Comprehensive Wealth Managment

For more than 30 years, the MKP at Morgan Stanley has been helping corporations, institutional investment committees, business owners and individual families achieve their specific financial goals in today’s complex global marketplace.

Our wealth management and institutional consulting practice covers the full spectrum of investment strategies and solutions:

For institutions and corporations, we provide tailored retirement plan consulting services, along with the necessary processes and systems to help them meet their fiduciary responsibilities.    

For families seeking wealth planning guidance, we serve as their “personal” chief financial officer, creating a comprehensive roadmap that seeks to ensure financial success.

At the MKP Group, our mission is to inspire you to be confident in your financial decisions.  As a highly regarded team of seasoned wealth management professionals, we take great pride in going the extra mile to make a real difference in our clients’ lives. We know how hard you are working to achieve your goals, and we will work even harder to help ensure your wealth will lead to continued prosperity.

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Services Include
  • Corporate Retirement Plans1
  • Corporate Cash Management
  • Corporate Pension Funds
  • Wealth Management2
  • Financial Planning3
  • Executive Benefit Services4
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Due to the benefit limits of 401(k) and other qualified retirement plans, occasionally our clients need to explore additional benefit plans for their owners, executives, and/or other highly compensated employees. We are experienced in providing guidance in the structure and funding of the following alternatives:

Non-Qualified Deferred Compensation Plans

Employee Stock Option Plans

Captive Insurance Plans

Cash Balance Plans

    Awards

    • 2018 - "Young Gun" - Top Retirement Plan Advisors Under 40 - National Association of Plan Advisors - Joseph T. Matis
    • 2017 - Top DC Advisor Firms - National Association of Plan Advisors - The MKP Group at Morgan Stanley
    • 2017 - Top 401 Retirement Plan Advisors - Financial Times - Joseph M. Matis
    • 2017 - "Young Gun" - Top Retirement Plan Advisors Under 40 - National Association of Plan Advisors - Joseph T. Matis
    • 2016 -"Young Gun" - Top 50 Retirement Plan Advisors Under 40 - National Association of Plan Advisors - Joseph T. Matis
    • 2015 - Top 401 Retirement Plan Advisors - Financial Times - Joseph M. Matis
    • 2015 -"Young Gun" - Top 50 Retirement Plan Advisors Under 40 - National Association of Plan Advisors - Joseph T. Matis
    • 2013 -Top Wealth Managers in Indianapolis - Indianapolis Monthly - Joseph M. Matis
    • 2013 -Top Wealth Managers in Indianapolis - Indianapolis Monthly - Joseph T. Matis
    • 2010 - Top 100 Plan Advisors -- PlanAdviser Magazine - The MKP Group

    Our clients tell us they engage with us primarily for two reasons:

    They express concern over the Corporate and Personal Liability in their role as Fiduciaries of their employees’ retirement assets. The risk has been illustrated time and time again through increased litigation encompassing many retirement plan sponsors.

    Pragmatically, it is in their best interests for their employees to be able to enjoy a financially secure retirement at a normal retirement age. Any delay in retirement by their employees carries an additional financial burden in terms of higher wages, increased healthcare and disability premium costs.

    Our services and processes are designed to address both of these concerns for all of our current and future clients.

    Services:
    Fiduciary Liability Management    
    Investment Selection and Monitoring 
    Plan Design Strategies
    Retirement Plan Management and Governance   
    Recordkeeper Selection/RFP Management
    Plan Expense Oversight and Management 
    Employee Education and Engagement
    • Plan Sponsor Insights is a quarterly newsletter designed to provide timely and pertinent industry and legislative information to retirement plan sponsor clients and prospects. Topics in this edition include: Considering a Roth 401(k)?, Tax Relief for Hurricane Victims, Small Plan Audit Waivers, and Recent Developments.
      Click here to read the latest Plan Sponsor Insights newsletter.

    One-on-One Financial Planning for your entire company

    Morgan Stanley Workplace Wealth Solutions is a corporate financial wellness program that aims to improve your employees’ financial wellbeing through capabilities that helps address the complex challenges they face in managing their wealth.

    Our tailored financial wellness program is designed to bolster your organization’s current benefits program. We provide your employees with access to vital wealth management programs, including wealth education, financial planning, corporate executive services and tax planning and preparation services.

    By matching your employees with experienced Morgan Stanley Financial Advisors, we can empower them to preserve and grow their wealth now and for future generations.

    What is Morgan Stanley's Workplace Wealth Program

    The Employee Experience

    The C-Suite Program

    Location

    111 Monument Circle
    Suite 3100
    Indianapolis, IN 46204
    US
    Direct:
    (317) 263-0820(317) 263-0820
    Toll-Free:
    (800) 624-2545(800) 624-2545

    Meet The MKP Group

    Photo of Carla Kavanaugh

    Carla Kavanaugh

    Senior Registered Associate

    About Me

    Joe began working with Corporate Retirement clients over 25 years ago and has been a recognized leader in that field of practice ever since. He also holds the CIMA®, CRPS® and C(k)P® industry designations and was twice recognizedby PLANSPONSOR magazine on its Top 100 Retirement Plan Advisors list. Most recently, Joe was named a 2015 Top 401 Retirement Plan Advisor bythe Financial Times.
    "Each client gives us the opportunity and responsibility to directly affect the retirement income of hundreds of hardworking employees," Joe proudly acknowledges, "something we take very seriously."
    Understanding both the goals and the fears of employees help Joe and his team to prepare both successful investment menus and communication campaigns to help each employee better utilize the plan to advance toward those goals and alleviate those fears.
    Joe, who earned his B.S. in business from Indiana University in 1977, has been actively involved in coaching youth sports, has held leadership roles in local hospital and school advisory boards, and enjoys a good round of golf. He and his wife, Connie, have been married since 1978 and have three grown children, and are
    Securities Agent: IN, WV, WA, SC, RI, PA, OR, OH, NY, NV, NJ, MS, MI, MD, KY, IL, FL, DE, DC, CT, CA, AZ; General Securities Representative; Investment Advisor Representative
    NMLS#: 521974

    About Me

    Joe has spent several years working closely with retirement plan sponsors as well as their employees, giving him the skills to serve both our corporate clients and their participants. His experience in plan design options not only provides our plan sponsors tailored solutions for an effective retirement plan, but it affords their participants easy access to a successful retirement. In addition, Joe maintains our clients’ fiduciary audit files and periodically benchmarks each retirement plan for services and fees. In 2016 and 2017, Joe was named by the National Association of Plan Advisors as a "Young Gun"— a Top Retirement Plan Advisor Under 40.

    Joe began his career in 2008 and has earned several industry designations, including the Chartered Retirement Plans Specialist. He is a member of the National Association of Plan Advisors. Joe attended Hanover College and earned a bachelor of arts in economics. While at Hanover, he excelled as a pitcher for the baseball team and holds five school records for his efforts. Still very involved in athletics, he has begun coaching his own children, as he and his wife, Leah, have four: Joey, Ray, Louisa and Teddy.
    Securities Agent: IN, WV, WA, TX, SC, RI, PA, OR, OH, NY, NV, NJ, MS, MI, MD, KY, IL, FL, DE, DC, CT, CA, AZ; General Securities Representative; Investment Advisor Representative
    NMLS#: 791317

    About Me

    As an investment professional for more than 24 years, Rich is a Financial Advisor who assists clients in establishing and executing their individual financial plan. He uses his extensive knowledge in retirement, education, estate planning and asset allocation so that each client can fully execute his or her comprehensive financial plan.

    Rich joined the MKP Group in 1991 after a career as a CPA. He is a 1977 graduate of Ball State University, where he earned a B.S. in accounting.

    Rich has been married to his wife, Gail, for 37 years. They raised three daughters and enjoy spending time with them and their five grandchildren.
    Securities Agent: TX, IN, WV, WA, SC, RI, PA, OR, OK, OH, NY, NV, NJ, NC, MS, MI, MD, KY, IL, FL, DC, CT, CA, AZ, AR; General Securities Representative; Investment Advisor Representative
    NMLS#: 697920

    About Me

    Liam Smith joined the MKP Group in December 2013. In his position as Financial Advisor, he is responsible for a wide range of administrative and business management responsibilities to help facilitate the group’s unwavering commitment to the highest quality of service and support for their individual and corporate clients.
    Prior to joining the MKP Group, Liam worked as a financial advisor for Compensation Systems Inc. — the retirement plan arm of WestPoint Financial — a MassMutual affiliate in Indianapolis.
    In this position, he worked closely with plan sponsors, plan participants and individual clients. Liam earned a master of education from Lehigh University in Bethlehem, Pennsylvania. He uses this background to assist with the development of employee education programs, which help plan participants to positively impact their retirement outcomes. Liam and his wife, Katie, live in Indianapolis with their daughter, Charlie.
    Securities Agent: IN, WV, WA, VA, TX, SC, RI, PA, OR, OK, OH, NY, NV, NJ, NC, MS, MI, MD, KY, IL, FL, DC, CT, CA, AZ, AR; General Securities Representative; Investment Advisor Representative
    NMLS#: 1512488

    About Me

    Drawing on more than 30 years of industry experience, Carla Kavanaugh provides a wide range of specialized services for clients of The MKP Group. She is responsible for all client service activity and overlooks the team’s administrative and operational issues as they relate to client accounts, online services and regulatory compliance.
    Carla began her career in Operations in 1982. She enjoys working directly with clients and strives to always provide an excellent service experience. As a Registered Associate with her FINRA Series 7, 63 and 66 securities licenses, she is able to execute trades for clients when the group’s Financial Advisors are not available.

    Investment and Market Perspectives

    On the Markets

    Retirement

    Working with you to understand your life goals and develop a personalized wealth strategy. Today and for the years to come.
    • 401(k) Rollovers
    • IRA Plans
    • Retirement Income Strategies
    • Retirement Plan Participants
    • Annuities
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    Investing

    Working closely with you to guide your wealth and investments through the most challenging market cycles.
    • Asset Management
    • Wealth Planning
    • Traditional Investments
    • Alternative Investments
    • Impact Investing
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    Family

    Creating customized financial strategies for the challenges that today's families face.
    • Estate Planning Strategies
    • 529 Plans / Education Savings Planning
    • Long Term Care Insurance
    • Special Needs Planning
    • Trust Services
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    Business Planning

    Helping you on key aspects of your business such as ownership, liquidity and developing opportunities.
    • Succession Planning
    • Business Planning
    • Retirement Plan Sponsors
    • Qualified Retirement Plans
    • Corporate Pension Funds
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    Philanthropy

    Making sure your philanthropic dollars are managed with the same high quality service as the rest of your wealth.
    • Endowments
    • Foundations
    • Donor Advised Funds
    • Impact Investing
    A New Roadmap for Mission Alignment

    A New Roadmap for Mission Alignment

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    Ready to start a conversation? Contact The MKP Group today.
    Market Information Delayed 20 Minutes
    1Tax laws are complex and subject to change. Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice and are not “fiduciaries” (under ERISA, the Internal Revenue Code or otherwise) with respect to the services or activities described herein except as otherwise provided in writing by Morgan Stanley and/or as described at www.morganstanley.com/disclosures/dol . Individuals are encouraged to consult their tax and legal advisors (a) before establishing a retirement plan or account, and (b) regarding any potential tax, ERISA and related consequences of any investments made under such plan or account.

    2Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.

    3Morgan Stanley 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.

    4Tax laws are complex and subject to change. Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice and are not “fiduciaries” (under ERISA, the Internal Revenue Code or otherwise) with respect to the services or activities described herein except as otherwise provided in writing by Morgan Stanley and/or as described at www.morganstanley.com/disclosures/dol . Individuals are encouraged to consult their tax and legal advisors (a) before establishing a retirement plan or account, and (b) regarding any potential tax, ERISA and related consequences of any investments made under such plan or account.

    The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.

    Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link: https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.

    The securities/instruments, services, investments and investment strategies discussed in this material may not be suitable for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.

    Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.

    The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.

    *References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.


    CRC 2019752 10/2018