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Welcome to our blog series, 'Private Wealth Groups to Watch: 10 Leading Advisory Teams in the Midwest'. 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. AUM: $2.3B
Massachusetts AUM Rank: 26th
Industry Tenure: 32+ Years
LinkedIn | SEC
View FINTRX Profile >>
Susan Kaplan, President of Kaplan Financial within LPL Financial LLC since 1991, is a distinguished finance professional with over 30 years of experience. Based in Newton, MA, Kaplan Financial Services specializes in personalized financial planning to build and protect wealth. Established in 1993 by Susan Kaplan and Ann DeCaprio, the firm emphasizes clear communication and proven strategies to simplify wealth management. Holding multiple licenses including Series 63, 6, 65, 2, 7, and SIE, Susan is registered as an RIA and broker dealer across several states including Massachusetts and Pennsylvania, among others.
Leading a private wealth team, Susan excels in wealth management, providing tailored financial services and investment advice to help clients meet their financial objectives. Her exceptional service has garnered recognition as one of Barron's Top 100 Financial Advisors in 2020, Forbes' Top 250 Wealth Advisors in 2021, and she has been acknowledged by both Barron's and Forbes as one of the Top Women Financial Advisors and Best-In-State Wealth Advisors in 2023.
Greg Miller
Wellesley Asset Management, Inc.
Title: Founder, Chairman & CEO
Firm: Wellesley Asset Management, Inc.
Location: Wellesley, MA
Est. AUM : $2.5B
Massachusetts AUM Rank: 21st
Industry Tenure: 29+ Years
LinkedIn | SEC
View FINTRX Profile >>
For over 25 years, Greg Miller has served as the Founder, Chairman, and CEO of Wellesley Asset Management, a registered investment advisor headquartered in Wellesley, Massachusetts. Under his leadership, the firm has implemented an absolute return-seeking philosophy that emphasizes principal protection while pursuing investment growth opportunities. With over thirty-five years of investment and financial experience, Greg is a nationally recognized provider of investment advisory services specializing in convertible bonds. He and his team manage approximately $3 billion in convertible bonds for high and ultra-high-net-worth individuals, registered investment advisors, banks, pensions, wirehouses, financial advisors and other investment professionals nationwide.
Greg's expertise in convertibles has earned him recognition from industry peers, including being ranked as a Top 100 Independent Financial Advisor by Barron's for eight consecutive years, ranking #1 in Massachusetts and #2 nationwide on Barron's Top 100 list in 2018, and being named the #1 financial advisor in Massachusetts on Barron's America's Top 1,200 Financial Advisors list for five consecutive years. Forbes has also acknowledged his expertise, naming him a Best-In-State Wealth Advisor in Massachusetts for three consecutive years and including him on their list of America's Top 250 Wealth Advisors. Greg is the author of the Amazon bestselling book, "Outrunning the Bear: How You Can Outperform Stocks and Bonds with Convertibles" and has been featured in prominent investment and financial publications. He holds an MBA with high distinction from Babson College and frequently lectures on absolute return investing with convertible bonds.
Lori Van Dusen
LVW Advisors
Title: CEO & Founder
Firm: LVW Advisors
Location: Pittsford, NY
Est. AUM: $1.8B
New York AUM Rank: 197th
Industry Tenure: 25+ Years
LinkedIn | SEC
View FINTRX Profile >>
Lori Van Dusen, CIMA, is the CEO and Founder of LVW Advisors, a Pittsford, NY-based RIA firm. With over 25 years of experience in financial services, she is renowned for her client-focused strategies and unbiased integrated solutions for wealthy families, individuals and nonprofit institutions nationwide. Lori began her career at Shearson Lehman Brothers in 1987, later acquired by Citigroup Smith Barney, where she achieved the title of Managing Director. She then co-led Convergent Wealth Advisors' Institutional Group before founding LVW Advisors in 2011.
Lori is passionate about philanthropy and serves on several boards focused on urban education, health, wellness and the fine arts. Her dedication has earned her numerous accolades, including induction into Barron's Financial Advisor Hall of Fame and rankings on Forbes' lists of Top Wealth Advisors and Top Women Wealth Advisors. Beyond her professional life, Lori is actively involved in her community, serving on boards such as the F.F. Thompson Health Board and Rochester Area Community Foundation Board. Lori's philanthropic endeavors have earned her recognition, including induction into the Rochester Business Hall of Fame and being named a Woman of Distinction by the Girl Scouts of Western New York.
Peter Princi
The Princi Group of Morgan Stanley
Title: Managing Director
Firm: The Princi Group of Morgan Stanley
Location: Boston, MA
Est. AUM: $4.9B
Massachusetts AUM Rank: 5th
Industry Tenure: 24+ Years
LinkedIn | SEC
View FINTRX Profile >>
Peter Princi is a Managing Director at Morgan Stanley and the founder of The Princi Group, a private wealth team managing over $6 billion in assets for high-net-worth and ultra-high-net-worth individuals, families, foundations, endowments and trusts. With 24+ years of industry experience, a Business Finance degree from Wake Forest University and the 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 comprehensive 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.
Jonathan Kuttin
Kuttin Wealth Management
Title: Private Wealth Advisor; Chief Executive Officer
Firm: Kuttin Wealth Management of Ameriprise Financial Services, LLC
Location: Hauppauge, NY
Est. AUM: $6.6B
New York AUM Rank: 43rd
Industry Tenure: 29+ Years
LinkedIn | SEC
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Jonathan Kuttin is a Private Wealth Advisor and Chief Executive Officer of Kuttin Wealth Management, a private wealth advisory practice of Ameriprise Financial Services, LLC. With nearly 30 years of experience in the industry since earning his B.A. in Business Administration from the State University of New York at Albany in 1994, Jonathan focuses on retirement planning strategies, wealth preservation strategies, retirement income strategies, investments, estate planning strategies, charitable giving, insurance and tax planning. He holds several qualifications, including CRPC®, AAMS®, AWMA®, CMFC®, and CRPS®.
Outside of work, Jonathan is actively involved in coaching youth sports and is a member of various charitable organizations including Island Harvest, The Inn, Long Island Alzheimer Foundation and Wounded Warrior Project. Jonathan has received numerous awards and recognition 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.
Scott Stackman
Stackman | Casriel Group at UBS
Title: Managing Director, Wealth Management & Private Wealth Advisor
Firm: Stackman | Casriel Group at UBS Financial Services Inc.
Location: New York, NY
Est. AUM: $9.4B
New York AUM Rank: 32nd
Industry Tenure: 23+ Years
LinkedIn | SEC
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Scott Stackman, Managing Director - Wealth Management and Private Wealth Advisor at UBS Financial Services Inc., is currently associated with The Stackman | Casriel Group. With over 20 years of industry experience since joining Lehman Brothers Inc. in 2000 and later UBS in 2008, Scott is committed to providing comprehensive wealth management services, personalized financial advice and tailored solutions to high-net-worth individuals and families. Known for his dedication to understanding clients' unique circumstances and aligning all aspects of their financial lives, Scott has earned accolades such as being named to Forbes' Best-In-State Wealth Advisors list in 2019 and 2020, Barron's Top 100 Financial Advisors list in multiple years, and ranked in Barron's "Top 50 Private Wealth Advisory Teams" in 2019. As a graduate of the University of Maryland, Scott actively supports various charitable organizations in his community.
Mary Mullin
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Title: Managing Director & Wealth Management Advisor
Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Location: Boston, MA
Est. AUM: $1.5B
Massachusetts AUM Rank: 42nd
Industry Tenure: 41+ Years
LinkedIn | SEC
View FINTRX Profile >>
With over 40 years of experience in the industry, Mary Mullin is a Managing Director and Wealth Management Advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, where she has built a reputation for providing exceptional service and personalized attention to her clients. As a Certified Financial Planner and holder of several other designations, including CIMA®, CPWA®, CRPC®, and CSRIC™, Mary is dedicated to understanding her client's needs. Working closely with individuals and families, she develops comprehensive wealth management strategies and recommendations to address various life scenarios, backed by the resources and insights of Merrill Lynch Wealth Management and the banking strength of Bank of America.
Mary's extensive knowledge, invaluable insights from her long tenure since joining Merrill Lynch in 1981, and commitment to applying tailored strategies have earned her recognition including being named to Barron's Top 100 Women Financial Advisors for 12 consecutive years and Forbes' Best-in-State Wealth Advisors list multiple times. As a proud University at Albany graduate, Mary actively contributes to her community through roles at Our Lady of Fatima parish, the Lincoln Sudbury Scholarship Fund committee, and as a contributor to MetroWest Daily News, Boston.com, and the Wall Street Journal.
Ira Walker
Walker Wealth Management
Title: Managing Director
Firm: Walker Wealth Management (within UBS Private Wealth Management)
Location: Red Bank, NJ
Est. AUM: $1.0B
New Jersey AUM Rank: 82nd
Industry Tenure: 38+ Years
LinkedIn | SEC
View FINTRX Profile >>
Ira A. Walker is a Managing Director and Senior Portfolio Manager within UBS Private Wealth Management, with over 35 years of industry experience that includes tenures at Morgan Stanley as a Senior Vice President and Senior Portfolio Manager, and at Shearson Lehman Brothers as a Financial Advisor. As the founder and head of Walker Wealth Management, a private wealth team focused on institutional markets offering services within a boutique multi-family office environment for ultra-high net worth clients from UBS Headquarters in New York, NY and Red Bank, NJ, Ira is passionate about his client's success.
As a Brooklyn College graduate who completed the Wharton School Executive Education Program, Ira has received national recognition as a top-ranking Financial Advisor at UBS and Morgan Stanley and was inducted into the Research magazine's Advisor Hall of Fame in 2008 as the youngest member. He has been rated as a Top Advisor by Forbes and the Financial Times, featured in numerous industry publications, and is a nationally recognized speaker and market commentator on Fox Business News. In addition to being a longtime member of UBS's prestigious Pinnacle Council, an honor bestowed upon the firm's most distinguished Financial Advisors, Ira maintains an active presence in his local community.
Debbie 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. AUM: $1.2B
Massachusetts AUM Rank: 74th
Industry Tenure: 39+ Years
LinkedIn | SEC
View FINTRX Profile >>
Debra Brede is a celebrated Wealth Advisor, Financial Planner, Speaker, Forbes Books Author and Philanthropist with over 35 years of industry experience. She founded her independent practice, D.K. Brede Investment Management Company, in 1990, which became part of GW & Wade, LLC, an independently managed financial advisory firm, in December 2020. Debra has dedicated her career to providing personalized and purpose-driven financial advice, ensuring every recommendation is tailored to each client's individual needs as she delivers investment management services to high-net-worth individuals, corporations, retirement plans, charitable trusts and municipalities.
Recognized as a top wealth advisor by prestigious publications like Barron's and Forbes, and featured as a media commentator on CNBC, Fox Business News, the Wall Street Journal, and the New York Times, Debra is also deeply committed to serving her community. She is a trustee of Agape Aids Orphan Care, providing support to children orphaned by AIDS, serves on the Executive Board of Directors for Boston Rescue Mission and the Board of Trustees for Newton-Wellesley Hospital, and has received numerous awards for her philanthropic work and contributions to the financial industry.
Damon Kinzie
Morgan Stanley
Title: Executive Director, Financial Advisor & Senior Portfolio Management Director
Firm: Morgan Stanley
Location(s): Colchester, VT | Stowe, VT
Est. AUM: $872M
Vermont AUM Rank: 6th
Industry Tenure: 30+ Years
LinkedIn | SEC
View FINTRX Profile >>
Damon Kinzie is an Executive Director, Financial Advisor and Senior Portfolio Management Director at Morgan Stanley with over 25 years of experience in the industry. Born and raised in Northern Vermont, he began his career in 1993 with J.B. Hanauer & Co. in West Palm Beach before returning to his home state in 1995 to work for Edward Jones in South Burlington. Damon joined Morgan Stanley as a Financial Advisor in 2001, was promoted to Senior Vice President in 2013, and further advanced his career as a Portfolio Manager in 2015. Dedicated to providing comprehensive personal investment and advisory strategies, he focuses on individual client needs and goals to offer a range of services including professional portfolio management, business succession planning, retirement planning, 401(k) rollovers, trust accounts, endowments and foundations, estate planning strategies, financial planning, fixed income and securities agent services.
As a University of Vermont graduate with a BA, Damon actively contributes to his community. He has served on boards such as the Cancer Patient Support Program and the University of Vermont VT Regional Board and is currently a Board Member of the Lamoille Home Health and Hospice. Damon's expertise and experience allow him to provide valuable guidance and personalized investment strategies while putting his clients first in all that he does.
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 any 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 herein.
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