Jefferies and Company, Inc. and Deutsche Bank Securities, Inc. where her team focused on bringing companies public and helping them access public capital markets. She also focused on developing client relationships with and providing first class service to high net worth individuals.

    As a native New Yorker and now a resident of Los Angeles who has worked in the industry on both coasts, Anna gained experience working with investors and public company management. Anna's bi-coastal background and work experience are valuable resources for her and Morgan Stanley's clients in a global economy.

    About Me

    Cathy is a Registered Associate with the Malone Neuhaus Group at Morgan Stanley Private Wealth Management. She started her career with Morgan Stanley in 2012, & has worked in both the Los Angeles and New York offices. She previously resided in Washington, D.C., where she worked at philanthropies including the Case Foundation & City Year. She interned for the Walt Disney Company in college, where she received a B.A. in Sociology & a minor in Education from the University of California, Irvine. Cathy spends her free time traveling, trying new restaurants, & spending time with family & friends.

    About Me

    Justin is a Senior Registered Associate with the Malone Neuhaus Group at Morgan Stanley. He completed his Bachelor's degree in Finance from Brigham Young University's Marriott School of Management. Prior to joining the team, Justin worked as an Equity Analyst with Global Financial Advisors and as a Bank Examiner with the FDIC. In his spare time, he enjoys travelling, snowboarding, and bowling. Justin grew up in Pittsburgh, PA and currently resides in Los Angeles, CA.

    About Me

    Lucy joined the Malone Neuhaus Group at Morgan Stanley Private Wealth Management in 2017 as a Registered Associate.  She has worked in the finance industry in various roles since 2001. After graduating from CSU Long Beach with her Bachelor of Science degree in Business Administration, she went to work for an investment advisor based in San Francisco.  Her role included researching publicly traded companies and making trading recommendations to the portfolio manager.  After returning to school and acquiring her MBA, she worked in the finance department of a large manufacturing company.   In her most recent role, Lucy worked in the wealth management department of one of the largest credit unions in Southern California, supporting the department's efforts to assist investors to achieve their financial goals.

    About Me

    Erica is a Senior Client Service Associate with the Malone Neuhaus Group at Morgan Stanley Private Wealth Management. She joined the team in 2012 and in her spare time she enjoys volunteering for the National Kidney Foundation and the Gentle Barn. She grew up in Los Angeles and currently resides in Santa Clarita, CA.

    About Me

    Gabriella is a Client Service Associate with the Malone Neuhaus Group at Morgan Stanley Private Wealth Management. In 2014 she conducted a yearlong internship with the Malone/Neuhaus Group as part of her undergraduate degree. She completed her Bachelor's degree in International Business from Nottingham Business School in England before rejoining the team in 2016. In her spare time, Gabriella enjoys fitness and travel. She currently resides in Los Angeles, CA.
    Economic and Market Perspectives

    On the Markets

    Managing Significant Wealth

    • Investment Management
    • Wealth Transfer & Philanthropy
    • Cash Management & Lending
    • Family Governance & Wealth Education
    • Lifestyle Advisory
    • Business Services
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    Market Information Delayed 20 Minutes
    The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.

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