Frank Malone
Managing Director, Private Wealth Management, Private Wealth Advisor
Phone:
(310) 297-3733(310) 297-3733
Morgan Stanley Private Wealth Management
The Malone Neuhaus Group
Direct:
(800) 514-1385(800) 514-1385
Our Mission Statement
MNG offers tailored solutions to help enhance our clients’ financial and social capital for today and future generations. While grounded by our investment strategy, we are dedicated to addressing all aspects of our clients’ financial lives to help them achieve their goals.
Welcome!
The Malone Neuhaus Group at Morgan Stanley Private Wealth Management is an 10-person team focused exclusively on the wealth management needs of our exceptional clients. By placing our clients’ goals first, we currently (January, 2025) manage more than 78.8 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 base 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 49 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 help preserve and grow client assets, support their lifestyles and offer advice before, during and after significant life events.
We pride ourselves on our service delivery capabilities in addition to the investment and other advisory solutions that we offer. In addition to utilizing Morgan Stanley's private bank, trust attorneys and other resources, we coordinate with clients' attorneys and CPAs to provide comprehensive wealth management solutions.
Please learn more about the individuals on our team in the “Meet The Malone Neuhaus Group” section below - we look forward to learning more about you.
We are proud to service a dynamic client base 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 49 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 help preserve and grow client assets, support their lifestyles and offer advice before, during and after significant life events.
We pride ourselves on our service delivery capabilities in addition to the investment and other advisory solutions that we offer. In addition to utilizing Morgan Stanley's private bank, trust attorneys and other resources, we coordinate with clients' attorneys and CPAs to provide comprehensive wealth management solutions.
Please learn more about the individuals on our team in the “Meet The Malone Neuhaus Group” 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
- Tax, Trust & Estate AdvisoryFootnote1
- Corporate Stock Plans
- Lifestyle Advisory ServicesFootnote2
- Cash Management & LendingFootnote3
- Insurance SolutionsFootnote4
- Hedging Strategies
- Sustainable & Responsible InvestingFootnote5
- Securities Based LendingFootnote6
- Tailored LendingFootnote7
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
About PWM
Founded in 1977, Private Wealth Management is the division of Morgan Stanley Wealth Management that is dedicated to serving the firm’s most affluent clients, including some of the world’s most accomplished entrepreneurs, executives and stewards of multigenerational wealth. Functioning as an exclusive investment boutique within a global financial firm, we deliver sophisticated solutions that leverage the intellectual capital and insight of Morgan Stanley’s substantial global resources. Drawing on a deep understanding of your financial life, our goal is to help you:
- Manage investments with an unwavering focus on your financial strategy and personal goals
- Create comprehensive, multigenerational wealth management plans based on your needs, challenges and the values that guide your life and legacy
- Simplify financial complexity to help you achieve clarity and control
Private Wealth Management Highlights
- Approximately 350 teams1 specialized in assisting individuals and families with $20MM+ in investable assets
- Over $980 billion in AUM1
- Comprising 23% of the Barron’s Top 250 Private Wealth Management Teams for 2024
- Direct access to ultra high net worth experts in philanthropy, family dynamics, wealth transfer, lifestyle advisory and other areas of interest to ultra high net worth families
1 Morgan Stanley Wealth Management, December, 2024
Source: Barron's.com (May 2024) 2024 Barron's Top 250 Private Wealth Management Teams awarded in 2024. The teams are ranked on a variety of factors, including their size and shape, their regulatory records and credentials of their members, and the resources they have at their disposal to serve their client bases. The rankings are meant as a starting point for clients looking for an advisor—a first-pass vetting that can help investors narrow a search. Every advisor will have his or her own approach to investing, financial planning, and other services. Clients are encouraged to approach a search for an advisor the way they would a search for a doctor—interviewing multiple professionals and getting opinions from multiple third parties. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one client’s experience. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Working With You
At the Malone Neuhaus Group, we believe that your financial goals are unique to you and your situation. That's why our process begins with a deep understanding of your needs, aspirations, and concerns. We work with you to help you to develop a comprehensive strategy that reflects your priorities and aligns with your values. Our objective is to empower you to make informed decisions about finances and build a secure future. We understand that life is full of twists and turns, and we're here to help you navigate those challenges and opportunities to help you stay on track and be confident.
1. Initial Conversation & Discovery
An introduction to the team and an informal discussion aimed at understanding your financial priorities. If we all agree that our team's experience aligns with your needs, we request access to important financial documents to get an understanding of your entire financial picture. In more complicated situations, we may have a second meeting that may involve a lending specialist or trust attorney from our family office.
2. Analysis
Our team of seasoned advisors and support staff collaborate closely to transform your financial information and goals into a bespoke wealth management plan. We take into account different factors such as family needs, tax implications, time horizon and risk tolerance designed to ensure your wealth management plan encompasses all aspects of your life.
3. Proposal Review
We schedule a meeting with you to cover your wealth management plan in depth. This comprehensive plan covers investment recommendations, as well as strategies that may aid in mitigating risk, reducing taxes and addressing your lending needs. Beyond just building your wealth, we also help you to accomplish your estate planning and philanthropic aspirations to leave a lasting legacy that supports your values.
4. Implement, Maintain & Adapt
Open necessary accounts and transfer assets to implement your financial plan. Once everything is in place, we proactively monitor your investments on an ongoing basis and connect to notify you of any significant updates or to discuss any changes to your long-term goals.
A superior client experience
We take great pride in offering our valued clients a comprehensive wealth management service. As advocates of your financial prosperity, our team is committed to addressing all of your inquiries and proactively providing solutions to any challenges that may arise. Presented below is a non-exhaustive list of some of the principal services we offer, exemplifying our extensive range of capabilities.
Portfolio Management
In our rapidly evolving society, your financial strategy -and options for implementation- tends to grow in complexity. Together, we'll ensure your investment allocation aligns with your goals, liquidity needs, and risk tolerance. Our ongoing reviews adapt to changes in your life and financial markets, continuously addressing your needs.
Family Governance & Wealth Education
Our team specializes in helping ultra high net worth families strive to maximize the value of their human capital by driving family wealth education, making it more likely that all members of the family will have the foundation they need to lead meaningful, fulfilling and engaging lives.
Solidifying Your Legacy
Often the hardest part of estate planning is just having the conversation. Our team will help you open the lines of communication among your family to ensure the needs and goals of everyone are addressed. With our help, clients can be confident that their legacy will be preserved and passed on according to their wishes.
Philanthropic Management
Giving back can be one of life's greatest rewards and it's important to have a strategy. With the right approach, you can make the most of your philanthropic endeavors and create a legacy that reflects your values and makes a meaningful difference in the world.
Family Office Resources
Our Family Office Resources provides specialized technical expertise to ultra high net worth clients and their families. We help clients deal with the complex questions and multigenerational issues that arise with having significant wealth. Our team has years of experience working with clients that have concerns that are specific to their impressive social and financial status.
Lending Solutions
You have unique borrowing needs that require a tailored approached. Our lending solutions are designed to meet those needs. We help you understand and decide on the best financing options available to you. With our support you can access the flexible financing you need to seize opportunities, deal with unexpected costs, and build your wealth with confidence.
Awards & Recognition
The Malone Neuhaus Group helps successful individuals and entities pursue their financial goals through dynamic investment options designed to achieve long-term objectives. Our team is committed to a transparent, process-oriented culture designed to help you achieve, maintain, and ultimately transfer wealth.
Our team’s consistency and differentiating value to our clients has earned us recognition by various organizations:
Our team’s consistency and differentiating value to our clients has earned us recognition by various organizations:
Barron's Top Private Wealth Management Teams in America
The Malone Neuhaus Group has been named in the Barron's Top 250 Private Wealth Management Teams since 2021. In the most recent list the team was ranked 7th.
Source: Barrons.com (Awarded April 2021-2024). Data compiled by Barron's based on 12-month period concluding in Dec of the year prior to the issuance of the award.
Source: Barrons.com (Awarded April 2021-2024). Data compiled by Barron's based on 12-month period concluding in Dec of the year prior to the issuance of the award.
Forbes Top Private Wealth Management Teams in America
The Malone Neuhaus Group has been named in the Forbes Top Private Wealth Management Teams in 2022, 2023 & 2024.
Source: Forbes.com (Awarded 2023-2024). Data compiled by SHOOK Research LLC based on 12-month period concluding in March of the year prior to the issuance of the award.
Source: Forbes.com (Awarded 2023-2024). Data compiled by SHOOK Research LLC based on 12-month period concluding in March of the year prior to the issuance of the award.
Forbes Best in State Wealth Management Teams
The Malone Neuhaus Group has been named in the Forbes Best-In-State Wealth Management Teams 2023, 2024, and 2025.
Source: Forbes.com (Awarded Jan 2025) Data compiled by SHOOK Research LLC based on time period from 3/31/23-3/31/24.
Source: Forbes.com (Awarded Jan 2025) Data compiled by SHOOK Research LLC based on time period from 3/31/23-3/31/24.
Barron's Top 100 Financial Advisors in America
Frank Malone & Jon Neuhaus have been named in the Barron's Top 100 Financial Advisors since 2017 and 2020, respectively. In the most recent list, Frank and Jon were ranked 28th and 23rd.
Source: Barrons.com (Awarded 2017-2025). Data compiled by Barron's based on 12-month period concluding in Dec of the year prior to the issuance of the award.
Source: Barrons.com (Awarded 2017-2025). Data compiled by Barron's based on 12-month period concluding in Dec of the year prior to the issuance of the award.
Barron's Top 1,200 Financial Advisors by State
Frank Malone & Jon Neuhaus have been named in the Barron's Top 1200 Financial Advisors State-by-State since 2014 and 2016, respectively. In the most recent list, Frank and Jon were ranked 7th and 10th.
Source: Barrons.com (Awarded 2014-2023). Data compiled by Barron's based on 12-month period concluding in Sept of the year prior to the issuance of the award.
Source: Barrons.com (Awarded 2014-2023). Data compiled by Barron's based on 12-month period concluding in Sept of the year prior to the issuance of the award.
Forbes Magazine Top Financial Advisors in California
Frank Malone & Jon Neuhaus have been named in the
Forbes Top Financial Advisors in California since 2018. In the most recent list, Frank and Jon were ranked 25th and 23rd.
Source: Forbes.com (Awarded 2018-2023). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Forbes Top Financial Advisors in California since 2018. In the most recent list, Frank and Jon were ranked 25th and 23rd.
Source: Forbes.com (Awarded 2018-2023). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Location
444 South Flower St, 34th
Fl
Los Angeles, CA 90071
US
Direct:
(800) 514-1385(800) 514-1385
2141 Rosecrans Ave
Suite 3100
Manhattan Beach, CA 90245
US
Direct:
(310) 297-3743(310) 297-3743
Meet The Malone Neuhaus Group
Jon Neuhaus
Managing Director, Private Wealth Management, Private Wealth Advisor
Phone:
(310) 297-3732(310) 297-3732
Chris Malone
Financial Advisor
Phone:
(310) 297-3751(310) 297-3751
Rishi Mangal, CPM®, FPS
Vice President, Director of Business Strategy, Financial Planning Specialist
Phone:
(310) 297-3743(310) 297-3743
Gabriella Burke, CFP
Assistant Vice President, Wealth Management Associate
Phone:
(310) 297-3740(310) 297-3740
Lucy C. Hardy
Assistant Vice President, Wealth Management Associate
Phone:
(310) 297-3741(310) 297-3741
Kristina Charles
Registered Client Service Associate
Phone:
(310) 297-3735(310) 297-3735
Lisette Carrillo
Senior Registered Client Service Associate
Joshua Haupt-Jimenez
Registered Client Service Associate
Justin T. Smith, CFA
Vice President, Portfolio Management Associate, Investment Consultant
Phone:
(310) 297-3739(310) 297-3739
Erica M. Gudino
Senior Client Service Associate
Phone:
(310) 297-3738(310) 297-3738
About Frank Malone
Frank is a Private Wealth Advisor at Morgan Stanley Private Wealth Management. Frank has worked for 29 years in private wealth management: at Morgan Stanley (16 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.
Since 2014, Frank has been recognized by Barron’s each year as one of the Top 1,200 Financial Advisors in the U.S. including being named to the Top 100 Financial Advisors 2017-2025. He was also named to The Financial Times’ list of America’s Top 400 Financial Advisors in 2014, 2016-2019 in addition to being named to Forbes Magazine's Best in State Wealth Advisors each year since 2018.
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.
2014, 2016-2019 Financial Times 400 Top Financial Advisors
Source: ft.com. Data compiled by the Financial Times based the following time periods:
Awarded 2019; data 6/30/15 - 6/30/18
Awarded 2018; data 6/30/15 - 6/30/17
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
Source: Barrons.com (Awarded 2017-2025). Data compiled by Barron's based on 12-month period concluding in Dec of the year prior to the issuance of the award.
Source: Forbes.com (Awarded 2018-2025). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Since 2014, Frank has been recognized by Barron’s each year as one of the Top 1,200 Financial Advisors in the U.S. including being named to the Top 100 Financial Advisors 2017-2025. He was also named to The Financial Times’ list of America’s Top 400 Financial Advisors in 2014, 2016-2019 in addition to being named to Forbes Magazine's Best in State Wealth Advisors each year since 2018.
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.
2014, 2016-2019 Financial Times 400 Top Financial Advisors
Source: ft.com. Data compiled by the Financial Times based the following time periods:
Awarded 2019; data 6/30/15 - 6/30/18
Awarded 2018; data 6/30/15 - 6/30/17
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
Source: Barrons.com (Awarded 2017-2025). Data compiled by Barron's based on 12-month period concluding in Dec of the year prior to the issuance of the award.
Source: Forbes.com (Awarded 2018-2025). 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: AL, VA, DE, AK, UT, PA, OR, IL, ID, GA, NJ, MO, MI, IN, WA, SD, NY, DC, SC, MA, FL, CT, TX, NH, NC, HI, AZ, MN, MD, KS, CO, CA, NE, NV, NM; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
NMLS#: 1261853
CA Insurance License #: 0E20884
NMLS#: 1261853
CA Insurance License #: 0E20884
About Jon Neuhaus
Jon is a Managing Director and Private Wealth Advisor at Morgan Stanley Private Wealth Management. Jon has worked for 23 years in private wealth management, the last 19 years at Morgan Stanley. Barron's Magazine has recognized Jon as one of the top 100 Advisors nationally since 2020 and as one of the Top 1,200 Financial Advisors in America since 2016. Barron’s also has recognized the Malone Neuhaus Group as one of the Top 250 teams nationally since 2021. Forbes Magazine's has named Jon as among the Best in State Wealth Advisors since 2018.
Jon graduated with an MBA from the Kellogg School of Management at Northwestern University. 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 received his B.A. with high honors in Political Science and History from U.C. Berkeley, where he played ice hockey. Jon served as a Corps Member in City Year-Boston in 1990-91, upon graduating from Phillips Exeter Academy in New Hampshire. Jon is a member of the Quilts of Valor Foundation Board. He also is a consistent supporter of NEADS, which trains and matches service dogs with veterans. He coached Little League while in college and after graduating from business school. Jon has served on several educational and sports-related boards over the years. Originally from Connecticut, he currently lives in Los Angeles, CA.
NMLS#1278664
2020-2024 Barron's Top 100 Financial Advisors
Source: Barrons.com (Awarded 2020-2024). Data compiled by Barron's based on 12-month period concluding in Dec of the year prior to the issuance of the award.
2016- 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 2016 - 2025). Data compiled by Barron's based on 12-month period concluding in Sept of the year prior to the issuance of the award.
2021-2024 Barron's Top 250 Private Wealth Management Teams (formerly referred to as Barron's Top 100 Private Wealth Management Teams, Barron's Top 50 Private Wealth Management Teams, Barron's Top 50 Private Wealth Advisory Teams)
Source: Barrons.com (Awarded April 2021-2024). Data compiled by Barron's based on 12-month period concluding in Dec of the year prior to the issuance of the award.
2023-2024 Forbes America's Top Wealth Management Teams
Source: Forbes.com (Awarded 2023-2024). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year the award was issued.
Jon graduated with an MBA from the Kellogg School of Management at Northwestern University. 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 received his B.A. with high honors in Political Science and History from U.C. Berkeley, where he played ice hockey. Jon served as a Corps Member in City Year-Boston in 1990-91, upon graduating from Phillips Exeter Academy in New Hampshire. Jon is a member of the Quilts of Valor Foundation Board. He also is a consistent supporter of NEADS, which trains and matches service dogs with veterans. He coached Little League while in college and after graduating from business school. Jon has served on several educational and sports-related boards over the years. Originally from Connecticut, he currently lives in Los Angeles, CA.
NMLS#1278664
2020-2024 Barron's Top 100 Financial Advisors
Source: Barrons.com (Awarded 2020-2024). Data compiled by Barron's based on 12-month period concluding in Dec of the year prior to the issuance of the award.
2016- 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 2016 - 2025). Data compiled by Barron's based on 12-month period concluding in Sept of the year prior to the issuance of the award.
2021-2024 Barron's Top 250 Private Wealth Management Teams (formerly referred to as Barron's Top 100 Private Wealth Management Teams, Barron's Top 50 Private Wealth Management Teams, Barron's Top 50 Private Wealth Advisory Teams)
Source: Barrons.com (Awarded April 2021-2024). Data compiled by Barron's based on 12-month period concluding in Dec of the year prior to the issuance of the award.
2023-2024 Forbes America's Top Wealth Management Teams
Source: Forbes.com (Awarded 2023-2024). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year the award was issued.
Securities Agent: UT, DE, NC, MA, KS, DC, AL, CA, TX, GA, AK, CO, AZ, VA, SD, OR, NM, NJ, IN, CT, NY, MO, MN, MI, MD, HI, NV, FL, NE, PA, NH, IL, WA, SC, ID; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
NMLS#: 1278664
CA Insurance License #: 0E27464
NMLS#: 1278664
CA Insurance License #: 0E27464
About Chris Malone
Chris is a Financial Advisor at Morgan Stanley Private Wealth Management. Before joining the Malone Neuhaus Group, Chris spent the lion’s share of his career as a Portfolio Manager in the commodity hedge fund and institutional bank space over the last two decades, including Morgan Stanley’s proprietary trading desk in Purchase, NY. He began his career covering energy in Merrill Lynch’s equity research department, during which time he earned the CFA designation.
Chris is a native of Palos Verdes Estates, CA and has returned home after this 24 year financial career in New York. A graduate of the University of Notre Dame, Chris is married with three children.
Chris is a native of Palos Verdes Estates, CA and has returned home after this 24 year financial career in New York. A graduate of the University of Notre Dame, Chris is married with three children.
Securities Agent: CA, OR, NY, NH, AZ, CO, AK, SC, CT, VA, MO, KS, GA, NV, FL, UT, WA, MD, MA, TX, NJ; General Securities Representative; Investment Advisor Representative
NMLS#: 1951666
CA Insurance License #: 4040585
NMLS#: 1951666
CA Insurance License #: 4040585
About Rishi Mangal
Rishi Mangal is a Vice President and the Director of Business Strategy for the Malone Neuhaus Group at Morgan Stanley Private Wealth Management. Rishi began his career with Morgan Stanley in 2005 as an intern with Morgan Stanley Wealth Management in New York City, while finishing his B.S. degree in Finance at Rutgers University. He’s worked in various positions in MS Wealth Management over the last 14 years, including as a Registered Client Service Associate/Financial Planning Specialist, Product Manager and WM Operations Relationship Partner. As a Product Manager at Morgan Stanley, Rishi helped build out the Advisor Platform prior to moving to the Relationship Partner role where he supported many of the top Advisor teams in the firm, including the Malone Neuhaus Group.
Rishi currently holds his Series 7, 66, 3, Financial Planning Specialist licenses. He's also obtained the Certified Portfolio Managers designation from the Academy of Certified Portfolio Managers, in conjunction with Columbia University, and has previously held the NY Life, Accident & Health Insurance license.
In his free time, Rishi enjoys travelling, playing golf, working out, cooking, reading and watching movies.
Disclaimer: This role cannot solicit or provide investment advice.
Rishi currently holds his Series 7, 66, 3, Financial Planning Specialist licenses. He's also obtained the Certified Portfolio Managers designation from the Academy of Certified Portfolio Managers, in conjunction with Columbia University, and has previously held the NY Life, Accident & Health Insurance license.
In his free time, Rishi enjoys travelling, playing golf, working out, cooking, reading and watching movies.
Disclaimer: This role cannot solicit or provide investment advice.
About Gabriella Burke
Gabi is a Wealth Management Associate with the Malone Neuhaus Group. Gabi interned with the team in 2014 as part of her bachelors degree from Nottingham Trent University in the UK. Gabi graduated in 2016 and has been with the team since in various roles. Gabi is a certified personal trainer, and enjoys running, hiking and traveling in her spare time. Gabi currently resides in Redondo Beach, California.
Disclaimer: This role cannot solicit or provide investment advice.
Disclaimer: This role cannot solicit or provide investment advice.
About Lucy C. Hardy
Lucy joined the Malone Neuhaus Group at Morgan Stanley Private Wealth Management in 2017 as a Wealth Management 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 Kristina Charles
Kristina Charles is a Registered Client Service Associate for the Malone Neuhaus Group at Morgan Stanley Private Wealth Management.
Prior to joining Morgan Stanley, she worked as a Client Associate/Analyst with Rockefeller Capital Management in Century City where she focused on leading the team, investment research and providing quality service to high net worth families. She earned her bachelor's degree from University of California, Los Angeles majoring in Economics and African American studies. Kristina currently holds her Series 7 and 66 licenses.
Kristina enjoys spending time with her family, spending time outdoors and volunteering with a non-profit organization striving to help former foster youths graduate college and launch successful careers.
Prior to joining Morgan Stanley, she worked as a Client Associate/Analyst with Rockefeller Capital Management in Century City where she focused on leading the team, investment research and providing quality service to high net worth families. She earned her bachelor's degree from University of California, Los Angeles majoring in Economics and African American studies. Kristina currently holds her Series 7 and 66 licenses.
Kristina enjoys spending time with her family, spending time outdoors and volunteering with a non-profit organization striving to help former foster youths graduate college and launch successful careers.
About Lisette Carrillo
Lisette Carrillo joined the Malone Neuhaus team as a Senior Registered Client Service Associate. After graduating from Cal State Long Beach with a Bachelor of Science in Business Management and Operations Management, Lisette spent more than a decade at UBS. As a Registered Client Service Associate and Team Administrator she worked closely with clients and their advisors in an operational and administrative capacity. Lisette holds her Series 7, 66, and CA Insurance License.
In her spare time, she enjoys quality time and fun activities with her husband and their two sons including movie nights, theme park outings, and exploring her native Southern California.
In her spare time, she enjoys quality time and fun activities with her husband and their two sons including movie nights, theme park outings, and exploring her native Southern California.
About Joshua Haupt-Jimenez
Josh is a Registered Client Service Associate for the Malone Neuhaus Group at Morgan Stanley Private Wealth Management. He completed his bachelor’s degree in Agricultural Business from California Polytechnic State University, San Luis Obispo. Prior to joining the team, Josh worked as a Registered Client Service Associate for several years at Morgan Stanley in Downtown Los Angeles.
Josh is a California native and has spent time in several different beach cities north and south of Los Angeles. Now, he resides in Santa Monica. In his free time, he loves surfing, trying new restaurants, music, and he is studying for the CFA Level II exam.
Josh is a California native and has spent time in several different beach cities north and south of Los Angeles. Now, he resides in Santa Monica. In his free time, he loves surfing, trying new restaurants, music, and he is studying for the CFA Level II exam.
About Justin T. Smith
Justin is a Portfolio Management 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 Erica M. Gudino
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.
Contact Frank Malone
Contact Jon Neuhaus
Contact Chris Malone
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Portfolio Insights
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Private Wealth Management Podcast
Bringing you engaging stories and key insights surrounding the complexities associated with significant wealth, including:
- Intergenerational Planning
- Philanthropic Giving
- Non-Traditional Assets
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LISTEN | Passion Assets: Investing in Art
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Managing Significant Wealth
- Investment Management
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- Lifestyle Advisory
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Insights and Outcomes
Thought Leadership for our ultra high net worth clients, which contains thought-provoking articles, authored by leading experts from Morgan Stanley Family Office Resources.
Wealth Management for Athletes and Entertainers
Understanding the unique financial challenges of athletes and entertainers and how they differ from one profession to the next, we deliver the experience and resources you need to help create and implement a comprehensive, multigenerational wealth management plan based on your needs, values and aspirations.
- Investment Management
- Wealth Transfer & Philanthropy
- Private Banking Solutions
- Family Governance & Wealth Education
- Lifestyle Advisory
We look forward to discussing your needs and goals, and the exceptional resources we can place at your disposal.
1Morgan Stanley Smith Barney LLC and its affiliates and their employees (including Financial Advisors and Private Wealth Advisors) are not in the business of providing tax or legal advice. These materials and any statements contained herein should not be construed as tax or legal advice. Individuals should consult their personal tax advisor or attorney for matters involving taxation and tax planning and their attorney for matters involving personal trusts and estate planning.
2Morgan Stanley Smith Barney LLC (the “Firm”) and its affiliates do not currently offer the services provided by this Service Provider(s). The Service Provider(s) is not an affiliate of the Firm. Any review of the Service Provider(s) performed by the Firm was based on information from sources that we believe are reliable but we cannot guarantee its accuracy or completeness. This referral should in no way be considered to be a solicitation by the Firm for business on behalf of the Service Provider(s). The Firm makes no representations regarding the appropriate or otherwise of the products or services provided by the Service Provider(s). There may be additional service providers for comparative purposes. If you choose to contact the Service Provider(s), do thorough due diligence, and make your own independent decision.
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
4Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
5Investing in the market entails the risk of market volatility. The value of all types of investments may increase or decrease over varying time periods. The returns on a portfolio consisting primarily of sustainable or impact investments may be lower or higher than a portfolio that is more diversified or where decisions are based solely on investment considerations. Because sustainability and impact criteria exclude some investments, investors may not be able to take advantage of the same opportunities or market trends as investors that do not use such criteria.
6Borrowing against securities may not be appropriate for everyone. You should be aware that there are risks associated with a securities based loan, including possible maintenance calls on short notice, and that market conditions can magnify any potential for loss. For details please see the important disclosures below.
Securities based loans are provided by Morgan Stanley Smith Barney LLC, Morgan Stanley Private Bank, National Association or Morgan Stanley Bank, N.A, as applicable.
Important Risk Information for Securities Based Lending: You need to understand that: (1) Sufficient collateral must be maintained to support your loan(s) and to take future advances; (2) You may have to deposit additional cash or eligible securities on short notice; (3) Some or all of your securities may be sold without prior notice in order to maintain account equity at required maintenance levels. You will not be entitled to choose the securities that will be sold. These actions may interrupt your long-term investment strategy and may result in adverse tax consequences or in additional fees being assessed; (4) Morgan Stanley Bank, N.A., Morgan Stanley Private Bank, National Association or Morgan Stanley Smith Barney LLC (collectively referred to as “Morgan Stanley”) reserves the right not to fund any advance request due to insufficient collateral or for any other reason except for any portion of a securities based loan that is identified as a committed facility; (5) Morgan Stanley reserves the right to increase your collateral maintenance requirements at any time without notice; and (6) Morgan Stanley reserves the right to call securities based loans at any time and for any reason.
With the exception of a margin loan, the proceeds from securities based loan products may not be used to purchase, trade, or carry margin stock (or securities, with respect to Express CreditLine); repay margin debt that was used to purchase, trade or carry margin stock (or securities, with respect to Express CreditLine); and cannot be deposited into a Morgan Stanley Smith Barney LLC or other brokerage account.
To be eligible for a securities based loan, a client must have a brokerage account at Morgan Stanley Smith Barney LLC that contains eligible securities, which shall serve as collateral for the securities based loan.
7Tailored Lending is a loan/line of credit product offered by Morgan Stanley Private Bank, National Association, an affiliate of Morgan Stanley Smith Barney LLC. A Tailored Lending credit facility may be a committed or demand loan/line of credit. All Tailored Lending loans/lines of credit are subject to the underwriting standards and independent approval of Morgan Stanley Private Bank, National Association. Tailored Lending loans/lines of credit may not be available in all locations. Rates, terms, and programs are subject to change without notice. Other restrictions may apply. The information contained herein should not be construed as a commitment to lend. Morgan Stanley Private Bank, National Association is a Member FDIC that is primarily regulated by the Office of the Comptroller of the Currency. The proceeds from a Tailored Lending loan/line of credit (including draws and other advances) may not be used to purchase, trade, or carry margin stock; repay margin debt that was used to purchase, trade, or carry margin stock; and cannot be deposited into a Morgan Stanley Smith Barney LLC or other brokerage account.
CFP Board owns the marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
See the Financial Advisors Biographies for Registration and Licensing information.
CFP Board owns the marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
Investment Management Consultants Association, Inc. owns the marks CIMA®, Certified Investment Management Analyst® (with graph element)®, and Certified Investment Management Analyst® .
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Lifestyle Advisory Services: Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Awards Disclosures | Morgan Stanley
2Morgan Stanley Smith Barney LLC (the “Firm”) and its affiliates do not currently offer the services provided by this Service Provider(s). The Service Provider(s) is not an affiliate of the Firm. Any review of the Service Provider(s) performed by the Firm was based on information from sources that we believe are reliable but we cannot guarantee its accuracy or completeness. This referral should in no way be considered to be a solicitation by the Firm for business on behalf of the Service Provider(s). The Firm makes no representations regarding the appropriate or otherwise of the products or services provided by the Service Provider(s). There may be additional service providers for comparative purposes. If you choose to contact the Service Provider(s), do thorough due diligence, and make your own independent decision.
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
4Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
5Investing in the market entails the risk of market volatility. The value of all types of investments may increase or decrease over varying time periods. The returns on a portfolio consisting primarily of sustainable or impact investments may be lower or higher than a portfolio that is more diversified or where decisions are based solely on investment considerations. Because sustainability and impact criteria exclude some investments, investors may not be able to take advantage of the same opportunities or market trends as investors that do not use such criteria.
6Borrowing against securities may not be appropriate for everyone. You should be aware that there are risks associated with a securities based loan, including possible maintenance calls on short notice, and that market conditions can magnify any potential for loss. For details please see the important disclosures below.
Securities based loans are provided by Morgan Stanley Smith Barney LLC, Morgan Stanley Private Bank, National Association or Morgan Stanley Bank, N.A, as applicable.
Important Risk Information for Securities Based Lending: You need to understand that: (1) Sufficient collateral must be maintained to support your loan(s) and to take future advances; (2) You may have to deposit additional cash or eligible securities on short notice; (3) Some or all of your securities may be sold without prior notice in order to maintain account equity at required maintenance levels. You will not be entitled to choose the securities that will be sold. These actions may interrupt your long-term investment strategy and may result in adverse tax consequences or in additional fees being assessed; (4) Morgan Stanley Bank, N.A., Morgan Stanley Private Bank, National Association or Morgan Stanley Smith Barney LLC (collectively referred to as “Morgan Stanley”) reserves the right not to fund any advance request due to insufficient collateral or for any other reason except for any portion of a securities based loan that is identified as a committed facility; (5) Morgan Stanley reserves the right to increase your collateral maintenance requirements at any time without notice; and (6) Morgan Stanley reserves the right to call securities based loans at any time and for any reason.
With the exception of a margin loan, the proceeds from securities based loan products may not be used to purchase, trade, or carry margin stock (or securities, with respect to Express CreditLine); repay margin debt that was used to purchase, trade or carry margin stock (or securities, with respect to Express CreditLine); and cannot be deposited into a Morgan Stanley Smith Barney LLC or other brokerage account.
To be eligible for a securities based loan, a client must have a brokerage account at Morgan Stanley Smith Barney LLC that contains eligible securities, which shall serve as collateral for the securities based loan.
7Tailored Lending is a loan/line of credit product offered by Morgan Stanley Private Bank, National Association, an affiliate of Morgan Stanley Smith Barney LLC. A Tailored Lending credit facility may be a committed or demand loan/line of credit. All Tailored Lending loans/lines of credit are subject to the underwriting standards and independent approval of Morgan Stanley Private Bank, National Association. Tailored Lending loans/lines of credit may not be available in all locations. Rates, terms, and programs are subject to change without notice. Other restrictions may apply. The information contained herein should not be construed as a commitment to lend. Morgan Stanley Private Bank, National Association is a Member FDIC that is primarily regulated by the Office of the Comptroller of the Currency. The proceeds from a Tailored Lending loan/line of credit (including draws and other advances) may not be used to purchase, trade, or carry margin stock; repay margin debt that was used to purchase, trade, or carry margin stock; and cannot be deposited into a Morgan Stanley Smith Barney LLC or other brokerage account.
CFP Board owns the marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
See the Financial Advisors Biographies for Registration and Licensing information.
CFP Board owns the marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
Investment Management Consultants Association, Inc. owns the marks CIMA®, Certified Investment Management Analyst® (with graph element)®, and Certified Investment Management Analyst® .
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Lifestyle Advisory Services: Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Awards Disclosures | Morgan Stanley
CRC 4237142 (02/2025)
