Investment performance is not a criterion. For more on methodology please go to www.ft.com/reports. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking 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. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2012 - Sept 2013. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to the Financial Times in to obtain or use the ranking. 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. For more information, see www.SHOOKresearch.com. Investment performance is not a criterion. Coalition Greenwich Quality Leader Award 2021. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. A fund with a positive Excess Return has on average outperformed its benchmark on a quarterly basis. 01 / 05 now playing Source: Barron's.com (March 2020) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2020. Source: planadviser.com (May 2011) awarded in 2011. Ratings are based on the opinion of ISS Media and may not be representative of any one clients experience nor indicative of the financial advisors future performance. Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top women advisors. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. Capitalization (Equal-Weighted) - represents the average market capitalization of the stocks in the funds portfolio. This ranking is based on quantifiable and objective criteria, including, but not limited to, AUM, compliance record, years of experience, AUM growth rate, industry certifications and online accessibility. Market-capitalization-weighted benchmark that tracks the performance of all world government bond markets in the Citigroup World Government Bond Index except the United States. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. 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. Investment performance is not a criterion. The 2019 PLANADVISER Top 100 Retirement Plan Advisers award is compiled from responses to the PLANADVISER Retirement Plan Adviser Survey. Investing in these countries is perceived as more risky because they may not be as politically and/or economically stable as countries in the Developed Markets. 2023 Forbes Americas Top Wealth Advisors & Best-In-State Wealth Advisors Source: Forbes.com (April 2023) Forbes Americas Top Wealth Advisors and Best-In- State Wealth Advisors rankings awarded in 2023. 2023 Forbes Americas Top Wealth Advisors & Best-In-State Wealth Advisors. This ranking was determined based on an evaluation process conducted by ISS Media utilizing data from responses to the PLANADVISER Retirement Plan Adviser Survey as of Jan/Feb 2016. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its rankings. Calculated by Lipper, Inc. and includes all funds that, by portfolio practice, invest at least 75% of their equity assets in companies with market capitalizations (on a 3-year weighted basis) greater than 300% of the dollar-weighted median market capitalization of the middle 1,000 securities of the S&P SuperComposite 1500 Index. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking 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. Measures the performance of those Russell 2000 companies with lower price-to-book ratios and lower forecasted growth values. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors paid a fee to Plan Advisor in exchange for the rating. This ranking is based on a mixture of qualitative and quantitative measures, including tenure in the business, focus on retirement plan business as a percentage of practice revenue, willingness to serve in a fiduciary role to clients plans, and a review of essay answers and compliance records. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors pay a fee to Financial Planning in exchange for the rating. Represents the internal rate of return of the bonds in a funds portfolio assuming the bonds interest is reinvested, and the bonds are held to maturity. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking 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. Ratings are based on the opinion of the Financial Times and may not be representative of any one clients experience nor indicative of the financial advisors future performance. Full Time position. Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Source: Barron's.com (April 2019) 2019 Barron's Top 100 Financial Advisors awarded in 2019. Research Magazine's 130 Top-Ranked Advisor Teams in America. MSCI EAFE and Emerging Markets Growth/ Value Indices. Barrons is a registered trademark of Dow Jones & Company, L.P. All rights reserved. These criteria are utilized for each of the categories in which this award is given. This advisor, in addition to the award recipients, was one of several hundred financial advisors who were selected by their firms to attend the annual Barrons Top Women Advisors Summit, hosted by Barrons magazine to promote best practices in the industry and the value of advice to the investing public. 2022 Morgan Stanley Smith Barney LLC. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. Ratings are based on the opinion of ISS Media and may not be representative of any one clients experience nor indicative of the financial advisors future performance. Source: Barron's.com (March 2023) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2023. This ranking is not indicative of the Financial Advisors future performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is not indicative of the Financial Advisors future performance. Refers to a fund managers general discipline and philosophy that is employed during the investment decision making process. The list is drawn solely from a set of quantitative variables and information in the survey supplied by the advisers themselves. The accuracy of Alpha is therefore dependent on the accuracy of Beta. This ranking was determined based on an evaluation process conducted by Barron's during the period from Dec 2019 - Dec 2020. Source: Barron's.com (March 2019) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2019. The listing reflects each advisors status in six primary areas: assets under management (AUM), asset growth, compliance record, experience, credentials and online accessibility. This ranking is not indicative of the Financial Advisors future performance. This ranking was determined based on an evaluation process conducted by NAPA during the period from Aug 2019 Aug 2020. Represents the average P/E ratio of the stocks in the funds portfolio. Morgan Stanley Emerging Equity Markets Free Gross Dividend Index. Nominees must be women retirement plan advisors with their own book of business. This ranking was determined based on an evaluation process conducted by Barron's during the period from Dec 2016 - Dec 2017. Source: On Wall Street "The Top 75 Branch Managers," September 04, 2018. This ranking is not indicative of the Financial Advisors future performance. Investment performance is not a criterion. When more than one portfolio manager manages a fund, the average tenure of the managers is listed. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to PLANADVISER or ISS Media to obtain or use the ranking. Barrons is a registered trademark of Dow Jones & Company, L.P. All rights reserved. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking 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. 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 award was issued in 2019 and based on the evaluation process below. Quantitative factors include, but are not limited to, total assets, production, average account size, years in the business and other statistics about the advisors practices gathered directly from the nominees. Ratings are based on the opinion of the Financial Times and may not be representative of any one clients experience nor indicative of the financial advisors future performance. The list is drawn solely from a set of quantitative variables and information in the survey supplied by the advisers themselves. Cash payment made by a company to stockholders. A positive Alpha figure indicates the fund has performed better than its Beta would predict. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. Investment performance is not a criterion. Source: ft.com (Mar 2014) 2014 Financial Times 400 Top Financial Advisors awarded in 2014. Annualized percentage change between the most recent actual fiscal year EPS and the 5-year EPS consensus forecast from I/B/E/S, a database of analysts estimates of future earnings for publicly traded companies. Check the background of Our Firm and Investment Professionals on. Investing in these countries is perceived as less risky because they are generally considered more politically and/ or economically stable than countries in the Emerging Markets. 2023 Barron's Top 1,200 Financial Advisors: State-by-State. This ranking was determined based on an evaluation process conducted by ISS Media during the period from 1/1/15 12/31/15. The Nominees must work within the five boroughs of New York City or in the counties of Westchester, Bergen, Nassau or Rockland and must have worked in a financial advisory capacity for a minimum of five years. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking. Investment performance is not a criterion. On Wall Streets Top 40 Under 40 asks brokerage firms to nominate their top young brokers. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking 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. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. Calculated by Lipper, Inc. and includes all funds that, by portfolio practice, seek long-term capital appreciation by investing at least 65% of total assets in emerging market equity securities, where emerging market is defined by a countrys GNP per capita or other economic measures. Ratings are based on the opinion of ISS Media and may not be representative of any one clients experience nor indicative of the financial advisors future performance. Investment performance is not a criterion. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking 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. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to the Financial Times in to obtain or use the ranking. REP. Magazine's Top 40 Wirehouse Advisors Under 40 2013. This award was issued in 2021 and based on the evaluation process below. 2019 PLANSPONSOR Retirement Plan Adviser of the Year. This ranking was determined based on an evaluation process conducted by Barron's during the period from Sept 2008 - Sept 2009. For more information, see www.SHOOKresearch.com. Investment performance is not a criterion. Securities Agent: PR, UT, WA, FL, IL, NY, MI, WY, VA, TX, TN, SD, PA, OR, OH, NV, NM, NJ, NH, NC, MO, MN, MD, MA, KY, ID, HI, GA, DE, DC, CT, CO, CA, AZ; General Securities Representative; Investment Advisor Representative. After comprehensive due diligence and analysis of expected results across multiple market scenarios, strategies are chosen from our expansive investment platform. Ratings are based on the opinion of NAPA and may not be representative of any one clients experience nor indicative of the advisors future performance. It provides a measure of the historical consistency of the funds over performance or underperformance relative to its benchmark. Investment performance is not a criterion. Highly trained, we help address every dimension of your life and your wealth to develop a plan that's truly personalized for you. T-bills are sold in denominations of $1,000 up to a maximum purchase of $5 million and commonly have maturities of one month (four weeks), three months (13 weeks) or six months (26 weeks). This award was issued in 2017 and based on the evaluation process below. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC for placement on its rankings. Source: Workingmother.com (October, 2017) 2017 Working Mother Magazine & SHOOK Research's Top Wealth Advisor Moms ranking awarded in 2017. Source: Barron's.com (April 2015) 2015 Barron's Top 30 Institutional Consultants ranking awarded in 2015. This ranking is not indicative of the Financial Advisors future performance. Investment performance is not a criterion. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking 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. Nominees must be individual advisor team/offices with a defined contribution book of business, in a single physical location. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. Ratings are based on the opinion of NAPA and may not be representative of any one clients experience nor indicative of the advisors future performance. This ranking is not indicative of the Financial Advisors future performance. "Source: NABCAP: Premier Wealth Advisors, Omaha Magazine, Over 5,000 direct contacts and over 40,000 indirect contacts were made to seek participation and/or nomination of participants in the Premier Wealth Advisor Program. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one clients experience. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/19 - 6/30/20. For more information, see www.SHOOKresearch.com. Worth editors receive thousands of nominations nationwide from Worth readers and investment professionals. With over 7,000 nominations compiled on an annual basis, Financial Advisors are quantitatively ranked based on varying types of revenues and assets advised by the financial professional, with weightings associated for each. Americas Asia-Pacific Europe, Middle East & Africa Japan Americas Argentina Of those nominated, On Wall Street bases its rankings on quantitative and qualitative criteria. Measures the performance of the 2,000 smallest companies in the Russell 3000 Index, which represents approximately 8% of the total market capitalization of the Russell 3000 Index. Roger V. Coleman Morgan Stanley. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. Investment performance is not a criterion. The overall performance of an investment includes any income and realized and unrealized capital gains/ losses. A Down Capture Ratio of less than 100% indicates a fund outperformed the relative benchmark in the benchmarks negative quarters and protected more of a portfolios value during down markets. Source: Barron's.com (June 2008) 2008 Barron's Top 100 Women Financial Advisors ranking awarded in 2008. Subset of the Barclays Capital Government/Corporate Bond Index covering issues with maturities up to 10 years. Source: Forbes.com (April 2020) 2020 Forbes America's Top Women Wealth Advisors ranking awarded in 2020. Source: planadviser.com (May 2014) awarded in 2014. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking 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. This evaluation was not based on a specific time period, but was conducted by Five Star Professional (FSP) that considered, among other factors, the following: 2016 Forbes America's Top Wealth Advisors. NABCAP uses a methodology that it has created that includes both quantitative and qualitative criteria, including, but not limited to, financial planning, education, experience and compliance record. Finalists are entitled to receive paid airfare, conference registration, and three nights hotel accommodations to The ASPPA 401(k) SUMMIT. Investment performance is not a criterion. Ratings are based on the opinion of ISS Media and may not be representative of any one clients experience nor indicative of the financial advisors future performance. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 9/30/18 - 9/30/19. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking 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. The rating is not indicative of the Financial Advisors future performance. This ranking was determined based on an evaluation process conducted by Barron's during the period from Dec 2006 - Dec 2007. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. Securities Agent: MN, WY, WA, VA, UT, TN, SD, TX, PR, PA, OR, OH, NY, NV, NM, NH, NC, MO, NJ, MD, MA, KY, IL, ID, HI, GA, DE, FL, MI, DC, CT, CO, CA, AZ; General Securities Representative; Investment Advisor Representative. Only advisors for whom 80 percent or more of assets corresponded to retail clients were eligible for the list. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. REP. magazines Top 50 Wirehouse Women, October 1, 2014. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking. Investment performance is not a criterion. Source: Forbes.com (Aug 2016) 2016 Forbes America's Top Wealth Advisors ranking awarded in 2016. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. Ratings are based on the opinion of the Financial Times and may not be representative of any one clients experience nor indicative of the financial advisors future performance. 2018 Barron's Top 100 Women Financial Advisors. This ranking is not indicative of the Financial Advisors future performance. Source: PLANADVISER.com, March 2020 The "PLANADVISERS 2020 Top 100 Retirement Plan Advisers" list is compiled from responses to the PLANADVISER Retirement Plan Adviser Survey. Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. 2009 Barron's Top 100 Women Financial Advisors. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to the Financial Times in to obtain or use the ranking. Kellen assists the ESW Group with team operations including processing client requests, preparing internal team reports, and supporting the Private Wealth Advisors in daily business practices.
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