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Top 100 Wirehouse Advisors of America 2011

Sep 1, 2011 12:00 PM


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Name Wirehouse AUM ($ in millions) Specialty City, State
1. Roger V. Coleman Morgan Stanley Smith Barney $28,000 Wealth management, corporate services. Garden City, N.Y.
2. Mark T. Curtis Morgan Stanley Smith Barney $22,500 Investment management consulting. Palo Alto, Calif.
3. Joseph W Montgomery Wells Fargo Advisors $17,500 Comprehensive wealth management. Williamsburg, Va.
4. Karen A. McDonald Morgan Stanley Smith Barney $8,500 Corporate client group director. Palo Alto, Calif.
5. John Glotzbach Morgan Stanley Smith Barney $7,700 Futures, options, derivatives. Chicago
6. J. Dorian McKelvy Morgan Stanley Private Wealth Management $6,500 Estate planning, ultra-HNW clients, foundations, family offices, institutional services. Menlo Park, Calif.
7. Ronald C. Hart Morgan Stanley Smith Barney $6,462 HNW individuals, family offices, foundations, and corporations. Atlanta
8. James Ryan Merrill Lynch $6,278 HNW families, nonprofit organizations. New York
9. Brian C. Pfeifler Morgan Stanley Private Wealth Management $6,000 Generalist with focus on ultra-HNW investors and alternative investments. New York
10. Todd DiScala Merrill Lynch $5,234 HNW individuals, families, and institutional investors. New York
11. Gregory Vaughan Morgan Stanley Private Wealth Management $5,000 Private wealth management. Menlo Park, Calif.
12. Stephen A. Jakosa UBS Financial Services $4,695 Custodial & administrative services. San Francisco
13. John D. Blasewitz Wells Fargo Advisors $4,518 Retirement planning, education expenses. Los Angeles
14. Scott C. Wilson Morgan Stanley Private Wealth Management $3,800 Alternative investments. New York
15. Brian Ward Wells Fargo Advisors $3,800 Retirement planning. Brentwood, Tenn.
16. Richard F. Connolly, Jr. Morgan Stanley Smith Barney $3,600 HNW families. Boston
17. Shelley Bergman Morgan Stanley Smith Barney $3,500 Asset allocation. New York
18. Charles H. Mulfinger, II, CIMA Morgan Stanley Smith Barney $3,300 HNW clients, private clients and institutional consulting (including public funds, foundations/endowments, & corporate DB/DC retirement plans). Tampa, Fla.
19. Eric Gray Merrill Lynch $3,285 Asset allocation, values-based financial planning, and portfolio construction for ultra-HNW clients. Century City, Calif.
20. Thomas Keegan Merrill Lynch $3,087 Provides investment services to a select group of HNW individuals and corporations. New York
21. John Erdmann III Merrill Lynch $3,081 Ultra-HNW individuals, families, and business leaders. Greenwich, Conn.
22. Mark Douglass Morgan Stanley Private Wealth Management $2,640 Providing solutions to complex problems for HNW clients. Menlo Park, Calif.
23. V. Robert Fisher UBS Financial Services $2,487 Corporate employee financial services. Houston
24. Steven J. Hefter Wells Fargo Advisors $2,400 HNW and corporate clients. Deerfield, Ill.
25. Walter Meranze Wells Fargo Advisors $2,400 HNW individuals, institutional investors. Yardley, Pa.
26. Phil Shaffer Morgan Stanley Smith Barney $2,392 Consulting and asset management for ultra-HNW clients, family offices, non-profits. Columbus, Ohio
27. John Fitzpatrick UBS Financial Services $2,351 Wealth management for HNW clients. New York
28. Caesar R. Ruegg UBS Financial Services $2,270 Wealth management. San Francisco
29. William Greco UBS Financial Services $2,255 Corporate employee financial services. Hartford, Conn.
30. Emily Van Hoorickx UBS Financial Services $2,106 Corporate employee financial services. San Jose, Calif.
31. Robert Stulberg Merrill Lynch $2,102 Tailored approach to maximizing after-tax returns; meeting client financial needs and objectives in the most conservative manner possible. Bloomfield Hills, Mich.
32. J. Michael Bollinger Morgan Stanley Private Wealth Management $2,050 Ultra-HNW wealth advisory. Houston
33. Jason L. Fertitta Morgan Stanley Private Wealth Management $2,050 Ultra-HNW wealth advisory. Houston
34. John M. Williams Morgan Stanley Private Wealth Management $2,000 Ultra-HNW, foundations and endowments, comprehensive wealth management. Washington, D.C.
35. Rebecca Rothstein Morgan Stanley Private Wealth Management $2,000 HNW. Beverly Hills, Calif.
36. Jonathan Kass Merrill Lynch $1,968 Comprehensive wealth management. New York
37. Jonathan R. Legg Morgan Stanley Private Wealth Management $1,950 Ultra-HNW families, family office services, executive services. Washington, D.C.
38. James Hulburd Merrill Lynch $1,938 Very focused business working with a small number of select clients. San Francisco
39. Patrick Colin Coyne Wells Fargo Advisors $1,902 Retirement planning, education expenses. Jenkintown, Penn.
40. R. Mitchell Wickham Merrill Lynch $1,840 Private wealth management. Charlotte, N.C.
41. Peter Rohr Merrill Lynch $1,797 Ultra-HNW individuals and multi-family offices. Philadelphia
42. Christopher Mahoney Merrill Lynch $1,772 Comprehensive wealth management. West Nyack, N.Y.
43. David A. Novelli Morgan Stanley Private Wealth Management $1,760 Private wealth management. Houston
44. Ami Forte Morgan Stanley Smith Barney $1,758 Assisting entrepreneurs and senior executives navigate critical, complex or often life-changing financial decisions. Palm Harbor, Fla.
45. Thomas M Moran Wells Fargo Advisors $1,750 FA-directed fee-based portfolio management. Naples, Fla.
46. Don d'Adesky Morgan Stanley Smith Barney $1,749 HNW clients and foreign financial institutions in the Caribbean and the U.S. Boca Raton, Fla.
47. Richard Eriksen Wells Fargo Advisors $1,721 Publicly and privately held corporations, public entities and non-profit organizations. Birmingham, Mich.
48. Gregory A. Hersch UBS Financial Services $1,714 Asset allocation, trust and estate planning. New York
49. Richard Jones Merrill Lynch $1,710 Asset allocation, trust services, and credit products. Los Angeles
50. Reza Zafari Merrill Lynch $1,700 Equity portfolio management. Los Angeles
51. Peter Baird Neville Morgan Stanley Private Wealth Management $1,700 Ultra-HNW. Hartford, Conn.
52. Scott Magnesen Morgan Stanley Smith Barney $1,700 Retirement planning. Oak Brook, Ill.
53. Peter Princi Morgan Stanley Smith Barney $1,700 Portfolio and wealth management. Boston
54. Michael J. Ricca Morgan Stanley Smith Barney $1,700 Comprehensive wealth management and financial planning. Florham Park, N.J.
55. David Weinerman Morgan Stanley Smith Barney $1,700 Comprehensive wealth management and financial planning. Florham Park, N.J.
56. Thomas Tournat Merrill Lynch $1,692 HNW individuals. Los Angeles
57. Kevin Peters Morgan Stanley Smith Barney $1,650 Holistic wealth management. Purchase, N.Y.
58. Chalres Wickham Jr. Merrill Lynch $1,637 HNW individuals and families. Charlotte, N.C.
59. Michael S. Jankiewicz UBS Financial Services $1,625 Custodial & administrative services. San Francisco
60. Ajay J. Desai Morgan Stanley Private Wealth Management $1,618 Ultra-HNW, private wealth management. Chicago
61. Dana Jackson Morgan Stanley Private Wealth Management (Graystone Institutional Consulting) $1,600 Ultra-HNW wealth management, and corporate services. Menlo Park, Calif.
62. William Easom Morgan Stanley Smith Barney $1,600 Retirement planning, especially helping corporate executives transition to retirement. Chicago
63. William King Merrill Lynch $1,567 Companies, non-profit organizations, and affluent families. New York
64. Louis Chiavacci Merrill Lynch $1,544 Ultra-affluent families. Coral Gables, Fla.
65. Champ Warren III Merrill Lynch $1,540 Creating liquidity events for business owners. Houston
66. Reed Smith Merrill Lynch $1,528 HNW individuals. Houston
67. David Nelson Wells Fargo Advisors $1,515 Private wealth management. Charlotte, N.C.
68. Gregory Cash Merrill Lynch $1,489 HNW individuals and families. Charlotte, N.C.
69. Kevin Scott Merrill Lynch $1,475 Global wealth management. Los Angeles
70. James Atwood Merrill Lynch $1,474 Private wealth management. Boston
71. William Scott Merrill Lynch $1,454 Private wealth management. Los Angeles
72. Julio Franco Merrill Lynch $1,432 International private wealth management. New York
73. Noel Weil Merrill Lynch $1,417 Affluent families. New York
74. Allan Yarkin Morgan Stanley Smith Barney $1,400 HNW individuals and families. Aventura, Fla.
75. John Olson Merrill Lynch $1,390 Wealth management services and asset management for HNW individuals. New York
76. Philippe Hartl Merrill Lynch $1,388 International private wealth management. Los Angeles
77. James Coffee Jr. Merrill Lynch $1,378 Wealth management for select families, retirement planning. Houston
78. Daniel O'Connell Merrill Lynch $1,376 HNW families. Garden City, N.Y.
79. Peter Arbogast Merrill Lynch $1,374 HNW individuals, foundations. San Francisco
80. Patrick Dwyer Merrill Lynch $1,363 Ultra-affluent families. Miami
81. Dan Osborne Merrill Lynch $1,362 Ultra-HNW individuals, foundations. San Francisco
82. John T. Shadden Morgan Stanley Private Wealth Management $1,350 Private wealth management and endowments/foundations. Long Beach, Calif.
83. Andrew Burish UBS Financial Services $1,341 Wealth management. Madison, Wis.
84. Andrew Kraus Merrill Lynch $1,338 HNW individuals and families. New York
85. William W. Gouldin, CIMA Morgan Stanley Private Wealth Management $1,310 Private wealth management focusing on ultra-HNW clients. Houston
86. Robert C. Rathjen UBS Financial Services $1,283 Investment consulting. Houston
87. William L. Eintsein UBS Financial Services $1,273 Wealth management services for executives, entrepreneurs, and bankers. New York
88. Richard Whiting Merrill Lynch $1,272 Ultra-HNW individuals, corporations and foundations. New York
89. Brian L. Moore Morgan Stanley Smith Barney $1,269 Wealth management, retirement plan consulting and corporate equity solutions. Atlanta
90. Stephen Brown Merrill Lynch $1,267 Ultra-HNW clients, including corporate executives, entrepreneurs, affluent families, professional athletes. Rochester
91. Robert McGinty Merrill Lynch $1,266 HNW individuals and families. New York
92. Jonathan Harris Morgan Stanley Private Wealth Management $1,250 Ultra-HNW advisory & family office services. San Francisco
93. Keith A. Mericka UBS Financial Services $1,236 Employee share ownership plans. Atlanta
94. John Westmoreland Merrill Lynch $1,234 HNW clients, public and private foundations and corporations. Atlanta
95. Eric Snyder Merrill Lynch $1,217 HNW families, nonprofit organizations, and institutional clients. New York
96. Greg Klenke UBS Financial Services $1,213 Corporate employee financial services. Houston
97. Leigh Cohen Merrill Lynch $1,208 Asset management and estate planning services. New York
98. Gregory W. Zanolli Wells Fargo Advisors $1,205 Risk management strategies for families. Roseville, Calif.
99. Brian Strachan Morgan Stanley Private Wealth Management $1,200 Developing and implementing a comprehensive, holistic wealth management strategy for HNW families. Boston
100. Larry King Morgan Stanley Smith Barney $1,200 Discretionary portfolio management. Saratoga Springs, N.Y.

METHODOLOGY: This year's list of Top 100 Wirehouse Advisors in America was assembled by Meridian-IQ, in which Penton Media is an investor. Advisors are ranked by assets under management, effective June 30. Only those advisors for whom a majority of assets correspond to retail clients were eligible for the list. Meridian confirmed its data with Morgan Stanley Smith Barney, Merrill Lynch Global Wealth Management, Wells Fargo Advisors and UBS Financial Services.


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