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Welcome to our blog series, 'Private Wealth Groups to Watch: 10 Leading Advisory Teams in the Northeast'. In this first installment of four, FINTRX spotlights ten prestigious advisors from private wealth advisory teams across the Northeast region of the United States. Embark on an enlightening exploration as we delve into the distinctive strategies and subtle complexities that distinguish these top-tier financial experts within their local markets.
Before we delve into the series, it's crucial to establish a clear framework for what qualifies a representative or group as a 'top advisor' in the RIA landscape. While assets under management (AUM) and client size are factors we consider, our evaluation extends beyond size or market share. We employ criteria that include influence, innovation, market impact and expertise to make a well-rounded determination.
Susan Kaplan
Kaplan Financial
Title: President
Firm: Kaplan Financial (within LPL Financial LLC)
Location: Newton, MA
Est. Group AUM: $2.3B
Massachusetts AUM Rank: 26th
Industry Tenure: 32+ Years
LinkedIn | SEC
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Susan Kaplan, President of Kaplan Financial within LPL Financial LLC since 1991, is a distinguished finance professional with over 30 years of experience. Kaplan Financial Services, founded by Kaplan and Ann DeCaprio in 1993, specializes in personalized financial planning to build and protect wealth. The firm emphasizes clear communication and proven strategies to simplify wealth management. Susan holds multiple licenses, including Series 63, 6, 65, 2, 7, and SIE, and is registered as an RIA and broker dealer across several states including Massachusetts and Pennsylvania. Susan's exceptional service has earned her recognition as one of Barron's Top 100 Financial Advisors in 2020, Forbes' Top 250 Wealth Advisors in 2021 and acknowledgment by both Barron's and Forbes as one of the Top Women Financial Advisors and Best-In-State Wealth Advisors in 2023.
Kaplan Financial Services, a Newton, MA-based private wealth group under LPL Financial, is dedicated to comprehensive financial planning with a highly personal approach. Serving a diverse client base, from prominent Boston business leaders to millions of listeners influenced by Kaplan, the firm offers a full range of services including asset management, retirement planning, estate planning, risk analysis, tax planning, generational wealth planning and business planning. Alongside Kaplan and DeCaprio, the team is led by advisors Lawrence Kaplan and Jamie Freidhof.
Carl Cafaro
The Cafaro Group
Title: Founder; Managing Director; Private Wealth Advisor
Firm: The Cafaro Group at Merrill Lynch
Location: Newton, MA
Est. Group AUM: $4.8B
Massachusetts AUM Rank: 9th
Industry Tenure: 23+ Years
LinkedIn | SEC
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Carl Cafaro, Founder and Managing Director of The Cafaro Group at Merrill Lynch, has over 23 years of experience in the financial services industry. Leading a team of 25 professionals, Carl delivers a superior client experience through a client-centric wealth management process tailored to high-net-worth families and individuals. Carl and his team offer services including wealth transfer strategies, retirement income planning, business succession planning, trust services and portfolio investment management. He also actively contributes to his community, serving on the Board of Trustees for Assumption University, the Board of Directors for the Catalina Film Festival and the advisory board at Engaging Minds.
The Cafaro Group, part of Merrill Lynch Wealth Management and based in Newton, Massachusetts, prioritizes the investor over the market, focusing on understanding each client's unique goals, priorities and risk tolerance to recommend tailored financial strategies. Committed to helping clients navigate significant financial decisions, the team provides advice on possibilities, fees and risks. Their use of Merrill Lynch's Investment Personality Assessment ensures customized approaches that align with individual goals. Serving individuals, families and small businesses, The Cafaro Group helps clients achieve financial success by aligning investment decisions with personally meaningful goals.
Ramzi Nuwayhid
The Nuwayhid Group
Title: Managing Director
Firm: The Nuwayhid Group at Merrill Private Wealth Management
Location: Boston, MA
Est. Group AUM: $3B
Massachusetts AUM Rank: 48th
Industry Tenure: 30+ Years
LinkedIn | SEC
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Ramzi Nuwayhid is the Managing Director of The Nuwayhid Group, a private wealth advisory team within Merrill Private Wealth Management, a subsidiary of Merrill Lynch. Since 1994, he has provided financial strategies for ultra-high-net-worth families, specializing in advising officers and directors of publicly traded companies. Ramzi and his team use a three-pillar approach to wealth management, integrating goals-based planning, investment management, and banking services. His accolades include being named to the Forbes "Best-in-State Wealth Advisors" list in 2018 and 2019, the Financial Times "Top 400 Financial Advisors" list in 2019, and recognition as one of America's Top 1,200 financial advisors in 2019. Leading the Nuwayhid Group in Boston, Ramzi offers elite, customized financial solutions to corporate executives, business owners, and entrepreneurs, including asset management, concentrated stock management, estate and trust services, and banking and lending services from Bank of America. He is also deeply involved in his community, serving on the board of directors for St. Jude Children's Research Hospital and holding multiple committee roles.
The Nuwayhid Group, based in Boston, MA, specializes in delivering highly personalized, boutique-style services and goals-based wealth management strategies for individuals and families. By fostering lasting relationships with a select group of clients, the team collaborates with specialists to develop customized strategies that reflect their clients' aspirations. The group serves a diverse clientele including corporate executives, company founders, business owners, entrepreneurs, foundations, endowments and intergenerational families, offering expertise in executive finance, business succession planning, investment management and family wealth education.
Peter Princi
The Princi Group of Morgan Stanley
Title: Managing Director
Firm: The Princi Group of Morgan Stanley
Location: Boston, MA
Est. Group AUM: $7.2B
Massachusetts AUM Rank: 5th
Industry Tenure: 24+ Years
LinkedIn | SEC
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Peter Princi is a Managing Director at Morgan Stanley and the founder of The Princi Group, a private wealth team managing over $7 billion in assets for high-net-worth and ultra-high-net-worth individuals, families, foundations, endowments and trusts. With over 24 years of industry experience and a Certified Investment Management Analyst (CIMA®) designation from Wharton, Peter specializes in investment research, security and manager selection, asset allocation and portfolio construction. As the lead advisor, Peter oversees The Princi Group's 11 professionals, providing wealth management and institutional consulting services tailored to each client's goals, risk parameters and time frames. His expertise in understanding capital markets and constructing tactical portfolios has earned him recognition including being named to Barron's "Top 1200 Financial Advisors" and "Top 100 Financial Advisors" in 2020, as well as Forbes' "Best in State Wealth Advisors," Registered Rep's "Top 40 Wirehouse Financial Advisors Under 40," and numerous others.
The Princi Group Wealth Management, a boutique firm under Morgan Stanley based in Boston, Massachusetts, offers customized wealth management solutions backed by extensive resources. They focus on providing experienced financial planning services, tailored to clients' life and legacy goals, considering factors like family situation, career aspirations, education expenses, and retirement plans. Their range of services includes business succession planning, endowments and foundation management, and cash management solutions, providing comprehensive support to meet the diverse financial needs of their clients.
Jonathan Kuttin
Kuttin Wealth Management
Title: Chief Executive Officer
Firm: Kuttin Wealth Management of Ameriprise Financial Services, LLC
Location: Hauppauge, NY
Est. Group AUM: $5.7B
New York AUM Rank: 43rd
Industry Tenure: 29+ Years
LinkedIn | SEC
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Jonathan Kuttin is the Chief Executive Officer of Kuttin Wealth Management, a private wealth advisory practice of Ameriprise Financial Services, LLC. With nearly 30 years of industry experience, Jonathan specializes in retirement planning, wealth preservation, retirement income strategies, investments, estate planning, charitable giving, insurance and tax planning. He holds several qualifications, including CRPC®, AAMS®, AWMA®, CMFC®, and CRPS®. He has received numerous accolades, including being named in Barron's Top 100 Financial Advisors, Top 100 Independent Financial Advisors, Forbes Best-in-State Wealth Advisors, the Financial Times 400 Top Financial Advisers, and Barron's Hall of Fame Advisor. Outside of work, Jonathan is actively involved in various charitable organizations such as Island Harvest, The Inn, Long Island Alzheimer Foundation and Wounded Warrior Project.
Kuttin Wealth Management, a branch of Ameriprise Financial Services, LLC, is a private wealth group based in Hauppauge, New York, that offers bespoke financial advice to help clients achieve their goals. Specializing in strategies for retirement, tax planning, wealth preservation, income, small business, and estate planning, the group delivers personalized recommendations tailored to individual goals and risk tolerance. Their comprehensive range of services includes cash management, insurance, annuities, and investment advisory solutions, all provided with transparent fees and a clear understanding of the services offered.
Scott Stackman
The Stackman | Casriel Group
Title: Managing Director
Firm: The Stackman | Casriel Group at UBS Financial Services Inc.
Location: New York, NY
Est. Group AUM: $8.8B
New York AUM Rank: 32nd
Industry Tenure: 23+ Years
LinkedIn | SEC
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Scott Stackman is the Managing Director at The Stackman | Casriel Group, a part of UBS Financial Services Inc. With over 20 years of industry experience since starting at Lehman Brothers Inc. in 2000 and joining UBS in 2008, Scott is dedicated to delivering wealth management services, personalized financial advice and tailored solutions to high-net-worth individuals and families. Renowned for his commitment to understanding clients' unique circumstances and integrating all aspects of their financial lives, Scott has been recognized on Forbes' Best-In-State Wealth Advisors list in 2019 and 2020, Barron's Top 100 Financial Advisors list multiple times and was ranked in Barron's "Top 50 Private Wealth Advisory Teams" in 2019.
The Stackman | Casriel Group, part of UBS Financial Services Inc., has been advising ultra-wealthy families for over 20 years, focusing on the balance between wealth creation and preservation. They emphasize the importance of intelligent planning and diversification for long-term success. Leveraging the resources of the largest wealth management firm globally, they provide exceptional access and introductions to further clients' endeavors. Their services include transparent investment management for family offices, liquidity event strategies for business owners, and guidance for corporate executives through complex transitions.
Mary Mullin
Mullin & Associates
Title: Managing Director; Wealth Management Advisor
Firm: Mullin & Associates at Merrill Lynch, Pierce, Fenner & Smith Inc.
Location: Boston, MA
Est. Group AUM: $1.4B
Massachusetts AUM Rank: 42nd
Industry Tenure: 41+ Years
LinkedIn | SEC
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Mary Mullin, Managing Director and Wealth Management Advisor at Mullin & Associates at Merrill Lynch, Pierce, Fenner & Smith Inc., is renowned for her exceptional service and personalized client care. As a Certified Financial Planner holding prestigious designations including CIMA®, CPWA®, CRPC®, and CSRIC™, Mary has been recognized on Barron's Top 100 Women Financial Advisors list for 12 consecutive years and Forbes' Best-in-State Wealth Advisors list multiple times. She is also deeply involved in her community, contributing to Our Lady of Fatima parish, the Lincoln Sudbury Scholarship Fund committee, and as a writer for MetroWest Daily News, Boston.com, and the Wall Street Journal.
Mullin & Associates, a goals-based wealth management team under Merrill Lynch, Pierce, Fenner & Smith Inc., specializes in serving ultra-high-net-worth families, business owners, family offices, foundations and endowments. Established in 1981, the team provides customized strategies by deeply understanding clients' values, needs and goals. With over 100 years of combined experience, they offer expertise in investment management, cash flow strategies, liability management, retirement planning, estate planning, and more. The team also provides access to banking services through Bank of America.
Ira Walker
Walker Wealth Management
Title: Managing Director
Firm: Walker Wealth Management at UBS Private Wealth Management
Location: Red Bank, NJ
Est. Group AUM: $1.0B
New Jersey AUM Rank: 82nd
Industry Tenure: 38+ Years
LinkedIn | SEC
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Ira Walker, Managing Director at Walker Wealth Management, a multi-family office within UBS Private Wealth Management, has nearly four decades of industry experience, including roles at Morgan Stanley and Shearson Lehman Brothers. Ira serves ultra-high-net-worth clients from UBS Headquarters in New York and Red Bank, NJ, within a boutique multi-family office environment. Ira is nationally recognized as a top-ranking Financial Advisor, inducted into Research magazine's Advisor Hall of Fame in 2008. He has been rated as a Top Advisor by Forbes and the Financial Times, featured in industry publications, and is a market commentator on Fox Business News. Ira is a longtime member of UBS's prestigious Pinnacle Council and actively contributes to his local community.
Walker Wealth Management, a distinguished boutique multi-family office within UBS Private Wealth Management, operates in New York, NY, and Red Bank, NJ. The team caters to ultra-high-net-worth clients, offering a family office environment with comprehensive services for managing family affairs. Their flexible investment platform provides various services, including investment management, accountancy, estate and philanthropic planning, family governance, concierge services, and wealth transfer planning. By leveraging the global resources of UBS, Walker Wealth Management delivers personalized portfolio management, prudent asset allocation, and continuous monitoring to ensure clients' investments are aligned with their financial goals.
Debra Brede
D.K. Brede Investment Management Company
Title: Founder; Principal & Senior Wealth Advisor
Firm: D.K. Brede Investment Management Company, a Colony Group Company
Location: Wellesley, MA
Est. Group AUM: $1.2B
Massachusetts AUM Rank: 74th
Industry Tenure: 39+ Years
LinkedIn | SEC
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Debra Brede, a renowned Wealth Advisor, Financial Planner, Speaker, Forbes Books Author and Philanthropist, brings nearly four decades of industry experience to her clientele. In 1990, she founded her independent practice, D.K. Brede Investment Management Company, which became part of GW & Wade, LLC, in December 2020, and as of March 2024, has joined the Colony Group. Debra and her team deliver investment management services to high-net-worth individuals, corporations, retirement plans, charitable trusts and municipalities. Recognized as a top wealth advisor by Barron's and Forbes, and featured on CNBC, Fox Business News, the Wall Street Journal, and the New York Times, Debra is also deeply committed to her community. She serves as a trustee of Agape Aids Orphan Care, on the Executive Board of Directors for Boston Rescue Mission, the Board of Trustees for Newton-Wellesley Hospital, and has received numerous awards for her philanthropic work and contributions to the financial industry.
D.K. Brede Investment Management Company is a boutique wealth management firm that specializes in serving high-net-worth individuals, families, and institutions, offering tailored wealth management strategies to meet their financial goals. The eight-person team integrates investment management, retirement planning, tax strategies and estate planning to create holistic financial solutions.
Brian Pelkey
The Pelkey Dannies Group
Title: Managing Director
Firm: The Pelkey Dannies Group at Morgan Stanley
Location(s): Colchester, VT | Private Residence
Est. Group AUM: $1.7B
Vermont AUM Rank: 1st
Industry Tenure: 40+ Years
Brian Pelkey, Managing Director of The Pelkey Dannies Group at Morgan Stanley's Wealth Management division, brings over four decades of experience in the financial services industry. He is dedicated to helping clients achieve their financial goals through practical planning and strategic investing. Brian specializes in working with high-net-worth individuals, endowments, and foundations, offering comprehensive financial advice. Recognized for his expertise, Brian has been a member of Morgan Stanley's President's, Chairman's, or Master's Council for over 20 years. His accolades include being named one of Barron's Top 1,200 Financial Advisors in Vermont for over ten consecutive years and being listed in Forbes' Best-In-State Wealth Advisors from 2018 to 2023.
The Pelkey Dannies Group, a multigenerational team of six seasoned advisors within Morgan Stanley's private wealth management division, delivers tailored financial advice to sophisticated individual and institutional clients. Renowned for their personalized client service, the group crafts strategies that address each client's unique challenges and priorities. They offer a comprehensive suite of services, including portfolio management, financial planning, cash management, retirement planning, and estate planning strategies. By leveraging Morgan Stanley's global network, The Pelkey Dannies Group provides access to alternative investments and emphasizes sustainable investing and philanthropic management, aligning clients' investments with their values and goals.
Disclaimer: This report and accompanying information have been derived using FINTRX-proprietary data. All information contained within is accurate to the best of our knowledge, including--but not limited to--job titles, education history, wealth creators, wealth origins etc. This report and its data are not intended for reproduction and should not be used as official investment advice. FINTRX does not have affiliation with any persons or entities included in this report. Any use of this report or its contents is at the sole discretion and responsibility of the user. FINTRX shall not be held liable for any errors or omissions in the information provided.
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