Frank Seminara
Managing Director, Private Wealth Management, Private Wealth Advisor, Founders Specialist, Global Sports and Entertainment Director, Alternative Investments Director, Private Wealth Advisor
Phone:
(973) 236-3634(973) 236-3634
Morgan Stanley Private Wealth Management
The Seminara Group
Frank SeminaraRobert KnorrPeter Seminara, CFP®Mark CiccarelliJeffrey GoldsmithJames JulichRobert Neill
Direct:
(973) 236-3634(973) 236-3634
Industry Award WinnerOur Mission Statement
We craft fully comprehensive solutions to help
highly accomplished individuals and their families
pursue their visions of successful lives.
highly accomplished individuals and their families
pursue their visions of successful lives.
Welcome
At The Seminara Group, we are a team of 14 wealth planning and client service professionals who serve a national clientele of highly accomplished executives, entrepreneurs, professionals and athletes, as well as their families, businesses and foundations. As our clients come to us as financially successful people, we concentrate on risk management. Our focus is on helping them protect and prudently grow the wealth they have created, simplifying the administration of their financial lives, and providing the experienced perspective they need to make informed decisions on complex matters.
Our team is carefully constructed, with each member contributing a core competency. Our collective experience, combined with the vast resources of one of the world’s greatest global financial institutions, empowers our team to provide you, your business and your family with the sophisticated solutions and attentive service you deserve.
It is our honor to serve a select group of extraordinarily interesting and dynamic people. We look forward to the day when you and your family are among them.
Our team is carefully constructed, with each member contributing a core competency. Our collective experience, combined with the vast resources of one of the world’s greatest global financial institutions, empowers our team to provide you, your business and your family with the sophisticated solutions and attentive service you deserve.
It is our honor to serve a select group of extraordinarily interesting and dynamic people. We look forward to the day when you and your family are among them.
Capabilities
- Comprehensive Wealth Planning
- Investment Management
- Portfolio Management
- Single Family Office Services
- Tax, Trust & Estate AdvisoryFootnote1
- Pre-liquidity Planning
- Business Succession PlanningFootnote2
- Securities Based LendingFootnote3
- Cash Management & LendingFootnote4
- Private Investments
- Alternative InvestmentsFootnote5
- Insurance SolutionsFootnote6
- Family Governance & Wealth Education
- Lifestyle Advisory ServicesFootnote7
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 300 teams specialized in assisting individuals and families with $20MM+ in investable assets
- Over $1.2 trillion in AUM
- Comprising 26% of the Barron’s Top 100 Financial Advisors list for 2025
- 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, September 2025
Source: Barron's (Awarded March 2025) This ranking was determined based on an evaluation process conducted by Barron's for the period Oct 2023-Sept 2024. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on an algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the assessment of Barron's and 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.
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.
Team Brochure, Awards & Recognitions
The Seminara Group Brochure
The Seminara Group Brochure
Founder Specialists
The Founder Specialist designation at Morgan Stanley represents a select group of professionals with deep expertise in supporting founders and entrepreneurs, from startup inception to scaling and beyond. This designation is a mark of excellence, awarded to Private Wealth Advisors who have demonstrated exceptional proficiency in understanding the unique challenges and opportunities faced by founders. Additionally, it underscores our commitment to continuous learning and excellence, ensuring our team remains at the forefront of industry trends and best practices, furthering our nuanced understanding of the entrepreneurial landscape.
Forbes Best-In-State Wealth Management Teams
The Seminara Group has been recognized by Forbes as one of the Best-In-State Wealth Management Teams for 2023, 2024, 2025, and 2026.
Source: Forbes.com (Awarded 2023-2026). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Source: Forbes.com (Awarded 2023-2026). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Forbes Best-In-State Wealth Advisors in New Jersey
Frank Seminara has been recognized by Forbes' Best-In-State Wealth Advisors in the state of New Jersey with a ranking of 1 in 2018, 2019, 2020, 2021, number 2 in 2022 and 2023, and number 13 in 2024.
Robert Knorr has been recognized by Forbes' Best-In-State Wealth Advisors in the state of New Jersey with a ranking of 18 out of 28 in 2021, 20 out of 32 in 2022, 19 out of 33 in 2023 and 21 out of 34 in 2024.
Peter Seminara has been recognized by Forbes' Best-In-State Wealth Advisors in the state of New Jersey with a ranking of 17 out of 28 in 2021, 16 out of 32 in 2022, 17 out of 33 in 2023 and 17 out of 34 in 2024.
Source: Forbes.com (Awarded 2018-2024). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Robert Knorr has been recognized by Forbes' Best-In-State Wealth Advisors in the state of New Jersey with a ranking of 18 out of 28 in 2021, 20 out of 32 in 2022, 19 out of 33 in 2023 and 21 out of 34 in 2024.
Peter Seminara has been recognized by Forbes' Best-In-State Wealth Advisors in the state of New Jersey with a ranking of 17 out of 28 in 2021, 16 out of 32 in 2022, 17 out of 33 in 2023 and 17 out of 34 in 2024.
Source: Forbes.com (Awarded 2018-2024). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Forbes Best-In-State Wealth Advisors in South Florida
Frank Seminara has been recognized by Forbes' Best-In-State Wealth Advisors in the state of Florida with a ranking 13 out of 87 in 2024 and 14 out of 91 in 2025.
Source: Forbes.com (Awarded 2024-2025). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Source: Forbes.com (Awarded 2024-2025). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Forbes America’s Top Wealth Advisors
Frank Seminara has been recognized by Forbes as one America’s Top Wealth Advisors for 2023.
Source: Forbes.com (Awarded 2023). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Source: Forbes.com (Awarded 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 Next-Gen Wealth Advisors
Mark Ciccarelli has been recognized by Forbes as one of the Top Next-Gen Wealth Advisors for 2022 and 2023.
Source: Forbes.com (Awarded 2022-2023). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Source: Forbes.com (Awarded 2022-2023). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Barron's Top 250 Private Wealth Management Teams
The Seminara Group has been recognized by Barron’s as one of the Top 250 Private Wealth Management Teams in the nation in 2024, 2025, and 2026.
Source: Barron's (Awarded May 2024, 2025, 2026). Data compiled by Barron's based for the period Jan 2024, 2025, 2026-Dec 2024, 2025, 2026.
Source: Barron's (Awarded May 2024, 2025, 2026). Data compiled by Barron's based for the period Jan 2024, 2025, 2026-Dec 2024, 2025, 2026.
Barron's Top 1000 Financial Advisors in the U.S.
Frank Seminara has been recognized by Barron´s as one of the Top 1,000 Financial Advisors in the U.S. (2011 and 2012).
Source: 2011-2012 Barron's Top 1,000 Financial Advisors: State-by-State.
Source: 2011-2012 Barron's Top 1,000 Financial Advisors: State-by-State.
Barron's Top 1200 Financial Advisors in New Jersey
Frank Seminara has been recognized by Barron´s as one of the Top 1,200 Financial Advisors in the state of New Jersey with a ranking of 8 out of 48 in 2014, 10 out of 48 in 2015, 5 out of 48 in 2016 and 2017, 7 out of 48 in 2018, 7 out of 48 in 2019, 10 out of 48 in 2020, 4 out of 48 in 2021, and 11 out of 48 in 2023.
Source: 2014-2023 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: 2014-2023 Barron's Top 1,200 Financial Advisors: State-by-State (formerly referred to as Barron's Top
1,000 Financial Advisors: State-by-State).
Barron's Top 1200 Financial Advisors in Florida
Frank Seminara has been recognized by Barron´s as one of the Top 1,200 Financial Advisors in the state of Florida with a ranking of 12 out 84 in 2022, 36 out of 84 in 2024, and 37 out of 84 in 2025.
Source: 2022-2025 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: 2022-2025 Barron's Top 1,200 Financial Advisors: State-by-State (formerly referred to as Barron's Top
1,000 Financial Advisors: State-by-State).
CFP®
A CERTIFIED FINANCIAL PLANNER™ has in-depth knowledge of the financial planning process, tax planning, employee benefits and retirement planning, estate planning, investment management, and insurance. Peter Seminara holds this designation.
CRPC®
Individuals who hold the Chartered Retirement Planning Counselor (CRPC®) designation have completed a course of study encompassing pre- and post-retirement needs, asset management, estate planning and the entire retirement planning process using models and techniques from real client situations. Designation received by Andrella Thomas.
CEPA®
The Certified Exit Planning Advisor (CEPA) is a unique credential that allows professional advisors to deeply engage with business owners and help them plan every aspect of their personal finances. Designation received by Andrella Thomas.
Global Sports & Entertainment Director
Morgan Stanley's Global Sports & Entertainment is a highly specialized wealth management division, dedicated to serving the unique and complex needs of athletes, entertainers, creators and top professionals in the sports and entertainment industry. Frank Seminara, Mark Ciccarelli, and Jeffrey Goldsmith hold the Global Sports & Entertainment Director position and can help you navigate these complex situations.
Family Wealth Director
Designated Family Wealth Directors (FWD) must demonstrate professional knowledge and experience in a range of specialties including estate planning, alternative investments, control and restricted securities, lending, hedging and monetization, and business succession planning. The FWD designation also entitles our team to specialized access to a variety of family advisory services including, family governance and dynamics, philanthropy management and lifestyle advisory. These resources build a truly differentiated experience for our clients, one that is competitive with a multi-family-office service platform. Robert Knorr has been awarded this title.
Alternative Investments Director
An Alternative Investments Director is responsible for managing and overseeing the alternative investments portfolio of a financial institution or investment firm. They strategize, analyze, and monitor various alternative assets such as private equity, hedge funds, real estate, and commodities, aiming to diversify and enhance the overall investment portfolio. Frank Seminara, Mark Ciccarelli, James Julich, and Andrella Thomas have been awarded these titles.
Senior Portfolio Management Director
This designation is given to a select group of Morgan Stanley financial advisors. It allows them to offer portfolio management services directly to their clients, rather than delegating that responsibility to third-party portfolio managers. Peter Seminara and Robert Knorr have been awarded these titles.
Clients
We work with a select national clientele of highly accomplished families and individuals. Our clients are active, intelligent people with many demands on their time. They rely on us to simplify their financial lives, protect, and prudently grow their assets, and lay the foundation for enduring legacies. While each family we serve has its own unique goals and circumstances, our clients tend to share certain challenges that are common to how they created their wealth.
Our clients include:
Our clients include:
Entrepreneurs and Business Owners
Entrepreneurs and Business Owners across a broad range of industries. We provide the specialized resources and expertise needed to manage their personal finances, including in the critical period leading up to the monetization of their businesses.
Learn more about wealth management for entrepreneursSenior Executives
Senior Executives who have complex incentive compensation packages and concentrated equity positions in the companies they lead. While most are sophisticated in financial matters, their personal, business and other commitments often leave little time to focus on their personal finances.
Learn more about managing a concentrated equity positionReal Estate Developers
Real Estate Developers and Investors who require holistic wealth management solutions that are inclusive of substantial private investments. We deliver comprehensive strategies to pursue long-term goals, inclusive of the liquidity they need to support their lifestyles and pursue their business goals.
Professional Athletes & Entertainers
Professional Athletes who face unique and complex wealth management challenges that call for sophisticated solutions and specialized resources. Several of our Advisors have first-hand knowledge of these issues, having been professional athletes themselves.
Learn more about capabilities for athletes and entertainersAWARD-WINNING WEALTH MANAGEMENT. FOCUSED ON YOU.
With the guidance of a Morgan Stanley Financial Advisor and the strength of a five-time award-winning wealth management platform<sup> <a href="#wm-disclosure-1" class="Link--underline"> <span class="sr-only">Footnote</span> 1 </a> </sup>, you can build, preserve, and manage your wealth with precision and purpose. For every stage of your financial journey.
Tax-Smart Solutions
Leading tax optimization capabilities\<sup\> \<a href="#wm\-disclosure\-2" class="Link\-\-underline"\> \<span class="sr\-only"\>Footnote\</span\> 2 \</a\> \</sup\> designed to deliver year\-round tax management with an eye toward reducing taxes and boosting after\-tax returns.
Seamless Cash Management Integration
A comprehensive, coordinated strategy with access to competitive yields, flexible financing options, and exclusive cash management resources.
Premier Risk Management and Cyber Defense
Industry\-acclaimed risk management tools\<sup\> \<a href="#wm\-disclosure\-3" class="Link\-\-underline"\> \<span class="sr\-only"\>Footnote\</span\> 3 \</a\> \</sup\> to help drive smarter portfolio decisions. In\-house team of cybersecurity experts dedicated to help protect you from cyber threats.
Personalized Legacy Planning
Guidance from experienced professionals across estate, trust, philanthropy, and financial planning to help preserve and grow your legacy.
An Industry-Leading Platform
Expert insights from 500+ equity analysts to help unlock your portfolio's potential and investment guidance.
Liquidity When You Need It
Industry\-leading securities\-based lending solutions to help access liquidity without selling assets or disrupting your investment strategy.\<sup\> \<a href="#wm\-disclosure\-4" class="Link\-\-underline"\> \<span class="sr\-only"\>Footnote\</span\> 4 \</a\> \</sup\>
Robust Concentrated Stock Solutions
Powerful tools and strategies to help manage concentrated stock positions and look to optimize portfolio outcomes.
Alternatives & Private Markets Access
A comprehensive alternative investments platform offering tailored solutions, early access to select offerings, and competitive pricing structures. Exclusive private market and pre\-IPO opportunities that were previously reserved for institutions.
Location
340 Mount Kemble Avenue
Morristown, NJ 07960
US
Direct:
(973) 236-3634(973) 236-3634
Fax:
(862) 703-3842(862) 703-3842
3801 PGA Blvd
Suite 700
Palm Beach Gardens, FL 33410
US
Direct:
(973) 236-3634(973) 236-3634
Meet The Seminara Group
Robert Knorr
Executive Director, Private Wealth Advisor, Family Wealth Director, Senior Portfolio Management Director
Phone:
(973) 236-3637(973) 236-3637
Peter Seminara, CFP®
Managing Director, Senior Portfolio Management Director, Private Wealth Advisor
Phone:
(973) 236-3639(973) 236-3639
Mark Ciccarelli
Senior Vice President, Private Wealth Advisor, Alternative Investments Director, Global Sports and Entertainment Director, Portfolio Manager, NFLPA Registered Institutional Player Financial Advisor
Phone:
(973) 660-4662(973) 660-4662
Senior Vice President, Financial Advisor, Global Sports and Entertainment Director, NFLPA Registered Institutional Player Financial Advisor, Portfolio Manager, Workplace Advisor - Equity Compensation
Phone:
(201) 251-6514(201) 251-6514
Senior Vice President, Wealth Management, Financial Advisor, Alternative Investments Director
Phone:
(561) 650-7577(561) 650-7577
Robert Neill
Financial Advisor
Phone:
(973) 660-4144(973) 660-4144
Anthony Farina
Vice President, Investment Consultant
Phone:
(973) 660-4663(973) 660-4663
Meredith Tierney
Vice President, Group Director
Phone:
(973) 236-3649(973) 236-3649
Rebecca De Jesus
Vice President, Business Development Associate
Phone:
(973) 896-9647(973) 896-9647
Janine McCoy
Wealth Management Associate
Phone:
(973) 236-3680(973) 236-3680
Christina Caban
Registered Client Service Associate
Phone:
(973) 236-3657(973) 236-3657
Jarett Greben
Registered Client Relationship Analyst
Phone:
(973) 236-3519(973) 236-3519
David Wallman
Registered Client Service Associate
Phone:
(973) 236-3523(973) 236-3523
About Frank Seminara
Drawing on more than 25 years of diverse financial services experience, Frank Seminara provides investment advice to a national clientele of high-net-worth individuals, as well as small- to medium-sized institutions. Frank leverages the resources and intellectual capital of both Morgan Stanley and third-party sources to create and maintain customized asset allocation strategies based on each client’s goals. In recognitions of his experience with hedge funds and private equity investments, Frank earned an internal designation as an Alternative Investments Director*. He is also a Morgan Stanley Global Sports and Entertainment Director, a designation earned through his work with professional athletes.
Thanks to the trust his clients have placed in him, Frank was recognized on the Barron’s Top 1200 Financial Advisor’s list in the State of New Jersey for nine concurrent years (2014–2023), reaching as high as #4 in 2021. He was also included among Forbes’ Best-In-State Wealth Advisors in New Jersey (Private Wealth), ranking #1 from 2018 through 2021, #2 in 2022 and 2023, and later ranking #13 in 2024, #14 in 2025, and #13 in 2026. He has recently moved to our Florida office, where he is ranked #13 in 2024 and #14 in 2025 on the Forbes Best-In-State Wealth Advisors list for Florida. Moreover, and he has been recognized by Barron’s among the Top 1,200 Financial Advisors in Florida (ranking #12 in 2022, #36 in 2024, and #37 in 2025), as well as among Barron’s Top 1,500 Financial Advisors in the State of Florida for 2026.
Prior to his financial services career, Frank spent nine years as a professional baseball player, including three years at the Major League level with the San Diego Padres and New York Mets. In 1996, he joined Salomon Smith Barney as a Financial Advisor, and later moved to UBS in a similar capacity.
A Brooklyn native, Frank received a B.A. in history from Columbia University in 1989 and graduated from Xaverian High School in 1985. He now lives in West Palm Beach, Florida, with his wife Annabel and his three children, Luke, Eliana and Benjamin. Frank is a member of the Major League Baseball Alumni “Swing with the Legends” charitable golf circuit and supports the MS4MS charity. He enjoys traveling, reading and spending his free time with family and friends.
2014-2026 Barron's Top 1,500 Financial Advisors: State-by-State (Formerly referred to as Barron's Top 1,200 Financial Advisors: State-by-State, Barron's Top 1,000 Financial Advisors: State-by-State)
Source: Barrons.com (Awarded 2014-2026). Data compiled by Barron's Based on 12-month period concluding in Sept of the year prior to the issuance of the award. https://www.morganstanley.com/disclosures/awards-disclosure/
2018-2026 Forbes Best-In-State Wealth Advisors
Source: Forbes (Awarded 2018-2026) Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award. https://www.morganstanley.com/disclosures/awards-disclosure/
*Alternative investments often are speculative and include a high degree of risk. Investors could lose all or a substantial amount of their investment. Alternative investments are appropriate only for eligible, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time. They may be highly illiquid and can engage in leverage and other speculative practices that may increase the volatility and risk of loss. Alternative Investments typically have higher fees than traditional investments. Investors should carefully review and consider potential risks before investing.
Thanks to the trust his clients have placed in him, Frank was recognized on the Barron’s Top 1200 Financial Advisor’s list in the State of New Jersey for nine concurrent years (2014–2023), reaching as high as #4 in 2021. He was also included among Forbes’ Best-In-State Wealth Advisors in New Jersey (Private Wealth), ranking #1 from 2018 through 2021, #2 in 2022 and 2023, and later ranking #13 in 2024, #14 in 2025, and #13 in 2026. He has recently moved to our Florida office, where he is ranked #13 in 2024 and #14 in 2025 on the Forbes Best-In-State Wealth Advisors list for Florida. Moreover, and he has been recognized by Barron’s among the Top 1,200 Financial Advisors in Florida (ranking #12 in 2022, #36 in 2024, and #37 in 2025), as well as among Barron’s Top 1,500 Financial Advisors in the State of Florida for 2026.
Prior to his financial services career, Frank spent nine years as a professional baseball player, including three years at the Major League level with the San Diego Padres and New York Mets. In 1996, he joined Salomon Smith Barney as a Financial Advisor, and later moved to UBS in a similar capacity.
A Brooklyn native, Frank received a B.A. in history from Columbia University in 1989 and graduated from Xaverian High School in 1985. He now lives in West Palm Beach, Florida, with his wife Annabel and his three children, Luke, Eliana and Benjamin. Frank is a member of the Major League Baseball Alumni “Swing with the Legends” charitable golf circuit and supports the MS4MS charity. He enjoys traveling, reading and spending his free time with family and friends.
2014-2026 Barron's Top 1,500 Financial Advisors: State-by-State (Formerly referred to as Barron's Top 1,200 Financial Advisors: State-by-State, Barron's Top 1,000 Financial Advisors: State-by-State)
Source: Barrons.com (Awarded 2014-2026). Data compiled by Barron's Based on 12-month period concluding in Sept of the year prior to the issuance of the award. https://www.morganstanley.com/disclosures/awards-disclosure/
2018-2026 Forbes Best-In-State Wealth Advisors
Source: Forbes (Awarded 2018-2026) Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award. https://www.morganstanley.com/disclosures/awards-disclosure/
*Alternative investments often are speculative and include a high degree of risk. Investors could lose all or a substantial amount of their investment. Alternative investments are appropriate only for eligible, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time. They may be highly illiquid and can engage in leverage and other speculative practices that may increase the volatility and risk of loss. Alternative Investments typically have higher fees than traditional investments. Investors should carefully review and consider potential risks before investing.
Securities Agent: NH, AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, NE, NJ, NV, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV, SD; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1282628
NMLS#: 1282628
About Robert Knorr
Robert Knorr brings nearly three decades of professional investing and wealth planning experience to the service of his team’s clients. Working directly with Morgan Stanley Equity Research and various external partners, Robert helps create and maintain highly customized, value-based investment portfolios for high-net-worth families, foundations and corporations. Robert also works closely with the Morgan Stanley Private Bank to offer lending solutions to both private and corporate clients. His approach to comprehensive wealth planning also includes sophisticated intergenerational wealth transfer and philanthropy strategies.
Prior to joining Morgan Stanley in 2000, Robert served as a Senior Securities Compliance Examiner with the U.S. Securities and Exchange Commission for six years. He graduated magna cum laude from Montclair State University with a B.S. in economics and finance, and he holds his MBA in Finance from Rutgers University’s Graduate School of Management.
Robert lives in Chester, New Jersey, with his wife, Kathleen, and their three children, Morgan, Connor and Ronan. He enjoys skiing, cycling and spending his free time with family and friends.
Prior to joining Morgan Stanley in 2000, Robert served as a Senior Securities Compliance Examiner with the U.S. Securities and Exchange Commission for six years. He graduated magna cum laude from Montclair State University with a B.S. in economics and finance, and he holds his MBA in Finance from Rutgers University’s Graduate School of Management.
Robert lives in Chester, New Jersey, with his wife, Kathleen, and their three children, Morgan, Connor and Ronan. He enjoys skiing, cycling and spending his free time with family and friends.
Securities Agent: CO, AK, PR, NV, TN, SD, RI, OK, NM, MN, MI, IL, CA, UT, MS, AR, PA, NH, MD, HI, DE, CT, MT, ME, DC, WV, SC, IA, GA, AZ, NY, NJ, NC, WI, VT, OH, IN, WA, TX, NE, MO, FL, AL, VA, OR, MA, LA, KY, ID; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1253078
NMLS#: 1253078
About Peter Seminara
Drawing on 25 years of wealth planning experience, Peter Seminara focuses on developing customized investment strategies for high-net-worth individuals and institutions. Peter works directly with Morgan Stanley’s Capital Markets desks to bring exceptional ideas and limited-access investments to clients. A CERTIFIED FINANCIAL PLANNER™ (CFP®) practitioner, Peter delivers investment strategies that become an integral component of a comprehensive wealth management plan based on each client’s specific needs and aspirations.
Prior to joining The Seminara Group at Morgan Stanley in 2005, Peter spent five years working on Morgan Stanley’s fixed income trading desk. In that capacity, he was responsible for managing fixed income sales efforts to more than 1,500 financial advisors nationwide. He developed fixed income investment strategies and recommendations for high-net-worth individuals, as well as small to medium-sized institutional clients of the firm.
Peter graduated from Ramapo College of New Jersey with a B.A. in economics. He is a member of the Ramapo College of New Jersey Foundation Board of Governors. Peter also volunteers his time helping students find workplace internships and actively assists Ramapo College in fundraising initiatives. He currently lives in Basking Ridge, New Jersey, with his wife, Lauren, and their sons, Brian, Jonathan and Matthew. In his free time, he enjoys coaching youth sports, skiing, golfing and traveling.
Prior to joining The Seminara Group at Morgan Stanley in 2005, Peter spent five years working on Morgan Stanley’s fixed income trading desk. In that capacity, he was responsible for managing fixed income sales efforts to more than 1,500 financial advisors nationwide. He developed fixed income investment strategies and recommendations for high-net-worth individuals, as well as small to medium-sized institutional clients of the firm.
Peter graduated from Ramapo College of New Jersey with a B.A. in economics. He is a member of the Ramapo College of New Jersey Foundation Board of Governors. Peter also volunteers his time helping students find workplace internships and actively assists Ramapo College in fundraising initiatives. He currently lives in Basking Ridge, New Jersey, with his wife, Lauren, and their sons, Brian, Jonathan and Matthew. In his free time, he enjoys coaching youth sports, skiing, golfing and traveling.
Securities Agent: IA, ID, IL, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, NE, NH, NJ, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, NV, IN, AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1295539
NMLS#: 1295539
About Mark Ciccarelli
An equity partner at The Seminara Group since 2022 and a member of the firm since 2009, Mark Ciccarelli helps develop customized asset allocation and family office planning solutions for a select national clientele of accomplished individuals, families, and businesses. He has established a distinctive niche serving elite collectors in the automobile community, with particular depth and strategy within the hypercar space, advising ultra-high-net-worth clients. His practice is built around three core pillars: founders, leaders in real estate, and figures in sports and entertainment.
Mark focuses on cultivating enduring relationships with influential individuals in their fields. His knowledge in pre- and post-exit planning for founders, along with a specialized understanding of the independence protocols for Ernst & Young partners and C-suite executives, helps make him a unique resource in the industry. He holds a designation in Morgan Stanley's Global Sports & Entertainment division and serves as a lending specialist and alternative investment specialist, leveraging relationships across the firm's wealth management and institutional divisions to help utilize Morgan Stanley's full resources for his clients.
Before joining Morgan Stanley, Mark founded Conquer Together Inc., a global nonprofit launched in 2005. The organization connects people affected by unexpected illness and was designed to deliver resources efficiently and at scale by leveraging technology. This conviction—that technology and thoughtful design can elevate service—defines his partnership with The Seminara Group, where he helps deliver best-in-class financial advisory strategies across every vertical of the firm.
Committed to advancing financial education, Mark recently co-led “The Financial Playbook for the Modern Athlete,” a first-of-its-kind NIL-focused financial literacy seminar for collegiate student-athletes, in collaboration with Twin Bridge Sports. Beyond the office, he is an active member of his community, contributing to organizations including Goose Flights, Tomorrow's Children Fund of New Jersey, and the CLRC of Loyola Law School. A sought-after speaker in the New York metro region, he has addressed professional groups such as The World Strategic Forum, Life After Sports, Women in Music, AAWIC, and the ABA Sports and Entertainment Symposium in Miami.
Mark resides in Ho-Ho-Kus, New Jersey, with his wife, Birdie, daughter, Olivia, and son, Monaco. In his free time, he enjoys traveling the world, networking at music and sporting events, attending founder engagements and automobile racing events, and spending meaningful time with his family.
The Seminara Group has been named to Barron's Top 250 Private Wealth Management Teams in the nation for three consecutive years—2024, 2025, and 2026.
Barron's Top 250 Private Wealth Management Teams: Source: Barron's (Awarded May 2024, 2025, 2026).
Mark focuses on cultivating enduring relationships with influential individuals in their fields. His knowledge in pre- and post-exit planning for founders, along with a specialized understanding of the independence protocols for Ernst & Young partners and C-suite executives, helps make him a unique resource in the industry. He holds a designation in Morgan Stanley's Global Sports & Entertainment division and serves as a lending specialist and alternative investment specialist, leveraging relationships across the firm's wealth management and institutional divisions to help utilize Morgan Stanley's full resources for his clients.
Before joining Morgan Stanley, Mark founded Conquer Together Inc., a global nonprofit launched in 2005. The organization connects people affected by unexpected illness and was designed to deliver resources efficiently and at scale by leveraging technology. This conviction—that technology and thoughtful design can elevate service—defines his partnership with The Seminara Group, where he helps deliver best-in-class financial advisory strategies across every vertical of the firm.
Committed to advancing financial education, Mark recently co-led “The Financial Playbook for the Modern Athlete,” a first-of-its-kind NIL-focused financial literacy seminar for collegiate student-athletes, in collaboration with Twin Bridge Sports. Beyond the office, he is an active member of his community, contributing to organizations including Goose Flights, Tomorrow's Children Fund of New Jersey, and the CLRC of Loyola Law School. A sought-after speaker in the New York metro region, he has addressed professional groups such as The World Strategic Forum, Life After Sports, Women in Music, AAWIC, and the ABA Sports and Entertainment Symposium in Miami.
Mark resides in Ho-Ho-Kus, New Jersey, with his wife, Birdie, daughter, Olivia, and son, Monaco. In his free time, he enjoys traveling the world, networking at music and sporting events, attending founder engagements and automobile racing events, and spending meaningful time with his family.
The Seminara Group has been named to Barron's Top 250 Private Wealth Management Teams in the nation for three consecutive years—2024, 2025, and 2026.
Barron's Top 250 Private Wealth Management Teams: Source: Barron's (Awarded May 2024, 2025, 2026).
Securities Agent: AK, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, NE, NH, NJ, NV, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, VT, WI, WV, AL, SD, WA; General Securities Representative; Investment Advisor Representative
NMLS#: 1305162
NMLS#: 1305162
About Jeffrey Goldsmith
A financial services industry veteran of two decades, Jeff Goldsmith works with financially successful individuals and their families, helping them create, implement and maintain highly customized wealth management plans. As a Global Sports and Entertainment Director, Jeff has extensive experience helping professional athletes in the National Football League address the financial challenges and opportunities that are unique to their profession. Jeff also works with select companies, helping them provide benefits to their associates so that they can retain, recruit and reward their employees.
Jeff joined Morgan Stanley in 2008, following five years at Merrill Lynch as a senior partner in The GS Group. Prior to his wealth management career, he spent two decades in a family-owned and -operated manufacturing and wholesale distribution business.
A graduate of the Horace Mann School in Bronx, New York, Jeff received a Bachelor of Business Administration from the University of Michigan in 1978. A proud Wolverine, he is a mentor with the Michigan Athletic Academic Center, providing guidance and counsel to student-athletes as they prepare for their careers after sports. He served as Mayor of Woodcliff Lake (2012-2015) and sat on several nonprofit boards. Jeff and Amy, his wife, have a son and twin daughters, Justin, Samantha and Allison. They reside in Edwards, Colorado.
Jeff joined Morgan Stanley in 2008, following five years at Merrill Lynch as a senior partner in The GS Group. Prior to his wealth management career, he spent two decades in a family-owned and -operated manufacturing and wholesale distribution business.
A graduate of the Horace Mann School in Bronx, New York, Jeff received a Bachelor of Business Administration from the University of Michigan in 1978. A proud Wolverine, he is a mentor with the Michigan Athletic Academic Center, providing guidance and counsel to student-athletes as they prepare for their careers after sports. He served as Mayor of Woodcliff Lake (2012-2015) and sat on several nonprofit boards. Jeff and Amy, his wife, have a son and twin daughters, Justin, Samantha and Allison. They reside in Edwards, Colorado.
Securities Agent: VA, MI, LA, IL, DE, TX, SD, SC, PR, OH, MT, KY, CO, PA, NV, MS, MA, AL, UT, OK, MD, MO, AZ, FL, WA, NH, ID, TN, RI, NY, NE, MN, GA, DC, NC, IA, NJ, CT, CA, WV, WI, VT; General Securities Representative; Investment Advisor Representative
NMLS#: 1282729
NMLS#: 1282729
About James Julich
James Julich provides comprehensive advisory and wealth management solutions to successful individuals, families and businesses through a needs-based approach with each individual relationship.
Before joining Morgan Stanley in 2015, James was part of the pilot program at JPMorgan Chase, the national launch of the Chase Private Client platform, that focused on serving high net worth individuals, families and businesses with the full suite of investment management, banking and lending services.
James graduated from Rowan University with a BS in business administration with dual degrees in finance and marketing. He was a member of their swim team for four years, and a captain of his junior and senior years. He is also a three-time Ironman finisher. He currently lives in Wellington, Florida, with his wife, Amanda, and his sons, Hunter and Bruce. James enjoys cycling, triathlon, skiing, traveling, and spending his free time with family and friends.
Before joining Morgan Stanley in 2015, James was part of the pilot program at JPMorgan Chase, the national launch of the Chase Private Client platform, that focused on serving high net worth individuals, families and businesses with the full suite of investment management, banking and lending services.
James graduated from Rowan University with a BS in business administration with dual degrees in finance and marketing. He was a member of their swim team for four years, and a captain of his junior and senior years. He is also a three-time Ironman finisher. He currently lives in Wellington, Florida, with his wife, Amanda, and his sons, Hunter and Bruce. James enjoys cycling, triathlon, skiing, traveling, and spending his free time with family and friends.
Securities Agent: CO, DC, DE, FL, GA, HI, IA, ID, IL, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, NE, NH, NJ, NV, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV, CT, SD, AK, AL, AR, AZ, CA; General Securities Representative; Investment Advisor Representative
NMLS#: 625338
NMLS#: 625338
About Robert Neill
Drawing on seven years of financial services experience, Robby Neill develops, implements and maintains customized financial plans that are tailored to the needs and goals of the individual, family or businesses. Prior to joining Morgan Stanley in 2017, Robby served as an Associate Vice President at Merrill Lynch, focusing on their Health Savings Accounts platform.
Robby is a 2011 graduate of the United States Naval Academy in Annapolis, where he was a four-year member of the varsity wrestling team and a national qualifier. After graduation, he was selected to serve in the United States Marine Corps as a supply officer. He continued his wrestling career by competing internationally as part of the All Marine Wrestling Team.
Robby lives in Point Pleasant Beach, New Jersey, with his wife, Kelly, their daughter, Mackenzie, and their son, Bobby. He is active in the community, serving as both a member of the recreation committee and a volunteer coach with the high school's state championship wrestling team. Robby also volunteers his time as a mentor to student athletes who are interested in military service.
Robby is a 2011 graduate of the United States Naval Academy in Annapolis, where he was a four-year member of the varsity wrestling team and a national qualifier. After graduation, he was selected to serve in the United States Marine Corps as a supply officer. He continued his wrestling career by competing internationally as part of the All Marine Wrestling Team.
Robby lives in Point Pleasant Beach, New Jersey, with his wife, Kelly, their daughter, Mackenzie, and their son, Bobby. He is active in the community, serving as both a member of the recreation committee and a volunteer coach with the high school's state championship wrestling team. Robby also volunteers his time as a mentor to student athletes who are interested in military service.
Securities Agent: NE, PR, MS, WI, MT, NY, AZ, WA, ID, WV, NC, MD, NH, OK, SC, IL, TN, VT, PA, MO, MA, UT, TX, OR, NJ, RI, IA, CT, MI, NV, VA, GA, MN, OH, ME, CO, AK, NM, DC, CA, FL, LA, KY, HI, DE, AR, AL, SD; General Securities Representative; Investment Advisor Representative
NMLS#: 1685008
NMLS#: 1685008
About Anthony Farina
Drawing on more than 13 years of experience as a Financial Advisor, Wealth Management Analyst, and Investment Consultant, Anthony Farina is dedicated to delivering a first-class service experience to clients of The Seminara Group. Anthony works to gain a robust understanding of each client’s needs so he can leverage the resources of the firm to deliver appropriate solutions. He is proud to assist successful business owners, executives and their families in the pursuit of their most important goals.
Anthony lives in Randolph, New Jersey, with his wife, Jennifer, and his two daughters, Savannah and Milena. A graduate of the Culinary Institute of America, he is passionate about food and wine. Outside of the office, Anthony enjoys spending time with his loved ones, cooking on the weekends, and playing golf.
NMLS ID: 1279072
Anthony lives in Randolph, New Jersey, with his wife, Jennifer, and his two daughters, Savannah and Milena. A graduate of the Culinary Institute of America, he is passionate about food and wine. Outside of the office, Anthony enjoys spending time with his loved ones, cooking on the weekends, and playing golf.
NMLS ID: 1279072
About Meredith Tierney
Meredith Tierney runs administration for The Seminara Group, overseeing all aspects of account maintenance for both institutional and private wealth clients. Meredith’s primary focus is on delivering a first-class service experience by managing and responding to client needs and requests. Her areas of responsibilities also include initiating and servicing managed accounts on the consulting group platform.
Prior to joining the group in 2015, Meredith held accounting positions at a logistics company, a construction company and a local CPA firm. She earned her accounting degree from Lehigh University in 1998.
Meredith lives in Sparta, New Jersey, with her husband, Patrick, and their two children, William and Madison. In her free time, she enjoys reading, traveling, scuba diving and spending time with family and friends.
Prior to joining the group in 2015, Meredith held accounting positions at a logistics company, a construction company and a local CPA firm. She earned her accounting degree from Lehigh University in 1998.
Meredith lives in Sparta, New Jersey, with her husband, Patrick, and their two children, William and Madison. In her free time, she enjoys reading, traveling, scuba diving and spending time with family and friends.
About Rebecca De Jesus
Rebecca De Jesus started her career with Morgan Stanley in 2000 and has been with The Seminara Group since 2001. Rebecca gained extensive knowledge of the firm’s resources while running administration for the group, which she now draws upon to provide clients with customized financial planning and investment management solutions. These efforts include portfolio construction, providing access to cash management and lending solutions and delivering overall lifestyle management services.
Rebecca lives with her family in Westfield, New Jersey. In her free time, she enjoys traveling and spending time with her large family and close friends.
Rebecca lives with her family in Westfield, New Jersey. In her free time, she enjoys traveling and spending time with her large family and close friends.
About Janine McCoy
Responsible for a broad range of operational and administrative duties, Janine McCoy contributes to an outstanding overall service experience for clients of The Seminara Group. Janine serves as the team concierge, organizing client off-site events, family meetings and travel. She also prepares customized presentations for these events and manages all expenses incurred by the team.
Janine began her career with Morgan Stanley in 2015 as a Service Associate in the firm’s Operations department, and joined The Seminara Group in 2018. Earlier in her career, she spent many years working as an Administrative Assistant for a private investigator.
Janine received her associate degree from County College of Morris. She and her husband, Kevin, live in Mine Hill, New Jersey, and have five children, Brian, Erin, Luke, Jillian and Shane. Janine is passionate about anything relating to animals and music. She also enjoys spending time in the outdoors and anything that involves being with her family and friends.
Janine began her career with Morgan Stanley in 2015 as a Service Associate in the firm’s Operations department, and joined The Seminara Group in 2018. Earlier in her career, she spent many years working as an Administrative Assistant for a private investigator.
Janine received her associate degree from County College of Morris. She and her husband, Kevin, live in Mine Hill, New Jersey, and have five children, Brian, Erin, Luke, Jillian and Shane. Janine is passionate about anything relating to animals and music. She also enjoys spending time in the outdoors and anything that involves being with her family and friends.
About Christina Caban
Christina’s primary responsibilities include Alternative Investment Operations and managing key marketing initiatives for the team. She is dedicated to delivering top-tier service to our private wealth clients, addressing their unique needs and requests with care and precision.
Christina brings extensive experience from the financial services industry and has a strong track record of supporting clients with their financial needs and goals. She earned her Bachelor’s degree in Marketing from Kean University.
Outside of work, Christina enjoys traveling, dining, and volunteering at her local church. She also values spending time with her husband, family, and friends.
Christina brings extensive experience from the financial services industry and has a strong track record of supporting clients with their financial needs and goals. She earned her Bachelor’s degree in Marketing from Kean University.
Outside of work, Christina enjoys traveling, dining, and volunteering at her local church. She also values spending time with her husband, family, and friends.
About Jarett Greben
Jarett Greben is a Registered Client Relationship Analyst with The Seminara Group at Morgan Stanley. Prior to joining the team in February 2025, Jarett was a Virtual Engagement Associate at the 1 New York Plaza office in Manhattan, supporting 19 financial advisory teams across the country. Jarett has been with the Firm since 2022 and has built a strong reputation for his ability to synthesize his analytical and creative skillsets to help drive client engagement and strategy.
Jarett is committed to delivering a first-class experience to the clients of The Seminara Group, and he plays a key role in expanding client relationships, identifying new business opportunities, and enhancing the team’s growth strategy. With a strong background in financial services and client engagement, Jarett focuses on developing tailored solutions that align with each client’s specific needs and goals.
Jarett grew up in Great Neck, New York and attended Great Neck South High School. In 2019, he graduated from Hamilton College with a Bachelor of Arts in Literature and was a member of the varsity lacrosse team. Outside of work, Jarett enjoys spending quality time with family and friends. He is an avid New York Islanders fan and plays hockey several days a week; he also enjoys playing guitar and piano, photography, and collecting sports cards and memorabilia. Jarett is passionate about giving back to the community and spearheaded the video game therapy program for Oncology patients at Northwell Health.
Jarett is committed to delivering a first-class experience to the clients of The Seminara Group, and he plays a key role in expanding client relationships, identifying new business opportunities, and enhancing the team’s growth strategy. With a strong background in financial services and client engagement, Jarett focuses on developing tailored solutions that align with each client’s specific needs and goals.
Jarett grew up in Great Neck, New York and attended Great Neck South High School. In 2019, he graduated from Hamilton College with a Bachelor of Arts in Literature and was a member of the varsity lacrosse team. Outside of work, Jarett enjoys spending quality time with family and friends. He is an avid New York Islanders fan and plays hockey several days a week; he also enjoys playing guitar and piano, photography, and collecting sports cards and memorabilia. Jarett is passionate about giving back to the community and spearheaded the video game therapy program for Oncology patients at Northwell Health.
About David Wallman
David Wallman is a Registered Client Service Associate with The Seminara Group. Prior to joining the team in July 2026, David was a Virtual Engagement Associate at the firm, where he worked with Private Wealth Management teams and supported client service needs across the business. He has been with Morgan Stanley since 2022 and has built a strong foundation in client services, learning firsthand the importance of a client-first mindset and delivering the highest level of care to every relationship. David brings that same dedication and attention to detail to his role today, working closely with the team to manage day-to-day account needs, coordinate client requests, and ensure every client interaction is handled with precision and care.
David grew up on Long Island, New York, and attended Loyola University Maryland, where he earned a Bachelor of Business Administration in Finance and Marketing. He currently lives in Chatham, New Jersey, with his wife, Erica. Outside of work, David enjoys hiking, wakeboarding, and spending time outdoors.
David grew up on Long Island, New York, and attended Loyola University Maryland, where he earned a Bachelor of Business Administration in Finance and Marketing. He currently lives in Chatham, New Jersey, with his wife, Erica. Outside of work, David enjoys hiking, wakeboarding, and spending time outdoors.
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Awards and Recognition
Barron's Top 250 Private Wealth Management Teams
2024-2026 Barron's Top 100 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 2024-2026). 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: State-by-State
2014-2026 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 2014-2026). Data compiled by Barron's based on 12-month period concluding in Sept of the year prior to the issuance of the award.
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Wealth Management
Global Investment Office
Portfolio Insights
This is a video content
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
- Managing Family Wealth
Managing Significant Wealth
- Investment Management
- Wealth Transfer & Philanthropy
- Cash Management & Lending
- Family Governance & Wealth Education
- Lifestyle Advisory
- Business Services
PWM Leadership Insights & Outcomes
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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.
Certified Financial Planner Board of Standards Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization’s initial and ongoing certification requirements to use the certification marks.
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 (“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.
3Borrowing 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.
4Morgan 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
5Alternative Investments are speculative and include a high degree of risk. An investor could lose all or a substantial amount of his/her investment. Alternative investments are appropriate only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.
6Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
7Morgan 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.
Certified Financial Planner Board of Standards Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization's initial and ongoing certification requirements to use the certification marks.
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.
Certified Financial Planner Board of Standards Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization's initial and ongoing certification requirements to use the certification marks.
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
Please read the important disclosures below.
1) Morgan Stanley Wealth Management secured Money Management Institute/Barron’s Industry Awards for Wealth Manager Platform of the Year. The Wealth Manager Platform of the Year category recognizes a wealth manager platform that exemplifies innovation in delivering better outcomes for investors and Financial Advisors. This award has been secured in 2024, 2021, 2020, 2019 & 2018. The winners were selected by a specially appointed MMI Industry Awards Steering Council. The Steering Council consists of representatives from all segments of the MMI membership. After carefully reviewing the nominations submitted, the Steering Council determined a slate of finalists in each award category. The primary contacts at each of MMI’s 207 member firms were eligible to vote to determine the winners. Nominations were reviewed and evaluated to determine finalists June 2024 - July 2024. Finalists were voted on to determine a winner August 2024. MMI/Barron’s does not receive compensation from the participating firms in exchange for the award and Morgan Stanley did not pay a fee to MMI/Barron’s in exchange for its receipt of the award. Morgan Stanley is a member of MMI and pays a fee to MMI as part of its membership dues. Morgan Stanley’s receipt of this award is not indicative of any future performance. These awards were granted to Morgan Stanley based on the time period from October 2023 to June 2024. There were 6 firms considered for the Wealth Management Platform of the Year Award and 12 firms considered for the Distribution Excellence Award. The Money Management Institute (MMI) is the industry association representing financial services firms and Barron’s is a financial magazine; both groups are responsible for the award. Accolade qualifications for past years may vary; additional information available upon request.
2) Industry’s top tax-optimization technology refers to tax management capabilities developed by Eaton Vance and Parametric, affiliates of Morgan Stanley. Morgan Stanley is a leading provider of direct indexing strategies. According to Cerulli Associates’ Q1 2026 Managed Account Edition, Morgan Stanley ranked first among 15 firms in Direct Index SMA assets under management based on reported industry assets. The ranking reflects scale of assets and does not evaluate tax outcomes, performance, or quality of technology. Tax outcomes will vary and are not guaranteed.
3) The Celent Model Wealth Manager 2025 Awards for Data and Analytics and Essential and Emerging Technologies were granted to Morgan Stanley following an evaluation process conducted by Celent analysts. To be considered for this award, Morgan Stanley submitted Model Wealth Manager 2025 Nomination Award Worksheets to Celent on or about January 30, 2025. Celent judged each submission on three criteria: (1) Measurable business benefits of live initiatives; (2) degree of innovation relative to the industry; and (3) technology or implementation excellence. In order to win, the initiatives must demonstrate clear business benefits, innovation, and technology or implementation excellence. Celent does not receive compensation from the participating firms in exchange for the award and Morgan Stanley did not pay a fee to Celent in exchange for the award. Morgan Stanley is not affiliated with Celent. Based on their submission on January 30, 2025 for Celent’s 2025 Model Awards program, Celent granted Morgan Stanley their awards in June, 2025 and publicly shared the news in June, 2025. Celent is a global financial services research and advisory firm and is responsible for determining the recipient of this award.
4) Q4 2025 Securities Based Lending McLagan Survey – 6 Firm Report. Based on both Non-Purpose Lending and total SBL balances. Borrowing against securities may not be appropriate for everyone. Clients must 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.
Not all products, tools, platforms, and services referenced are available to all clients. Please speak with your Financial Advisor for eligibility criteria.
Investing in securities involves risk, including possible loss of principal. Diversification does not guarantee a profit or protect against loss in a declining financial market.
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.
Alternative investments are often speculative and include a high degree of risk. Investors can lose all or a substantial amount of their investment. They may be highly illiquid, can engage in leverage, short-selling and other speculative practices that may increase volatility and the risk of loss, and may be subject to large investment minimums and initial lock-ups. They may involve complex tax structures, tax inefficient investing and delays in distributing important tax information. They may have higher fees and expenses that traditional investments, and such fees and expenses can lower the returns achieved by investors.
Cash management and lending products and services are provided by Morgan Stanley Smith Barney LLC, Morgan Stanley Private Bank, National Association or Morgan Stanley Bank, N.A, as applicable.
Borrowing against securities may not be appropriate for everyone. Clients must 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.
Important Risk Information for Securities Based Lending: Clients must be aware that: (1) Sufficient collateral must be maintained to support the loan and to take future advances; (2) Clients may have to deposit additional cash or eligible securities on short notice; (3) Some or all of the pledged securities may be sold without prior notice in order to maintain account equity at required collateral maintenance levels. Clients will not be entitled to choose the securities that will be sold. These actions may interrupt 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") reserve 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 the 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.
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.
There is no guarantee that tax-loss harvesting will achieve any particular tax result. Clients may elect Tax Management Services for the account by notifying their Financial Advisor, and indicate what Maximum Tax or Realized Capital Gain Instruction is desired for the account, if any. The Tax Management Services Terms and Conditions attached to the Morgan Stanley Smith Barney LLC Select UMA ADV brochure as Exhibit A will govern Tax Management Services in the account. Review the Morgan Stanley Smith Barney LLC Select UMA ADV brochure carefully with your tax advisor.
Industry acclaimed risk platform refers to Morgan Stanley Smith Barney LLC’s (“Morgan Stanley”) Portfolio Risk Platform. The assumptions used in the Report incorporate portfolio risk and scenario analysis employed by BlackRock Solutions (“BRS”), a financial technology and risk analytics provider that is independent of Morgan Stanley. BRS’ role is limited to providing risk analytics to Morgan Stanley, and BRS is not acting as a broker-dealer or investment adviser nor does it provide investment advice with respect to the Report. Morgan Stanley has validated and adopted the analytical conclusions of these risk models. The analysis provided is illustrative only. Morgan Stanley cannot predict a portfolio’s risk of loss due to, among other things, changing market conditions or other unanticipated circumstances. The analysis is based purely on assumptions made using available data and any of its forecasts are subject to change.
The footnotes below apply to the industry-leading claims referenced above. More information is available upon request.
Morgan Stanley Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States. 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.
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 offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please visit us at www.morganstanley.com/wealth or consult with your Morgan Stanley Financial Advisor to read about those differences.
The sole purpose of this material is to inform, and it in no way is intended to be an offer or solicitation to purchase or sell any security, other investment service, or to attract any funds or deposits. Investments mentioned may not be appropriate for all clients. Before making any investment, each investor should carefully consider the risks associated with the investment, as discussed in the applicable offering memorandum and make a determination based on their own particular circumstances that the investment is consistent with their investment objectives and risk tolerance.
© 2026 Morgan Stanley Smith Barney LLC. Member SIPC.
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 (“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.
3Borrowing 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.
4Morgan 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
5Alternative Investments are speculative and include a high degree of risk. An investor could lose all or a substantial amount of his/her investment. Alternative investments are appropriate only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.
6Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
7Morgan 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.
Certified Financial Planner Board of Standards Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization's initial and ongoing certification requirements to use the certification marks.
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.
Certified Financial Planner Board of Standards Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization's initial and ongoing certification requirements to use the certification marks.
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
Please read the important disclosures below.
1) Morgan Stanley Wealth Management secured Money Management Institute/Barron’s Industry Awards for Wealth Manager Platform of the Year. The Wealth Manager Platform of the Year category recognizes a wealth manager platform that exemplifies innovation in delivering better outcomes for investors and Financial Advisors. This award has been secured in 2024, 2021, 2020, 2019 & 2018. The winners were selected by a specially appointed MMI Industry Awards Steering Council. The Steering Council consists of representatives from all segments of the MMI membership. After carefully reviewing the nominations submitted, the Steering Council determined a slate of finalists in each award category. The primary contacts at each of MMI’s 207 member firms were eligible to vote to determine the winners. Nominations were reviewed and evaluated to determine finalists June 2024 - July 2024. Finalists were voted on to determine a winner August 2024. MMI/Barron’s does not receive compensation from the participating firms in exchange for the award and Morgan Stanley did not pay a fee to MMI/Barron’s in exchange for its receipt of the award. Morgan Stanley is a member of MMI and pays a fee to MMI as part of its membership dues. Morgan Stanley’s receipt of this award is not indicative of any future performance. These awards were granted to Morgan Stanley based on the time period from October 2023 to June 2024. There were 6 firms considered for the Wealth Management Platform of the Year Award and 12 firms considered for the Distribution Excellence Award. The Money Management Institute (MMI) is the industry association representing financial services firms and Barron’s is a financial magazine; both groups are responsible for the award. Accolade qualifications for past years may vary; additional information available upon request.
2) Industry’s top tax-optimization technology refers to tax management capabilities developed by Eaton Vance and Parametric, affiliates of Morgan Stanley. Morgan Stanley is a leading provider of direct indexing strategies. According to Cerulli Associates’ Q1 2026 Managed Account Edition, Morgan Stanley ranked first among 15 firms in Direct Index SMA assets under management based on reported industry assets. The ranking reflects scale of assets and does not evaluate tax outcomes, performance, or quality of technology. Tax outcomes will vary and are not guaranteed.
3) The Celent Model Wealth Manager 2025 Awards for Data and Analytics and Essential and Emerging Technologies were granted to Morgan Stanley following an evaluation process conducted by Celent analysts. To be considered for this award, Morgan Stanley submitted Model Wealth Manager 2025 Nomination Award Worksheets to Celent on or about January 30, 2025. Celent judged each submission on three criteria: (1) Measurable business benefits of live initiatives; (2) degree of innovation relative to the industry; and (3) technology or implementation excellence. In order to win, the initiatives must demonstrate clear business benefits, innovation, and technology or implementation excellence. Celent does not receive compensation from the participating firms in exchange for the award and Morgan Stanley did not pay a fee to Celent in exchange for the award. Morgan Stanley is not affiliated with Celent. Based on their submission on January 30, 2025 for Celent’s 2025 Model Awards program, Celent granted Morgan Stanley their awards in June, 2025 and publicly shared the news in June, 2025. Celent is a global financial services research and advisory firm and is responsible for determining the recipient of this award.
4) Q4 2025 Securities Based Lending McLagan Survey – 6 Firm Report. Based on both Non-Purpose Lending and total SBL balances. Borrowing against securities may not be appropriate for everyone. Clients must 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.
Not all products, tools, platforms, and services referenced are available to all clients. Please speak with your Financial Advisor for eligibility criteria.
Investing in securities involves risk, including possible loss of principal. Diversification does not guarantee a profit or protect against loss in a declining financial market.
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.
Alternative investments are often speculative and include a high degree of risk. Investors can lose all or a substantial amount of their investment. They may be highly illiquid, can engage in leverage, short-selling and other speculative practices that may increase volatility and the risk of loss, and may be subject to large investment minimums and initial lock-ups. They may involve complex tax structures, tax inefficient investing and delays in distributing important tax information. They may have higher fees and expenses that traditional investments, and such fees and expenses can lower the returns achieved by investors.
Cash management and lending products and services are provided by Morgan Stanley Smith Barney LLC, Morgan Stanley Private Bank, National Association or Morgan Stanley Bank, N.A, as applicable.
Borrowing against securities may not be appropriate for everyone. Clients must 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.
Important Risk Information for Securities Based Lending: Clients must be aware that: (1) Sufficient collateral must be maintained to support the loan and to take future advances; (2) Clients may have to deposit additional cash or eligible securities on short notice; (3) Some or all of the pledged securities may be sold without prior notice in order to maintain account equity at required collateral maintenance levels. Clients will not be entitled to choose the securities that will be sold. These actions may interrupt 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") reserve 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 the 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.
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.
There is no guarantee that tax-loss harvesting will achieve any particular tax result. Clients may elect Tax Management Services for the account by notifying their Financial Advisor, and indicate what Maximum Tax or Realized Capital Gain Instruction is desired for the account, if any. The Tax Management Services Terms and Conditions attached to the Morgan Stanley Smith Barney LLC Select UMA ADV brochure as Exhibit A will govern Tax Management Services in the account. Review the Morgan Stanley Smith Barney LLC Select UMA ADV brochure carefully with your tax advisor.
Industry acclaimed risk platform refers to Morgan Stanley Smith Barney LLC’s (“Morgan Stanley”) Portfolio Risk Platform. The assumptions used in the Report incorporate portfolio risk and scenario analysis employed by BlackRock Solutions (“BRS”), a financial technology and risk analytics provider that is independent of Morgan Stanley. BRS’ role is limited to providing risk analytics to Morgan Stanley, and BRS is not acting as a broker-dealer or investment adviser nor does it provide investment advice with respect to the Report. Morgan Stanley has validated and adopted the analytical conclusions of these risk models. The analysis provided is illustrative only. Morgan Stanley cannot predict a portfolio’s risk of loss due to, among other things, changing market conditions or other unanticipated circumstances. The analysis is based purely on assumptions made using available data and any of its forecasts are subject to change.
The footnotes below apply to the industry-leading claims referenced above. More information is available upon request.
Morgan Stanley Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States. 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.
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 offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please visit us at www.morganstanley.com/wealth or consult with your Morgan Stanley Financial Advisor to read about those differences.
The sole purpose of this material is to inform, and it in no way is intended to be an offer or solicitation to purchase or sell any security, other investment service, or to attract any funds or deposits. Investments mentioned may not be appropriate for all clients. Before making any investment, each investor should carefully consider the risks associated with the investment, as discussed in the applicable offering memorandum and make a determination based on their own particular circumstances that the investment is consistent with their investment objectives and risk tolerance.
© 2026 Morgan Stanley Smith Barney LLC. Member SIPC.
CRC 4677197 (7/2025), 5378280 (5/2026)
