The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative;
2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a
regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority
or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not
be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of
a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered;
9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth
managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets.
The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future
investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com
The Alpert Kaufman Katz Group at Morgan Stanley
A Team Approach to Your Financial Solutions
• Stan Alpert, 2013 – 2018 Five Star Wealth Manager
award winner
• Gregg Kaufman, 2014 – 2018 Five Star Wealth Manager
award winner
• Evan R. Katz, 2014, 2015, 2017 and 2018 Five Star Wealth Manager
award winner
• 180 years of combined industry experience*
• Customized investing and risk management strategies
• Individuals, high-net-worth investors, and 401(k) and retirement plans
Left to right: Standing: Jennifer Hopkins, Portfolio Associate; Thomas M. Morrissey, Jr., Sr. Registered Associate; Irene Warner, Portfolio Associate;
Seated: 2014 – 2018 winner Gregg Kaufman, Senior Vice President, Financial Advisor, Portfolio Management Director; 2013 – 2018 winner Stan Alpert, Senior Vice President, Financial
Advisor, Portfolio Management Director; 2014, 2015, 2017 and 2018 winner Evan R. Katz, CFP®, Senior Vice President, Financial Advisor, Senior Portfolio Manager
150 John F. Kennedy Parkway, Second Floor
Short Hills, NJ 07078
Direct: 973-467-6362 • Toll-free: 866-288-4711
stan.alpert@morganstanley.com
gregg.kaufman@morganstanley.com
evan.r.katz@morganstanley.com
Stan Alpert, Gregg Kaufman and Evan Katz of the Alpert Kaufman Katz Group believe our No. 1 goal is to help our client’s preserve their principal. Our investment decision-making
involves the combination of fundamental research analysis and technical trading analysis to measure risk versus reward. We feel it is just as important to manage risk in a down
market as it is to try to maximize return in an up market. Our portfolio management discretionary trading platform attempts to do just that. We work with you to create a customized
portfolio that is designed to serve your financial goals as well as your level of comfort and risk. We continue to monitor those goals as they evolve, either due to life events or market
events. Let us help you make the most of what you have worked so hard to earn.
©2018 Morgan Stanley Smith Barney LLC. Member SIPC. Morgan Stanley and its Financial Advisors do not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before
establishing a retirement plan or account, and (b) regarding any potential tax, ERISA and related consequences of any investments made under such plan or account. The Portfolio Management program is an investment
advisory program in which the client’s Financial Advisor invests the client’s assets on a discretionary basis in a range of securities. *Stan Alpert 40 years, Gregg Kaufman 20 years, Evan R. Katz 40 years, Jennifer Hopkins
22 years, Thomas Morrissey, Jr. 34 years and Irene Warner 15 years. The individuals mentioned as the Portfolio Management Team are Financial Advisors with Morgan Stanley participating in the Morgan Stanley Portfolio
Management program. The Portfolio Management program is an investment advisory program in which the client’s Financial Advisor invests the client’s assets on a discretionary basis in a range of securities. The
Portfolio Management program is described in the applicable Morgan Stanley ADV Part 2, available at www.morganstanley.com/ADV or from your Financial Advisor. There is no guarantee that investment strategies
mentioned will work under all market conditions. Investments and services offered through Morgan Stanley Smith Barney LLC. Member SIPC. CRC1935505 11/17.
Wealth Manager Award Winner
6
YEAR
WINNER
