Page 84 - Forbes - USA (February 2018)

PATTI BRENNAN
KEY FINANCIAL
WEST CHESTER, PENNSYLVANIA
AUM: $568 MILLION
Brennan, 57, attributes her 99% retention rate to her willingness to go
“above and beyond.” After a client had a heart attack, Brennan, a former
intensive-care nurse, went to her client’s home and learned the details
of caring for her wheelchair-bound diabetic husband, in case another
emergency arose. In terms of investing, Brennan is placing assets in
sectors that have lagged. That means less tech and health care and heavier
weightings in sectors like energy and industrials.

MISSISSIPPI 2 Deborah Danielson 14 Patricia Bell 3 Lyon Polk 6 Chris Davis 14 Kenneth Wise
1 Mike Dowell Danielson Financial Group Merrill Lynch Wealth Mgmt Morgan Stanley Private Wells Fargo Advisors UBS Financial Services
Morgan Stanley Wealth Las Vegas Short Hills Wealth Mgmt Davidson Sylvania
Mgmt $416M $586M $5.6B $615M $1.5B
7 Manish Mehta
15 Joe Chornyak
4 Shelley Bergman
3 Geoff Lee
15 James Maltese
MICHAEL POPPO Jackson Ameriprise Financial Merrill Lynch Wealth Mgmt Morgan Stanley Wealth UBS Financial Services Chornyak & Associates
$1.1B
UBS FINANCIAL SERVICES 2 Arthur Finkelberg Henderson Iselin Mgmt Chapel Hill Columbus
NEW YORK CITY Raymond James $318M $1.5B $2.2B $456M $985M
AUM: $1.3 BILLION Ridgeland 4 Andy Ferguson 16 Rick Udine 5 Richard Saperstein 8 Kelly Graves 16 Tim Cornell
$456M Merrill Lynch Wealth Mgmt Morgan Stanley Wealth HighTower Advisors Carroll Financial UBS Financial Services
Poppo, 53, is an old-school 3 Dudley Barnes Las Vegas Mgmt $7.7B Associates Dayton
Barnes Pettey/Raymond $548M Mount Laurel 6 Martin Halbfinger Charlotte $1.2B
stockbroker who cut his James 5 Jim Small $844M UBS Financial Services $571M 17 Jeffrey Stewart
Clarksdale UBS Financial Services 17 David Finkel $1.6B 9 Thorne James Morgan Stanley Wealth
teeth calling clients and $400M Las Vegas Merrill Lynch Wealth Mgmt 7 Paul Tramontano Merrill Lynch Wealth Mgmt Mgmt
$310M
poring over research for 4 Lynn Phillips-Gaines NEW HAMPSHIRE Egg Harbor Township First Republic Investment Raleigh Dublin
$443M
Mgmt
$802M
$614M
Phillips Financial/
18 L. Marc Shegoski
$5.7B
18 Carina Diamond
10 Lee Morris
great stocks to pitch in the Raymond James 1 Sean Doyle UBS Financial Services 8 Gregg Fisher Graystone Consulting SS&G Wealth Mgmt
Starkville
Akron
1980s. Those days are gone. $162M Merrill Lynch Wealth Mgmt Princeton Gerstein Fisher Raleigh $470M
Manchester
$1.6B
$3B
$2.1B
His fee-based practice is MISSOURI $384M 19 Francis Bitterly 9 Michael Poppo NORTH DAKOTA 19 Brian Albach
1 Bud King 2 Bob Bonfiglio Morgan Stanley Wealth UBS Financial Services Morgan Stanley Wealth
more about holistic wealth UBS Financial Services Ameriprise Financial Mgmt $1.3B 1 Loren Melvie Mgmt
St. Louis Bedford Red Bank 10 Jordan Waxman Ameriprise Financial Cincinnati
management, but he still $990M $279M $398M HighTower Advisors Bismarck $819M
$1.4B
20 Owen McBride
3 John Habig
$1.7B
2 Mike Moeller
can’t resist a bargain. “I Wells Fargo Advisors Morgan Stanley Wealth 20 Christine McGinley 11 Jason Katz 2 Joel Bird UBS Financial Services
UBS Financial Services
Mgmt
put money where other Chesterfield Portsmouth Mount Laurel UBS Financial Services Ameriprise Financial Cleveland
Bismarck
$613M
$1B
$1.2B
$2.2B
people are not,” Poppo says. 3 Seth Murray $456M NEW MEXICO 12 Ron Basu $1.4B OKLAHOMA
Ameriprise Financial NEW JERSEY Morgan Stanley Private OHIO
“MLPs that are yielding 6% Springfield 1 Nathan Armstrong Wealth Mgmt 1 Matt Monger
$1.5B 1 Frank Seminara Merrill Lynch Wealth Mgmt $3B 1 David Singer Merrill Lynch Wealth Mgmt
to 10% are attractive as oil 4 Gordon Hamilton III Morgan Stanley Private Albuquerque 13 Thomas Keegan Merrill Lynch—Private Tulsa
Morgan Stanley Wealth Wealth Mgmt $421M Merrill Lynch—Private Banking & Investment $751M
goes up.” Mgmt Florham Park 2 Michael Stevens Banking & Investment Group 2 Jeff Blumenthal
Kansas City $965M Merrill Lynch Wealth Mgmt Group Cincinnati Wells Fargo Advisors
$1B 2 Dan Schwartz Albuquerque $14.2B $2.5B Oklahoma City
5 Diane Compardo UBS Financial Services $522M 14 John Olson 2 David Ellis III $943M
5 Dana Locniskar 15 Marie Vanerian Moneta Group Investment Paramus 3 Brian Cochran Merrill Lynch Wealth Mgmt UBS Financial Services 3 Don Jackson
Merrill Lynch—Private Merrill Lynch Wealth Mgmt Advisors $1.3B John Moore & Associates/ $2.1B Cincinnati UBS Financial Services
Banking & Investment Troy Clayton 3 Joseph Matina Raymond James 15 Ed Moldaver $1.4B Tulsa
Group $1.1B $940M UBS Financial Services Albuquerque Stifel 3 Randy Carver $334M
Troy 16 Brian Brice 6 Robert Millner Short Hills $475M $2.4B Carver Financial Services/ 4 Donald Lehman
$1.8B Graystone Consulting Morgan Stanley Wealth $955M 16 Richard Pluta Raymond James Merrill Lynch Wealth Mgmt
6 Leo Stevenson Birmingham Mgmt 4 Elliott Kugel NEW YORK Merrill Lynch Wealth Mgmt Mentor Tulsa
Merrill Lynch Wealth Mgmt $3.4B St. Louis Merrill Lynch Wealth Mgmt 1 Rob Clarfeld $862M $1.1B $1.7B
Wyandotte 17 Timothy Brice $686M Bridgewater Clarfeld Financial Advisors 17 Gerard Klingman 4 Kevin Myeroff
$648M Graystone Consulting $1.3B Tarrytown Klingman & Associates/ NCA Financial Planners OREGON
7 Abe Post Birmingham MONTANA 5 Mark Cortazzo $6.1B Raymond James Cleveland 1 Judith McGee
Merrill Lynch Wealth Mgmt $3.4B 1 James Stack Macro Consulting Group 2 Kevin Peters $1.5B $1.1B McGee Wealth Mgmt/
Troy 18 Eric Furlotte Stack Financial Mgmt Parsippany Morgan Stanley Wealth 5 Rip Hale Raymond James
18 Jeffrey Kobernick
$766M Ameriprise Financial Whitefish $401M Mgmt UBS Financial Services Morgan Stanley Wealth Portland
8 Sherri Stephens Farmington Hills $1.2B 6 Christopher Cook Purchase $3B Mgmt $514M
Stephens Wealth Mgmt $636M 2 John Hedge Merrill Lynch Wealth Mgmt $1.1B Beavercreek 2 Douglas Greenberg
19 Rob Sechan
Group/Raymond James 19 David Brazen Merrill Lynch Wealth Mgmt Florham Park 3 Thomas Sullivan UBS Financial Services $1.4B Morgan Stanley Wealth
Flint Ameriprise Financial Billings $1.9B Merrill Lynch Wealth Mgmt 6 Dean Trindle Mgmt
$477M Troy $990M 7 Mary Deatherage Garden City $3B Morgan Stanley Wealth Portland
9 Todd Sanford $636M 3 Andrew Laszlo Jr. Morgan Stanley Private $2.3B 20 Noel Weil Mgmt $540M
Sanford Financial 20 Charles Nemes Morgan Stanley Wealth Wealth Mgmt 4 Lori Van Dusen Merrill Lynch—Private Cincinnati 3 Rebecca DeCesaro
Services/Raymond James Nemes Rush Private Mgmt Little Falls LVW Advisors Banking & Investment $352M First Republic Investment
Group
Portage Wealth Mgmt of Raymond Billings $2B Pittsford $10.5B 7 Dan Roe Mgmt
$740M James $1.1B 8 David Weinerman $2.2B Budros, Ruhlin & Roe Portland
10 Frank Moore Novi Morgan Stanley Wealth 5 Frank Marzano NORTH CAROLINA Columbus $1.1B
Vintage Financial $530M NEBRASKA Mgmt GM Advisory Group $2B 4 Jeffrey Yandle
1 Larry Carroll
Services/Raymond James 1 Ron Carson Florham Park Melville Carroll Financial 8 Paul Carbetta First Republic Investment
Ann Arbor MINNESOTA Carson Wealth Mgmt $2.6B $729M Ameriprise Financial Mgmt
$516M 1 Christina Boyd Group 9 Michael Ricca 6 Daniel O’Connell Associates Worthington Portland
Charlotte
11 Melissa Spickler Merrill Lynch Wealth Mgmt Omaha Morgan Stanley Wealth Merrill Lynch Wealth Mgmt $692M $1.1B $1.1B
Merrill Lynch Wealth Mgmt Wayzata $8.5B Mgmt Garden City 2 Bill Oliver 9 Stephen Fish 5 Clarke Leaverton
Bloomfield Hills $1.2B 2 Jonathan Beukelman Florham Park $1.2B UBS Financial Services First Republic Investment
$1B 2 Ben Marks UBS Financial Services $2.6B 7 Robert Cohen Wells Fargo Advisors Cincinnati Mgmt
Charlotte
12 Jim Kruzan Marks Group Wealth Mgmt Lincoln 10 Bruce Pomerantz UBS Financial Services $1.1B $764M Portland
Kaydan Wealth Mgmt/ Minnetonka $1.1B Wells Fargo Advisors Garden City 3 Mitchell Wickham 10 Sid Jones $479M
Raymond James $683M 3 Jason Dworak Short Hills $600M Merrill Lynch Wealth Mgmt
Merrill Lynch—Private
Fenton 3 Brad Wheelock UBS Financial Services $1.5B 8 Erna Morgan Banking & Investment Canfield PENNSYLVANIA
$300M RBC Wealth Mgmt Lincoln 11 Jim McLaughlin McReynolds Group $1B 1 Saly Glassman
13 Frank Migliazzo Saint Cloud $648M Princeton Wealth Advisors Morgan Stanley Wealth Charlotte 11 Linnell Sullivan Merrill Lynch Wealth Mgmt
Merrill Lynch—Private $1B 4 Andrew Robinson of Raymond James Mgmt $7.5B Merrill Lynch Wealth Mgmt Blue Bell
Banking & Investment 4 Judy Fredrickson Morgan Stanley Wealth Princeton Oneonta 4 Gary Gaulden Cincinnati $4.8B
Group UBS Financial Services Mgmt $1.4B $881M Ameriprise Financial $1.2B 2 John Waldron
Troy Minneapolis Omaha 12 Andy Schwartz Durham 12 Daniel Torbeck Waldron Private Wealth
$1.1B $1.3B $1.2B Bleakley Financial Group NEW YORK CITY UBS Financial Services Bridgeville
14 Kevin VanDyke 5 Bryan Sweet Fairfield 1 Christopher Errico $436M Cincinnati $1.4B
5 John McCardell
Bloomfield Hills Financial Sweet Financial Services/ NEVADA $681M UBS Financial Services Merrill Lynch Wealth Mgmt $1.7B 3 Peter Rohr
Bloomfield Hills Raymond James 1 Randy Garcia 13 Mark Fendrick $2B Charlotte 13 Craig Findley Merrill Lynch—Private
$746M Fairmont The Investment Counsel UBS Financial Services 2 Brian C. Pfeifler $2.7B UBS Financial Services Banking & Investment
$386M Co. Mount Laurel Morgan Stanley Private Sylvania Group
Las Vegas $690M Wealth Mgmt $1.5B Philadelphia
$944M $4B $3.9B