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. 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. The list is drawn solely from a set of quantitative variables and information in the survey supplied by the advisers themselves. Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Source: REP. magazine, October 2015. 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 because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. This ranking is not indicative of the Financial Advisors future performance. Source: Maryland Daily Record, "Top 100 Women",1998, 2004 and 2007. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one clients experience. Barrons is a registered trademark of Dow Jones & Company, L.P. All rights reserved. Investment performance is not a criterion. Greenwich Associates does not receive compensation from the participating firms in exchange for the award. 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. An Up Capture Ratio of greater than 100% indicates a fund outperformed the relative benchmark in the benchmarks positive quarters. This ranking was determined based on an evaluation process conducted by Barron's during the period from Dec 2015 - Dec 2016. 2023 Forbes Americas Top Wealth Advisors & Best-In-State Wealth Advisors. 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. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. It provides a measure of the historical consistency of the funds over performance or underperformance relative to its benchmark. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. 2018 Financial Times 401 Top Retirement Advisors. 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 is not 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. 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. Barron's Top Women Advisors Summit Attendees 2017-2019. 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. Neither the Financial Advisor nor Morgan Stanley Wealth Management pays a fee to REP. magazine in exchange for the ranking. Barrons is a registered trademark of Dow Jones & Company, L.P. All rights reserved. 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 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. A sub-segment of the questions was used to determine eligibility for the Top 100. Source: Forbes.com (Feb 2017) 2017 Forbes America's Top Women Wealth Advisors ranking awarded in 2017. 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. Not all managers in a sub-style will display every trait consistent with that sub-style. 2013 Barron's Top 100 Women Financial Advisors. 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. Investment performance is not a criterion. This ranking is not indicative of the Financial Advisors future performance. 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 Program is structured to ensure a comprehensive and objective evaluation of financial advisory practices. 2019 Financial Times 400 Top Financial Advisors. 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. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one clients experience. 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: 2014 NAPA's Top Retirement Plan Advisors Under 40 (Young Guns). 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. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors pay a fee to ASPPA in exchange for the award. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. For more information, see www.SHOOKresearch.com. Utilizing a consultative approach, Harry works closely with his clients to design and implement strategies that build, preserve and ultimately transfer his clients wealth. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. Source: Baltimore Jewish Times, Up-and-Coming Young Professionals, March 2009. For more information, see www.SHOOKresearch.com. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors pay a fee to The Winners Circle in exchange for the rating. Composite portfolio of equity (stock market) total returns for countries of Europe, Australia, New Zealand and the Far East. 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 was determined based on an evaluation process conducted by Barron's during the period from Sept 2021 - Sept 2022. 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 9/30/16 - 9/30/17. Barrons is a registered trademark of Dow Jones & Company, L.P. All rights reserved. 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. Source: Barron's.com (June 2021) 2021 Barron's Top 100 Women Financial Advisors ranking awarded in 2021. 2013 Financial Times 400 Top Financial Advisors. Investment performance is not a criterion. 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. 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 is not indicative of the Financial Advisors future performance. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. This award was issued in 2022 and based on the evaluation process below. Source: ft.com (May 2015) 2015 Financial Times 401 Top Retirement Advisors awarded in 2015. Source: Forbes.com (April 2022) 2022 Forbes Best-In- State Wealth Advisors rankings awarded in 2022. 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. All investing entails risks that investors should endeavor to understand before then invest. Nominees must be retirement plan advisors with their own book of business and less than 40 years of age. Financial Plannings Top 40 Under 40 2022. 2017 Barron's Top 100 Women Financial Advisors. Understanding the unique financial challenges of athletes and entertainers and how they differ from one profession to the next, we deliver the experience and resources you need to help create and implement a comprehensive, multigenerational wealth management plan based on your needs, values and aspirations. The rating may not be representative of any one clients experience because it reflects a sample of all of the experiences of the Financial Advisors clients. For more information, see www.SHOOKresearch.com. This ranking is not indicative of the Financial Advisors future performance. As such, the award is not representative of any clients experience nor is it indicative of the Financial Advisors future performance. 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 or Private Wealth Advisors paid a fee to NAPA to obtain or use the ranking. 2019 Barron's Top 50 Private Wealth Advisory Teams. 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. Diversification does not ensure against loss. The award is not indicative of the Financial Advisors future performance. The risk of being unable to invest the proceeds of a fixed income investment upon maturity, or coupon, into other fixed income securities having a comparable interest rate. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. Barclays Capital Intermediate Government/ Corporate Bond Index. Employee Retirement Income Security Act (ERISA). 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. For more information, see www.SHOOKresearch.com. Investment performance is not a criterion. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. For more information, see www.SHOOKresearch.com. Such as Conservative/Traditional/ Aggressive Growth or Discount/Traditional/Relative Value can help explain some differences in investment philosophies, performance, volatility and portfolio characteristics in a quick and concise manner. Barrons is a registered trademark of Dow Jones & Company, L.P. All rights reserved. Barrons is a registered trademark of Dow Jones & Company, L.P. All rights reserved. Explore Morgan Stanley. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. 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 2020. Mark T. Curtis Morgan Stanley Smith Barney Palo Alto, Calif. 15,000 29 Private clients, corporate services, endowments, foundations, retirement plans 2. 2019 Barron's Top 1,200 Financial Advisors: State-by-State. Subset of the Barclays Capital Government/Corporate Bond Index covering issues with maturities up to 10 years. 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. Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. 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. Invests at least 65% of its assets in investment grade issues (rated in top four grades) with dollar-weighted average maturities of 5 to 10 years. Securities Agent: PR, UT, NH, NY, ID, WY, WA, VA, TX, TN, SD, PA, OR, OH, NV, NM, NJ, NC, MO, MI, MD, MA, KY, IL, HI, GA, FL, DE, DC, CT, CO, CA, AZ, MN; General Securities Representative; Investment Advisor Representative. REP. Magazine's Top 40 Wirehouse Advisors Under 40 2013. Source: Coalition Greenwich 2022 U.S. Institutional Investors Study (April 2023). Morgan Stanley Smith Barney LLC is not affiliated with Barron's. Source: Barron's.com (February 2011) Barron's Top 1,000 Financial Advisors: State-by-State ranking awarded in 2011. Small-cap growth funds typically have an above-average price-to-earnings ratio, price-to-book ratio, and 3-year sales-per-share growth value, compared to the S&P Small Cap 600 Index. 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. Barrons is a registered trademark of Dow Jones & Company, L.P. All rights reserved. Covers the mortgage-backed pass through securities of Ginnie Mae (GNMA), Fannie Mae (FNMA), and Freddie Mac (FHLMC). Effective May 15, 2007, Mr. Locicero will report to James Mahon, Head of PWM ' s Central and Western Region. 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. The list is drawn solely from a set of quantitative variables and information in the survey supplied by the advisers themselves. Barrons is a registered trademark of Dow Jones & Company, L.P. All rights reserved. It equals the current stock price of a company multiplied by the total number of outstanding shares. Weighted average of the credit quality ratings on the bonds in the funds portfolio. 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. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. Source: napa-net.org (October 2016) awarded in 2016. Graystone Consulting, a business of Morgan Stanley Smith Barney LLC. A summary of an individuals or institutions investment objectives that serves as a guide for many investment decisions. This ranking is not indicative of the Financial Advisors future performance. As such the award is not representative of any clients experience nor is it indicative of the Financial Advisors future performance. Nominees must be women retirement plan advisors with their own book of business. In addition to study interviews, the award is based on other criteria including assets under management and industry experience. Source: Forbes.com (April 2019) 2019 Forbes America's Top Women Wealth Advisors ranking awarded in 2019. Source: Barron's.com (April 2014) 2014 Barron's Top 100 Financial Advisors awarded in 2014. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. Investment performance is not a criterion. For more information, see www.SHOOKresearch.com. It is based solely from a set of quantitative variables and information from a survey supplied by the advisers themselves. 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. Represents the weighted average of the price/ book ratios of the stocks in a funds portfolio. 2012 Barron's Top 100 Women Financial Advisors. PLANADVISER Top 100 Retirement Plan Advisers 2018. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. Investment performance is not a criterion. Investment performance is not a criterion. For more information, see www.SHOOKresearch.com. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. 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: 2019 Forbes America's Top Wealth Advisors. This ranking is not indicative of the Financial Advisors future performance. Constituents are reviewed on a monthly basis and companies are added or deleted based on a variety of corporate actions, such as mergers, acquisitions, initial public offerings, etc. For more information, see www.SHOOKresearch.com. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Working Mother Magazine (the publisher) during the period from 3/31/16 - 3/31/17. 2011 Barron's Top 1,000 Financial Advisors: State-by-State. Morgan Stanley EAFE Index (Capitalization Weighted). 2016 Financial Times 401 Top Retirement Advisors. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. Measures the performance of those Russell 1000 companies with higher price-to-book ratios and higher forecasted growth values. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one clients experience. 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 was determined based on an evaluation process conducted by Barron's during the period from Dec 2020 - Dec 2021. Nominees must be retirement plan advisors with their own book of business and less than 40 years of age. Investment performance is not a criterion. Barrons is a registered trademark of Dow Jones & Company, L.P. All rights reserved. Top Five Currencies (International Funds Only). 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. Bringing you engaging stories and key insights surrounding the complexities associated with significant wealth, including: When a passion for collecting evolves into something of considerable value, new issues are raised. Source: Barron's.com (March 2020) Barron's Top 1,200 Financial Advisors: State-by-State ranking awarded in 2020. 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. 2023 Forbes Americas Top Wealth Management Teams Source: Forbes.com (November 2023) Forbes Americas Top Wealth Management Teams ranking awarded in 2023. Source: ft.com (Mar 2016) 2016 Financial Times 400 Top Financial Advisors awarded in 2016. Source: napa-net.org (March 2022) awarded in 2022. This exclusive conference is designed to promote best practices and generate new ideas across the industry. 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. Barrons is a registered trademark of Dow Jones & Company, L.P. All rights reserved. Investment performance is not a criterion. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. The rating is not indicative of the Financial Advisors future performance. Source: Forbes.com (Jan 2023) 2023 Forbes Best-In-State Wealth Management Teams ranking awarded in 2023. Investment performance is not a criterion. 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. 2010 Barron's Top 1,000 Financial Advisors: State-by-State. 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. Source: Barron's.com (June 2015) 2015 Barron's Top 100 Women Financial Advisors ranking awarded in 2015. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. 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: 2021 Forbes America's Top Wealth Advisors. The 2019 PLANADVISER Top 100 Retirement Plan Advisers award is compiled from responses to the PLANADVISER Retirement Plan Adviser Survey. Top Five Countries (International Funds Only). The Index is calculated using a baseweighted aggregate methodology, meaning the level of the Index reflects the total market value of all component stocks relative to a particular base period. Source: Barron's.com (April 2019) 2019 Barron's Top 50 Private Wealth Advisory Teams ranking awarded in 2019. This ranking was determined based on an evaluation process conducted by Barron's during the period from Dec 2013 - Dec 2014. 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. Morgan Stanley Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. Diana Britton | Apr 26, 2023 J.P. Garofalo, a Los Angeles-based financial advisor whose six-person team joined First Republic Investment Management in early March, has returned to Morgan. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. 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. 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. Source: Barron's.com (June 2008) 2008 Barron's Top 100 Women Financial Advisors ranking awarded in 2008. Ratio of the funds overall performance to the benchmarks overall performance, considering only periods that are negative in the benchmark. Source: Barron's.com (April 2022) 2022 Barron's Top 100 Financial Advisors awarded in 2022. Investment performance is not a criterion. Source: Barron's.com (June 2022) 2022 Barron's Top 100 Women Financial Advisors ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by the Financial Times during the period from 12/31/14 - 12/31/16. Source: Barron's.com (June 2019) 2019 Barron's Top 100 Women Financial Advisors ranking awarded in 2019. Investment performance is not a criterion. All credentials and designations are verified and nominee compliance records are verified. 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. 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. Nominees must be women retirement plan advisors with their own book of business. 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. 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 figure is then annualized. Research Magazines Top-Ranked Teams in America. 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. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one clients experience. For more information, see www.SHOOKresearch.com. This ranking was determined based on an evaluation process conducted by Barron's during the period from Mar 2016 - Mar 2017.

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