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America's Top 100 Wirehouse Advisors

Sep 1, 2008 12:00 PM



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Name Firm City, State Est. AUM in $MM Yrs. in Biz Business Description/Specialty
1 Mark T. Curtis Smith Barney Palo Alto, Calif. 15,000 28 Private clients, corporate services, endowments, foundations, retirement plans.
2 Roger Coleman Smith Barney Garden City, N.Y. 7,600 26 Corporate equity plans services and HNW asset management.
3 J. Dorian
McKelvy		 Smith Barney Menlo Park, Calif. 7,146 25 WM for HNW clients; custody and execution for money managers.
4 Ronald Hart Smith Barney Atlanta 6,011 26 HNW Individuals, family offices, foundations and corporations.
5 Grant W. Lee
and Antonio deRoza		 Smith Barney San Francisco 5,500 21 and 19 Citi family office, HNW clients.
6 Christopher C.
Aitken		 Smith Barney Lutherville, Md. 5,500 22 Consultants to institutions and HNW families.
7 Montford S. Will Wachovia Dublin, Ohio 5,000 41 HNW WM, consulting, institutional sales and trading.
8 Andrew Perry Deutsche Bank
Alex. Brown		 New York City 4,550 21 HNW individuals and families, equities.
9 George A. Dunn Smith Barney Washington, D.C. 4,500 34 HNW and non-profit clients.
10 John Rasweiler Smith Barney Morristown, N.J. 4,225 50 Corporate services.
11 Marvin McIntyre Smith Barney Washington, D.C. 3,500 40 Strategies in investments, benefits, tax and estate.
12 Tetsu T. Tanimoto Merrill Lynch Los Angeles 3,500 38 Institutional consulting, endowment/ foundation/ HNW asset management.
13 Mark Orgel RBC Wealth
Management		 Eau Claire, Wis. 3,495 25 WM, M&A, retirement planning, foundations, endowments, trusts.
14 Patrick McBrien Deutsche Bank
Alex. Brown		 New York City 3,420 18 HNW individuals and families, equities.
15 Scott Zelnick Deutsche Bank
Alex. Brown		 New York City 3,420 18 HNW individuals and families, equities.
16 Barry Snyder Deutsche Bank
Alex. Brown		 Palm Beach 3,300 17 Family office focus and market expertise.
17 Scott C. Wilson Smith Barney New York City 3,200 24 Financial advisory and WM counsel.
18 John C. Barrett Merrill Lynch New York City 3,200 23 Wealth management for UHNW families, individuals and non-profit institutions.
19 Shane Brisbin Smith Barney San Francisco 3,000 15 UHNW wealth advisory practice.
20 Danford Meischen Merrill Lynch Houston $3,000 33 Qualified and non-qualified retirement plans.
21 Brian
Hetherington		 Merrill Lynch New Caanan, Conn. 3,000 22 Discretionary investment management.
22 Tom Moran Wachovia Naples, Fla. 2,800 28 Fee only.
23 Bobby Fisher & Greg Klenke UBS Houston, Texas 2,600 14
and 12		 Equity based compensation administration and execution.
24 Phil Scott Merrill Lynch Bellevue, Wash. 2,500 23 Portfolio management.
25 Brian Ward Wachovia Brentwood, Tenn. 2,500 15 401(k), institutional consulting.
26 Roger Stephens Morgan Stanley Los Angeles 2,500 11 Corporate qualified and non-qualified plans.
27 Raj Sharma Merrill Lynch Boston 2,500 20 Affluent families and corporate executives.
28 David La Placa Deutsche Bank
Alex. Brown		 San Francisco 2,500 15 Entrepreneurs, venture capitalists, hedge funds and family offices.
29 Bruce Treitman Deutsche Bank
Alex. Brown		 Los Angeles 2,400 24 HNW asset management, asset allocation.
30 A. Perry Chappell Merrill Lynch Jacksonville 2,300 12 FP for UHNW individuals, mid-market businesses, regional financial institutions.
31 Walter Meranze Wachovia Yardley, Pa. 2,200 41 Stocks, bonds, 401(k)s for corporations.
32 Edwin R.
Rodriguez, Jr. “Rod”		 Merrill Lynch New Orleans 2,200 38 WM of HNW individual and corporate clients.
33 Frank Migliazzo Merrill Lynch Auburn Hills, Mich. 2,100 29 WM solutions for individuals, families and institutions.
34 Larry Palmer Smith Barney Los Angeles 2,000 26 Pre-liquidity planning for senior executives of public/private companies.
35 Dana Jackson Smith Barney Menlo Park, Calif. 2,000 15 WM for UHNW individuals and families.
36 Jerome Klein Merrill Lynch Century City, Calif. 2,000 13 UNWH clients.
37 Lee Bryan, III Deutsche Bank
Alex. Brown		 Winston-Salem, N.C. 2,000 32 Managing assets for HNW individuals and their families.
38 Robert D. H. Anning Merrill Lynch Cincinnati, Ohio 2,000 41 Planning and portfolio management for HNW individuals and families.
39 Jeffrey S. Gerson Smith Barney New York City 1,900 23 Family office approach with full asset management.
40 John T. Fitzpatrick UBS New York City 1,879 22 General UNHW advisory practice.
41 Richard W. Kelley RBC Wealth Management Omaha, Neb. 1,877 40 Full-service broker: stocks, bonds, mutual funds.







42 Sanford M. Katz UBS San Francisco 1,828 22 Educating and understanding clients to generate optimal results.
43 Peter Philpott Smith Barney Fort Worth 1,817 6 WM, family-office-like services.
44 E. Robertson Kibler Merrill Lynch Columbia, S.C. 1,800 26 Endowments and foundations, retirement plans, HNW families.
45 Leeds Eustis UBS Houston 1,700 12 HNW and UHNW consulting.
46 Mark C. Hutchinson Smith Barney Chicago 1,700 23 Total WM to HNW investors.
47 Rebecca Rothstein Smith Barney Beverly Hills 1,700 21 Estate, tax and FP for HNW and UNHW; concentrated stock positions.
48 Saly A. Glassman Merrill Lynch Blue Bell, Pa. 1,700 28 HNW individuals, corporations and small institutions.
49
 Allan Yarkin Smith Barney Hallandale, Fla. 1,680 29 WM for HNW individuals and families.
50 Pete K.G. Thompson Smith Barney Honolulu 1,653 23 Institutional cash management and fixed income investing.
51 Stephen Brown Merrill Lynch Rochester, N.Y. 1,600 19 Family office approach for UHNW clients and corporate executives.
52 Brett Clifford Deutsche Bank
Alex. Brown		 Baltimore 1,500 26 Financial planning for wealthy individuals and family offices.
53 Louis Chiavacci Merrill Lynch Coral Gables, Fla. 1,500 22 Assisting UHNW families with all their investing and personal financial needs.
54 Stanley Heilbronn Merrill Lynch New York City 1,500 43 Customized WM services to families and affluent HNW individuals.
55 Christopher Cook Merrill Lynch Florham Park, N.J. 1,500 15 FP, investments, cash flow and estate planning for individuals and families.
56 Robert J. Waldele Merrill Lynch New York City 1,500 27 Wealth management for HNW clients.
57 William Einstein UBS New York City 1,400 28 Fixed income with a focus on muni bonds.
58 Jay Thornton Morgan Stanley Newport Beach, Calif. 1,400 25 Family office structure for UHNW families and entities.
59
 Alan B. Whitman Morgan Stanley Pasadena, Calif. 1,400 37 Non-modeled approach to managed money.
60 Barry Garber Deutsche Bank
Alex. Brown		 Baltimore 1,400 17 Financial solutions for business and community leaders.
61 Nestor Vicknair Merrill Lynch Houston 1,400 16 Individual WM, estate planning, asset allocation, lending, cash flow analysis.
62 William King Merrill Lynch New York City 1,350 23 FP and portfolio management for affluent families.
63 Kurt Sylvia Wachovia Palm Beach, Fla. 1,350 15 Holistic WM.
64 David Cumming Smith Barney Albany 1,312 18 Fixed income management and investment policy advisory.
65 Howard S. Lorch Wachovia Houston 1,300 39 HNW individuals and corporate clients.
66 Victor Livingstone Morgan Stanley Boston 1,300 19 Wealthy families, non-profit, corporate executives, entrepreneurs.
67 Shelley Bergman Morgan Stanley New York City 1,300 25 Client service driven, results oriented, team approach, 100 percent referrals.
68 Melissa Harrison Merrill Lynch Denver 1,300 7 UHNW individuals, families and institutions.
69
 Eric Snyder Merrill Lynch New York City 1,300 10 WM for corporate executives, entrepreneurs and professionals.
70 Charles Balducci Merrill Lynch New York City 1,300 10 WM for corporate executives, entrepreneurs and professionals.
71 Daniel T. O'Connell Merrill Lynch Garden City, N.Y. 1,250 25 HNW advisory services.


72

 Mary Deatherage Smith Barney Little Falls, N.J. 1,200 22 Financial planning.
73 Carl Hoover Merrill Lynch Denver 1,200 26 WM for business owners and executives.
74 Bruce Bickley UBS Atlanta 1,157 25 Focus on liquidity events generated through an ESOP.
75 William Easom Smith Barney Chicago 1,153 20 Retirement planning.
76 R. Christopher Errico UBS New York City 1,100 20 Wealth management.
77 Jonathan Kass Merrill Lynch New York City 1,100 14 FP, estate-planning, PM, small business, retirement plans.
78 Janine Lee Craane
and Valery Craane		 Merrill Lynch New York City 1,100 25 Global investment strategists for families and institutions.
79
 Max Peckler UBS Boston 1,085 13 WM for individuals and families.
80 Harold Trischman Smith Barney Greenwich, Conn. 1,060 23 Business owners, UHNW retirees and pre-retirees.
81 Douglas Braff UBS New York City 1,050 26 Corporate equity compensation programs for Fortune 500 companies.
82 Steven C. Matthews UBS Houston 1,036 15 Corporate employee financial services and HNW individuals.
83 Allan J. Flader UBS Phoenix, Ariz. 1,025 22 HNW investments, tax minimization and estate strategies.
84 John C. Lopez Smith Barney Palo Alto 1,011 21 AM, restricted securities, estate and retirement planning, alternatives, art advisory.
85 Christopher Sargent Wachovia Washington, D.C. 1,000 43 HNW individuals and small institutions, including charitable organizations.
86 William D. Leven UBS Houston 1,000 16 UHNW and family office clients.
87 Jordan Dickstein UBS New York City 1,000 21 WM, asset allocation, and alternative investments for HNW clients.
88 David Barnes UBS Dallas 1,000 18 WM for HNW individuals.
89
 Dan Livingstone UBS New York City 1,000 25 Fixed income managers.
90 Jim Hansberger Smith Barney Atlanta 1,000 39 WM for HNW clients.
91 Rusty Tally Morgan Stanley Austin 1,000 32 Managed money, HNW, UHNW, institutional.
92 Jeffrey Klotz Morgan Stanley New York City 1,000 28 HNW and UHNW families, investments for corporate entities.
93 John W. Davis, III Deutsche Bank
Alex. Brown		 Winston-Salem, N.C. 1,000 27 HNW individuals and families.
94 Jim Spanarkel Merrill Lynch Paramus, N.J. 1,000 25 Investment advisory services for institutions and non-profits.
95 David Sercu Merrill Lynch San Francisco 1,000 15 Global WM.
96 Myles Wittenstein Merrill Lynch New York City 1,000 39 Asset allocation, investment management, intergenerational wealth transfer.
97 Robert F. Runkle Merrill Lynch Montgomery, Ala. 1,000 25 Asset management to HNW individuals and institutions.
98 Dodd Newton
Koeckert		 Merrill Lynch Stamford, Conn. 1,000 25 WM and FP.
99
 George Bianco Merrill Lynch New York City 1,000 29 HNW individuals, foundations and retirement plans.
100 Tommy McBride Merrill Lynch Dallas 1,000 16 Financial Planning.
101 Michael C. Riherd Merrill Lynch Walnut Creek, Calif. 1,000 16 HNW individuals, PM, estate plans.


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