Welcome

As Morgan Stanley Private Wealth Advisors, we combine our own talents and experience with the vast resources of a global financial services firm to address the planning, governance, liability management and investing needs of ultra high net worth families, their businesses and philanthropic enterprises. We take a holistic approach that is grounded in investment strategy, but covers virtually every aspect of your financial life: risk management, liabilities, trusts and estate structures and even family dynamics and lifestyle management issues. Our goal is to help preserve and grow your financial, family and social capital so that it can have the greatest positive impact today and for generations to come.

We look forward to learning more about you and your family, and discussing the resources we can place at your disposal.
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.

Location

1585 Broadway
21st Fl
New York, NY 10036
US
Direct:
(212) 761-7732(212) 761-7732

Meet The Sargent Team

About Me

John joined Morgan Stanley in 2003.  Prior to his experience in the financial services industry, John was an advertising executive at the Wall Street Journal, where he worked from 1996-1999.  John worked on the launch team of the highly successful “Weekend Journal.”

John has consistently ranked in the top 100 Financial Advisors in New York by Barron’s magazine every year since 2012. John has been named by the Financial Times as one of America’s Top 400 Financial Advisors in 2016, 2017, and 2018, and was named by Forbes magazine in 2018 as one of New York's Top Financial Advisors. 

John has been interviewed and quoted extensively in industry publications on his views towards asset allocation, investment manager selection and growing a private wealth management business. 

With four children, John is active in his community as a soccer and basketball coach and teaches Sunday School at his family’s church, St. Barnabas Greenwich.  In addition, John is a trustee and the Chairman of the Institutional Advancement Committee of General Theological Seminary, the oldest and largest Episcopal Seminary in the United States, situated on 3 beautiful acres in the middle of Chelsea in New York City.  John and his wife Heather are Committee Chairmen and active participants in the JDRF (Juvenile Diabetes Research Foundation) New York chapter, and have been the #1 fundraising team in New York for six years running.

A native of Southern California, John graduated from Yale with a B.A. in History (with distinction), and holds an M.B.A. from Columbia Business School.
Securities Agent: TX, CA, WI, WA, VA, TN, SD, SC, PA, OR, OH, NY, NJ, NH, NC, MT, MS, MN, MD, MA, KS, IN, IL, GA, FL, DE, DC, CT, CO, AL; Managed Futures; General Securities Representative; Investment Advisor Representative
NMLS#: 1401584

About Me

Dan joined Morgan Stanley in 2018. He focuses on ultra-high net worth individuals and families.  His responsibilities include strategic asset allocation, portfolio construction, and business development. He also conducts third-party manager selection, including due diligence meetings with portfolio managers.

Prior to becoming a Private Wealth Advisor Associate, Dan earned his MBA from Columbia Business School. During his time in graduate school, he worked as an investment analyst at both a family office (Westside Avenue Holdings / Eureka Investments) and a hedge fund that spun out of a family office (Mercator Fund). Prior to business school, he spent four years as an equity research analyst at Raymond James, where he covered bank stocks. At RJ, he was responsible for the largest and most complex financial institutions under coverage, worked closely with management teams of covered companies, and made regular media appearances on television (he was the youngest firm employee to be interviewed on CNBC), radio, and internet/print.

Dan graduated with distinction from the Kenan-Flagler Business School at the University of North Carolina at Chapel Hill with a B.S. in Business Administration in 2011, earned his CFA Charterholder designation in 2015 after passing all three exams on the first attempt, and earned an MBA with Deans Honors from Columbia Business School in 2017.

Originally from Melville, New York, he lives with his wife, Jackie, and dog, Kona, in New York City. He loves sports and travel, is a member of CFA Society New York, and is an active volunteer with Rescuing Leftover Cuisine (RLC).
Securities Agent: CO, CT, FL, GA, IL, LA, MA, MD, MI, NC, NJ, NY, OH, PA, TN, TX, VA; Investment Advisor Representative; General Sercurities Representative
NMLS#: 1785346

About Me

Alex has 21 years of experience in the financial industry.  He started his career with Preferred Capital Markets in 1997.  He joined Morgan Stanley in 2003 as a Financial Advisor.  He has experience in virtually all areas of client management, including broad experience in equity and fixed income sales and trading.  In addition, he plays an essential role in managing the daily activities of the team, client portfolio analysis, and handles all client administration for our high net worth clientele.

Alex grew up in New York City.  He attended Cornell University, where he majored in Political Science and played on the varsity squash team.  Also, he holds an M.B.A. from New York University.  In addition, Alexander is a CERTIFIED FINANCIAL PLANNER (CFP®).

He lives in Larchmont, NY with his wife and three daughters and enjoys playing tennis.

About Me

Jack Lockwood II is a native of Key West, FL. He graduated from Rollins College, with a Bachelors Degree in Finance and Economics. Jack began his professional career working at Princeton Equity Partners as a Financial Advisor. While at PEP, he helped build and nurture the alternative investment business. Jack is now using the knowledge and experience he has gained and applying it to his position at Morgan Stanley in the Private Wealth Management Division. When Jack is not in the office he enjoys playing golf, fly fishing, skiing and hunting.
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
Successfully Staffing Your Home

Successfully Staffing Your Home

By adopting more professional approaches to hiring, training and retaining staff, you can more easily maintain a well-run and harmonious home.

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.
Art as An Asset
CRC 2274738 01/19

Art as An Asset

Art may play a significant role in the context of a collector's overall wealth. Generally, a collector may differentiate financial assets, including stocks, bonds and real estate, from other possessions, such as art.

More from Morgan Stanley

OUTSMART VOLATILITY IN A MORGAN STANLEY MINUTE

OUTSMART VOLATILITY IN A MORGAN STANLEY MINUTE

“You may feel like a 1,000 point move in the Dow in a single day is unprecedented, but the reality is that it’s a 2 or 3% move down.” - Lisa Shalett, Chief Investment Officer, Wealth Management
Learn more about OUTSMART VOLATILITY IN A MORGAN STANLEY MINUTE
Morgan Stanley and Justin Rose: A Winning Team

Morgan Stanley and Justin Rose: A Winning Team

Morgan Stanley and our brand ambassador, PGA TOUR champion Justin Rose, share a set of core values and a common cause: giving books to children in need.
Learn more about Morgan Stanley and Justin Rose: A Winning Team
Sign Up for eDelivery

Sign Up for eDelivery

With eDelivery, you’ll have easy access to statements, trade confirmations, general correspondence and much more.
Learn more about Sign Up for eDelivery
Reserved | Living & Giving

Reserved | Living & Giving

Our complimentary program for eligible clients provides you and your family with access to exclusive offers and discounts from premium travel, automotive, health and wellness, and retail brands as well as curated insights from Morgan Stanley.
Learn more about Reserved | Living & Giving
Your Financial World. On the Go.

Your Financial World. On the Go.

With the Morgan Stanley Mobile App, you’ll have the freedom to manage your investments and instantly access a suite of personal cash management tools.
Learn more about Your Financial World. On the Go.
Access Morgan Stanley Online

Access Morgan Stanley Online

Morgan Stanley Online provides a comprehensive view of your assets and liabilities, projected income, breaking news, research and much more.
Learn more about Access Morgan Stanley Online
We look forward to discussing your needs and goals, and the exceptional resources we can place at your disposal.
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.

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.

See the Financial Advisors Biographies for Registration and Licensing information.

Certified Financial Planner™ Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and CFP® (with flame logo)® 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 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

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.