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The Top 100
Here are America’s best financial advisers from brokerages and banks, as identified by the Winner’s Circle organization. The advisers, it says, follow the industry’s best practice and have the biggest books of
business. The scoring system assigns a value of 100 to the top adviser, then calculates the others’ scores by comparing each with the No. 1 finisher in terms of assets under management, revenue, customer
satisfaction and other factors. Total assets are those of the adviser’s team; they include both those at the firm and those held elsewhere but overseen by the team. Institutional assets are given less weight in the
scoring. N indicates an adviser is new to the list this year.
CUSTOMERS
High Ultra-High Total Typical Typical
Rank Individuals Net Worth Net Worth Found- Endow- Institu- Assets Account Net Worth
’08 ’07 Name Firm Location (Up to $1 mil) ($1-10 mil) ($10 mil+) ations ments tional ($mil) ($mil) ($mil) Score
1 2 Brian Pfeifler Morgan Stanley New York § § $4,300 $25 $50 100.000
2 1 Mark Curtis Smith Barney Palo Alto, Calif. § § § § 20,000 5+ 25 99.225
3 6 Marvin McIntyre Smith Barney Washington § § § § § 4,000 2-50 5-100 98.913
4 8 Phil Scott Merrill Lynch Bellevue, Washington § § 2,300 10 15 98.679
5 4 Gregory Vaughan Morgan Stanley Menlo Park, Calif. § § 14,200 25-50 50 98.301
6 3 Richard Zinman Smith Barney New York § § 11,600 10 50 98.268
7 5 August Cenname Merrill Lynch Columbus, Ohio § § 7,430 5-500 15-1,000 97.911
8 18 Sanford Katz UBS Financial Svcs San Francisco § § 1,725 25-50 40 97.746
9 14 Robert Dixon Morgan Stanley Menlo Park, Calif. § § § 14,200 25-50 50 97.494
10 16 John (Jeff) Erdmann Merrill Lynch Greenwich, Conn. § § § 5,000 10-100 50 97.223
11 11 Robert Coleman Morgan Stanley San Francisco § § § 5,800 20+ 50 96.947
12 10 Richard Saperstein Bear Stearns New York § § 17,350 5-80 1-100 96.126
13 28 Drew Zager Morgan Stanley Los Angeles § § 6,400 75 300 95.264
14 23 Martin Halbfinger UBS Financial Svcs New York § § § 2,124 5-50 10-100 95.107
15 24 Roger Coleman Smith Barney Garden City, N.Y. § § § § 7,800 5-10 10-15+ 94.843
16 32 Roger Carter Morgan Stanley San Francisco § 5,800 50 100 94.653
17 13 Andrew Perry Deustche Bank Alex. Brown New York § § § 4,600 20 40 94.358
18 22 Raj Sharma Merrill Lynch Boston § § § § § 2,557 15 15-100 94.226
19 25 James Hansberger Smith Barney Atlanta § § § 2,000 5-15 25-50 94.077
20 29 Andrew Burish UBS Financial Svcs Madison, Wis. § § § 1,250 1-30 3-20 93.957
21 20 Patrick McBrien Deustche Bank Alex. Brown New York § § § § 6,850 25 100+ 93.730
22 19 Scott Zelnick Deustche Bank Alex. Brown New York § § § § 6,850 25 100+ 93.730
23 26 Robert Stulberg Merrill Lynch Bloomfield Hills, Mich. § § § 2,274 2-25+ 5-100 93.344
24 37 Richard Blosser Morgan Stanley Los Angeles § § § § 2,550 25-50 35 93.182
25 42 John W. Rafal Essex Financial Svcs Essex, Conn. § § § § § 2,100 3 3-50 92.991
26 50 Rod Westmoreland Merrill Lynch Atlanta § 2,150 25 50 92.842
27 45 Tom Hill Smith Barney Easton, Md. § § § 1,187 1-20 3-75 92.727
28 43 Troy Griepp Morgan Stanley San Francisco § § § 4,292 20-100 40+ 92.593
29 30 Ron Carson Carson Wealth Mgt Omaha, Neb. § § § 2,055 2-5 6-12 92.423
30 39 Saly Glassman Merrill Lynch Blue Bell, Pa. § § § § § § 1,650 10 15 92.295
31 52 Patrick Dwyer Merrill Lynch Miami § 2,100 30 50 92.151
32 27 Ric Edelman Edelman Financial Svcs Fairfax, Va. § § 3,600 0.4 0.8-1.5+ 92.096
33 31 Louis Chiavacci Merrill Lynch Coral Gables, Fla. § § 2,500 15-25+ 50-75+ 91.936
34 61 Bruce Treitman Deutsche Bank Alex. Brown Los Angeles § § § 2,400 15 15 91.781
35 51 William J. Greco UBS Financial Svcs Hartford, Conn. § § § § 2,000 5-25 5-100 91.636
36 N Mark Orgel RBC Wealth Mgt Eau Claire, Wis. § § § § 3,635 3 7 91.430
37 49 Michael Johnston Citi Family Office Irvine, Calif. § § 2,344 20-40 25-45 91.307
38 41 Steve Levine Credit Suisse Los Angeles § § § 4,200 10-250 25-1,000+ 91.064
39 75 John Waldron Waldron Wealth Mgt Pittsburgh § § § 2,200 2-25+ 10-100+ 90.601
40 71 Scott Magnesen Morgan Stanley Oak Brook, Ill. § § § 1,520 0.5-5 1-10+ 90.502
41 34 David Hou Merrill Lynch Los Angeles § § 7,440 25 35 90.380
42 33 Dana Jackson Smith Barney Menlo Park, Calif. § § § 6,700 20 35 90.219
43 35 Mark Sear Merrill Lynch Los Angeles § § 7,440 25 35 90.107
44 38 Rebecca Rothstein Smith Barney Beverly Hills § § § § 2,050 20 20 89.982
45 N Steven Hefter Wachovia Securities Deerfield, Ill. § § § 2,200 12-15 25 89.862
46 60 Thomas J. Keegan Merrill Lynch New York § § § 13,200 25 30-50 89.643
47 54 Bud King UBS Financial Svcs St. Louis § § § 1,585 2-10+ 3-20 89.552
48 N William Corbellini Merrill Lynch Dallas § § § 2,300 20 35 89.456
CUSTOMERS
High Ultra-High Total Typical Typical
Rank Individuals Net Worth Net Worth Found- Endow- Institu- Assets Account Net Worth
’08 ’07 Name Firm Location (Up to $1mil) ($1-10 mil) ($10 mil+) ations ments tional ($mil) ($mil) ($mil) Score
49 N John Fitzpatrick UBS Financial Svcs New York § § $2,400 $20 $25+ 89.311
50 N Robert Baynard JPMorgan Private Bank New York § 35,800 25-100 100 88.917
51 62 James Hulburd Merrill Lynch San Francisco § 1,981 50-125 50-150 88.635
52 82 David Barnes UBS Financial Svcs Dallas § § 1,125 5-200 10-1,000 88.541
53 91 Reza Zafari Merrill Lynch Los Angeles § § 10,000 50-100 100 88.401
54 90 Richard Jones Merrill Lynch Los Angeles § § 10,000 50-100 100 88.401
55 57 Richard Petit Morgan Stanley Menlo Park, Calif. § § § 5,000 25-100 50 88.152
56 47 Joseph Montgomery Wachovia Securities Williamsburg, Va. § § § § § § 15,749 3-12 5-30 87.501
57 N Brian Strachan Citi Family Office Boston § § 1,950 13-20 10 87.374
58 N Joseph Evelo Merrill Lynch Cincinnati § § 1,940 10 25 87.284
59 53 John Cooke Wachovia Securities Indianapolis § § § § § 1,275 1-15 2-40 87.197
60 67 Mark Donohue RBC Wealth Mgt New York § § § § 800 1-5 5-10 87.114
61 70 Harry M. Ford Jr. Smith Barney Baltimore § § § 680 0.5-3 1-5 87.031
62 N Dean Trindle Merrill Lynch Cincinnati § § § 625 1-5 3-10 86.950
63 83 Howard Lorch Wachovia Securities Houston § § § 1,250 1-5 5-10 86.850
64 89 Susan Kaplan Kaplan Financial Svcs Newton, Mass. § § § 825 3.5 10 86.769
65 65 Alan Whitman Morgan Stanley Pasadena, Calif. § § § § 1,342 1-10 3-25+ 86.667
66 N Kenneth Moffet Morgan Stanley Houston § 2,400 50 100-500 86.571
67 79 David Ellis UBS Financial Svcs Cincinnati § § § § 1,280 2-20 10 86.485
68 N Donald Irwin IV JPMorgan Private Bank Washington § § § 6,800 30 50+ 86.203
69 N Michael Sawyer Citi Family Office New York § § § 1,783 25-50 50-100 86.085
70 58 Mark Pollard Merrill Lynch Plainsboro, N.J. § § 2,100 2.6 5-30 85.957
71 N Barry Snyder Deustche Bank Alex. Brown Palm Beach § § § 2,500 20 15 85.884
72 86 Peter Rukeyser Morgan Stanley New York § § § 2,700 25-100 75+ 85.859
73 85 Alexander Williams Morgan Stanley New York § § § 2,700 25-100 75+ 85.762
74 N Kurt Sylvia Wachovia Securities Palm Beach § § § 1,350 2-6 10 85.661
75 68 John Barrett Merrill Lynch New York § § § § 3,400 10+ 50 85.485
76 97 Kevin Myeroff NCA Financial Planners Cleveland § § § § 2,650 1-5 3-10 85.325
77 46 John Kulhavi Merrill Lynch Farmington Hills, Mich. § § § § 950 5-15+ 15-50+ 85.243
78 81 Dan Osborne Banc of America Invst Svcs San Francisco § § § § 2,520 15 20 85.101
79 69 Nick Bapis Morgan Stanley Salt Lake City § § § 1,500 5 10 85.029
80 63 Christopher Aitken Smith Barney Lutherville, Md. § § § § § 5,500 10-1,000 10-1,000 84.810
81 59 Ami Forte Morgan Stanley Palm Harbor, Fla. § § § § 1,020 5-10 30-700 84.726
82 N Eric Yamin Morgan Stanley New York § § § 4,200 25 50 84.595
83 N Robert Dunn Morgan Stanley New York § § § 4,200 25 50 84.464
84 77 Lori Van Dusen Citi Institutional Consulting Rochester, N.Y. § § § § 5,000 25 35 84.269
85 N Nathan Bachrach Financial Network Group Cincinnati § § § § 1,035 0.5 0.75-3 84.185
86 56 Gregory Kern Banc of America Invst Svcs San Francisco § § § 2,650 15 25 84.037
87 74 Jonathan Harris Morgan Stanley San Francisco § § § 2,400 10-30 20-100 83.930
88 95 George Dunn Smith Barney Washington § § § § § 4,500 25-500+ 25-500+ 83.627
89 72 Rick Davidson Credit Suisse New York § § § § § 730 5 8 83.553
90 N Van M. Pearcy Van Pearcy’s Wealth Svcs Tm Midland, Texas § § § § 720 0.9-2+ 2-10+ 83.479
91 66 Thomas Lips UBS Financial Svcs Hartford, Conn. § § § § § 1,050 5 10 83.431
92 80 Gregory Hurlbrink Citi Family Office Baltimore § § § 843 5+ 15 83.352
93 64 Bruce Lee Credit Suisse Chicago § § § § 1,470 60 50-400 83.249
94 100 Robert Scherer Citi Institutional Consulting Washington § § § § § 4,300 15-500 25-250 83.110
95 93 Michael Klein Robert W. Baird Milwaukee § § § § § 6,300 22 30 82.927
96 96 John Olson Merrill Lynch New York § § § 1,876 2-30 5-50 82.810
97 N Nestor Vicknair Merrill Lynch Houston § § § § § 1,310 1-5 5-15 82.729
98 87 Chris Baldwin Credit Suisse Chicago § § § 1,820 15-35 20-200 82.644
99 N Kevin Knobloch JPMorgan Private Bank Baton Rouge, La. § § § § 1,317 7 4-7 82.643
100 N Jeffrey Gerson Citi Family Office New York § § § § 2,000 10 15 82.640
For more information on the Winner’s Circle and the ranking methodology, go to: www.Wcorg.com Source: The Winner’s Circle
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