2011-2012 Board of Directors
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Kevin Anderson, CPM
President
Kevin graduated from Washington & Lee University in Virginia with a degree in Accounting and entered the investment industry as an analyst for Branch Cabell in Richmond, Virginia where he eventually served as Director of Research. He joined Legg Mason in 1989 to form a partnership with both his father and grandfather which continues with his father today. He began working with Legg Mason's PM equivalent program in 1992 and currently manages $182 million under that program representing the primary focus of his practice. During that time Kevin worked closely with Legg Mason's management to develop general enhancements to the program as well as improving specific areas such as billing, client reporting and portfolio management tools. His broader commitment to the firm included long-term membership on the FA Technology Steering Committee and membership in the firm's Advisory Council.
Kevin was awarded the CFA designation in 1991, the CFP in 1991 (no longer active) and is a NYSE Supervisory Analyst. A resident of Raleigh, NC with wife of 18 years, Perri, daughter Tyler and son Garrett. He is currently a member of the Board of Trustee of the Hayes Barton United Methodist Church, Chair Washington & Lee Alumni Admissions Eastern NC and serves with several other community organizations.
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Gary Klingner, CPM
President Elect
Senior Vice President - Wealth Management
Smith Barney
301 Tresser Boulevard
12th Floor
Stamford, CT 06901
Phone: 203-356-0807 / 800-704-7309
Fax: 203-967-7006
Email: gary.w.klingner@smithbarney.com
Gary has been a member of PMI since its inception and was elected to the PMI board in 2008. He is currently the Forum Chair (2011) and was co-chair of the 2010 Forum Committee (Atlanta, GA).
Gary Klingner joined EF Hutton in 1984 and has been with Morgan Stanley Smith Barney and its predecessor firms since that time. Gary earned the designation CFO Advisor, having completed the Citi Family Office course (now Director, Family Wealth). He helps high-net-worth individuals and families, as well as endowments, foundations and closely-held businesses, through all phases of wealth management, including wealth accumulation, wealth preservation and wealth transfer.
Having lived in the town of Greenwich, Connecticut, for most of his life, Gary now resides there with his wife and their two sons, who all enjoy boating, tennis, skiing and bicycling. He is also competitive in shotgun sports. He is active in the community and sits on the asset management committee of his church.
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Katherine Mohney, CPM
Secretary/Treasurer
Senior Portfolio Manager
50 Fountain Plaza, 8th Floor
Buffalo, NY 14080
Phone: 716-849-4883
E-Mail: katherine.m.mohney@mssb.com
Kathy has been an active board member of PMI since 2007, involved in numerous capacities and serving as past chair of the Web-site and Membership committees. In 2010 she was elected Secretary/Treasurer and looks forward to a very successful year.
Kathy has been a Morgan Stanley Smith Barney Financial Advisor since 1990. She has a BA in Computer Science and a MBA from Canisius College in Buffalo NY. Kathy is a Certified Financial Planner and became a Senior Portfolio Manager in 1996. This year she earned the Certified Portfolio Management designation from the Columbia University. Her professional business is centered on comprehensive financial planning and portfolio management for individuals.
Kathy and her husband Bruce have been life-long residents of Western New York where they raise their two sons Ed and Victor. Active within the community, Kathy currently serves as a board member for: The GOW School, a college prep school for young men with learning disabilities, the Western New York International Dyslexia Association and Saint Francis High School.
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Rick Grimshaw, CPM CIMA
Past President
Branch Manager, Portfolio Management Director
Morgan Stanley Smith Barney
1701 SE Columbia River Drive, Suite 120
Vancouver, Washington 98661
Phone: (503) 221-7616 or (360) 992-7990
E-mail: rick.grimshaw@mssb.com; rick.grimshaw@pminstitute.org
Rick Grimshaw, CPM® CIMA®, joined legacy Smith Barney in 2004 after 14 years at Prudential Securities. While there, he chaired the National FA Advisory Council for two years, served as Assistant Branch Manager/Assistant Complex Manager and continued to build his Quantum Portfolio Management practice, which started in 1995. His practice revolves around portfolio management, offering four distinct strategies, plus third-party managers, aimed at serving the investment needs of high-net worth individuals. Rick is a graduate of the University of Oregon [1976], with dual degrees in Management and Communications. He is active in IMCA, Rotary, and the Episcopal Diocese of Oregon. He completed Smith Barney’s Leadership Development Program in 2007, and was named Branch Manager of the firm's Vancouver, Washington branch in February, 2011. Rick began his investment career in 1983 at Merrill Lynch.
He attended the first PMI Forum in Dallas, 2005, when he was elected to the PMI Board of Directors; served on the PMI Forum committee for Chicago, 2006; Chaired the 2007 Forum in Phoenix, and continues to assist with coordination of major speakers for each Forum. In addition, Rick chaired a long-range planning effort for PMI in 2007, chaired the website/communications committee in 2008 and was involved in interviewing and selection of PMI’s management company in 2005. He was elected to a second term on the PMI Board in 2008 and named as President at the Atlanta Forum in 2010. He completed the CPM curriculum in May, 2010. Rick's personal PMI goal is to leverage the organization's strong reputation within the firm during his term as President.
Rick resides in West Linn, Oregon with his wife of nearly 30 years, Vickie. Children Bryan, 24, graduated from Eastern Oregon University in 2009 with a B.S. in General Sciences/Geology; daughter, Katie, is a junior at Portland State University majoring in communications.
rick.grimshaw@mssb.com
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Mark Callaway
Senior Vice President
Senior Investment Management Consultant
Senior Portfolio Manager
The Callaway Boone Group
Morgan Stanley Smith Barney
3280 Peachtree Road, NE, Suite 1900
Atlanta, Georgia 30305
Toll Free: (800) 421-2741
mark.c.callaway@mssb.com
Mark started his investment career 28 years ago. He was founder and President of Lamon-Callaway Financial Services, Inc., until 1989 , when he was asked to open a branch office for The Robinson-Humphrey Company in LaGrange, Georgia. The Robinson-Humphrey Company merged with Smith Barney in 1996.
He heads up the processes helping Callaway Boone Group's (CBG) clients establish an Investment Policy Statement, set investment objectives, develop asset allocation strategies, make stock and fund selections and establish ongoing monitoring and review standards. He focuses on risk analysis, diversification and customized investment strategies. An area of focus in his investment management is Sustainable and Responsible Investments (SRI). Mark was one of only a few advisors at Smith Barney who was recognized as a "Green" financial advisory professional. He holds the following securities licenses, 4, 7, 8, 24, 31, 53 and 65. He is a member of IMCA, APIC, SIF and a newly elected Board of Director for PMI.
Mark has four children, (Fuller, Mary Hollis, Hayes and Gabriella) and resides with his wife, Ansley, in Atlanta. He has served in a number of capacities in Georgia including the University of Georgia board of trustees, Georgia Institute of Technology, Berry College and LaGrange College. He has undergraduate degree in Political Science and a M.B.A. He attended LaGrange College, New York Universities Tisch School of the Arts and the London Academy of Music and Dramatic Arts.
" I think there is an opportunity for Morgan Stanley Smith Barney (MSSB) to take the lead, as the premier brokerage firm and embrace Sustainable and Responsible Investing (SRI) and its evolution into the Environmental, Social and Governance (ESG) arena. MSSB and PMI are in leadership positions to help formulate the questions and address the answers on values based investing for all portfolio managers inside and outside MSSB".
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Susan Cobey, CFP
Senior Vice President/Wealth Advisor
Certified Financial Planner
Senior Portfolio Director
Morgan Stanley Smith Barney
5555 E. 71st Street, Suite 7300
Tulsa, OK 74136
Toll Free: 800-603-0105
Direct: 918-496-3600
susan.cobey@mssb.com
Susan is a Senior Vice President, Senior Portfolio Manager, and Wealth Advisor. She joined Morgan Stanley in 1998 after having worked at Merrill Lynch and Prudential Securities in Tulsa. She was the National Sales Manager of Mutual Funds and in Institutional Sales, both for major firms on Wall Street in New York City prior to moving to Tulsa. She earned her CFP designation in 1985. Susan has been chosen as one of the Barron's Top Ten Financial Advisors in Oklahoma for the past two years.
Susan's team focuses on a select group of clients who seek an extraordinary level of knowledge and experience and desire a high level of service and attention. They work closely with the clients' tax and legal advisors to coordinate complex objectives and goals and help manage all aspects of their finances and investments. Portfolio management is an integral part of the practice.
For part of this past year, Susan was honored to serve on the PMI Forum meeting agenda committee. She is very active in her community, having served on numerous boards. She is a founding member and Board member of The Executive Women's Forum, and also currently is on the board of her neighborhood association. She also chairs the "Secret Giving Fund", an anonymous private fund that provides money to those in need.
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Richard DiMarzo, CPM
Senior Vice President - Wealth Management
Senior Portfolio Management Director
The Pelican Bay Group
Morgan Stanley Smith Barney LLC
1250 Pittsford Victor Road
Building 200, Suite 350
Pittsford, NY 14534
Phone: 585-264-5812 Fax: 585-383-9288
richard.j.dimarzo@mssb.com
Richard has been with Morgan Stanley Smith Barney and its predecessors firms for 24 years. He has two sons, Josh and Brian, whom both work in the financial service industry. He is a graduate of Colgate University in Hamilton, New York where he earned his BA degree in Ethics. At the Pelican Bay Group at Morgan Stanley Smith Barney in Pittsford, New York, Richard DiMarzo’s practice focuses on High-Net-Worth Individuals, High-Net-Worth Multi-Generational Families, and Endowments and Foundations both nationally and internationally. In addition to overseeing a private client practice which exceeds 700 households with assets totaling more than $330 million, Richard’s responsibilities include management of fixed income investments, asset management for all property and casualty insurance companies, as well as, marketing.
As a recently elected board member Richard believes in the value added benefits of portfolio management. He considers portfolio management not only as a consummate investment tool which provides added value to the Financial Advisor's practice therefore branding the Advisor as distinctly different than their competitors but further envisions Portfolio Management as that business management tool which can provide leverage by which the Advisor can broaden their business model to withstand cyclical downturns in the business cycle. PMI Institute therefore becomes the vehicle of communication providing Portfolio Managers with a forum to entertain new ideas, as well as, confirm previous methodologies.
Richard is an associate member of PAMIC (Pennsylvania Association of Mutual Insurance Companies) where he has been a member for nine years and has served on both the Finance Committee, as well as, the Education Committee. He actively writes for the PAMIC Pulse, a monthly publication for Pennsylvania Mutual Insurance companies. He is an active donor to the James P Wilmot Cancer Center serving as a member of the Corporate Underwriting Committee for the annual James P. Wilmot Discovery Ball.
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Howard Felix
First Vice President - Wealth Management
Senior Portfolio Manager
tel: 847-480-5466
toll free: 800-543-3623
fax: 847-498-1546
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Larry King, CPM
Senior Vice President - Wealth Management
Senior Portfolio Management Director, CPM 2009
Financial Planning Specialist
Resident Manager
353 Broadway
Saratoga Springs, NY 12866
Phone: 518-581-2000
Email: larry.king@smithbarney.com
Larry King is a Senior Portfolio Management Director with Smith Barney in the Saratoga Springs, NY office where he also serves as the Assistant Branch Manager. He has been with the firm since 2000. Larry is participating in the June, 2009 Certified Portfolio Management Class. He is a graduate of Cornell University. He serves on the board of directors of the Saratoga Performing Arts Center, the summer home of the NYC Ballet and the Philadelphia Orchestra. Larry was raised on a dairy farm in upstate NY, and he resides with his wife, Sally, in Saratoga Springs.
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Ronnie Lapinsky Sax, CPM®
First Vice President - Wealth Management
Morgan Stanley Smith Barney
7272 Wisconsin Ave., 4th floor
Bethesda, Maryland 20814
Phone: 301-657-6368
Email: r.lapinskysax@mssb.com
Ronnie is a Senior Portfolio Manager in Bethesda, Maryland and has been with MSSB over 34 years. Cognizant of the ever increasing complexities of clients needs, she strives to offer the very best investment advice along with high levels of service, professionalism and confidentiality. Each account is tailored made and a project in itself; she remains interested and challenged by individual family needs; Her platform of choice remains “PM”; and in her efforts to stay current she completed the rigorous coursework coordinated by Columbia University - to earn the distinction of a CPM, Certified Portfolio Manager. . . “I recently celebrated my 34th year; I manage over 100 million dollars; I am proud to service over 50 families who have been doing business with me for over 20 years, many from the very beginning. Today, I am selective in the new clients I service and I make it a priority to be accessible to you through emails and phones 24/7.”
Ronnie began in New York City’s Battery Park Plaza office of E.F. Hutton in 1976. She gained expertise in areas of portfolio management, option strategies and hedging techniques; she gained experience executing large stock transactions and learned how to listen to clients talk about matters that are important to them. Over time, she was fortunate to participate in the initial staging of Black-Scholes and allocated platforms, known today as PM, TRAK and CG, etc.
Ronnie resides in Potomac, Maryland with her husband; they raised 3 children: Rachel, a designer for Ralph Lauren; Jared an Aerospace Systems Analyst at the Applied Physics Lab/Johns Hopkins, and Emily who recently joined GE in their Financial Management Program. Ronnie is a member of the Estate Planning Journal Club and the Foundation Committees at Johns Hopkins-Suburban Hospital. She has been known to speak about her private pre-eminent collection of women’s historical memorabilia. She has held board seats and received honors and awards from organizations to include The American Political Items Collectors, The National Council of Jewish Women and B’Nai Brith Youth.
Ronnie looks forward to the years ahead. She enjoys thinking about markets, strategies, and how we can improve our industry. She has long been a proponent of higher educational standards for FA’s and is interested in growing her advisory business, promoting PMI and the CPM designation.
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Timothy Lynch, CFA
Clearwater Group
Senior Vice President - Wealth Management
Portfolio Management Director
tel: 509-295-5175
Attended the US Military Academy at West Point BAs in Finance, Computer Systems, and Psychology
Masters from Columbia University.
Worked internationally for Towers Perrin, advising multi-billion dollar pension funds, living in New York, Toronto, and Melbourne, Australia during my time with them
CFA charter holder
Worked with Mike Ross and 3 other CFAs and PMI members to develop the curriculum and program for the "Certified Portfolio Manager" designation. The CPM will graduate our first class this summer from Columbia University.
Named the #2 Bank Broker in the country by Bank Investment Consultant magazine (I am in the Smith Barney Bank Investment Center program, due to my tiny market area)
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Paul McCauley, CPM
Paul D. McCauley
Senior Vice President - Wealth Management
Senior Portfolio Manager
tel: 513-762-5235
toll free: 800-543-2665
fax: 513-762-5092
Paul McCauley has been with the Madison Group at Morgan Stanley Smith Barney since 2004. The Madison Group’s focus is serving the wealth management and planning needs of high net worth families. Paul is a Certified Public Accountant (CPA) and a Certified Portfolio Manager (CPM). Prior to joining the Madison Group as a Portfolio Manager, Paul was a Financial Consultant at A.G. Edwards for ten years, and accountant with Deloitte & Touche for 3 years. Paul is a graduate of Xavier University.
Paul’s office is in Cincinnati, OH and he lives in Northern Kentucky with his wife Julie and their daughter Madison and their son Max.
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Patrick McFadden, CIMA, CFP®, CPM®
First Vice President -Investments
2 Town Place, Suite 100
Bryn Mawr, PA 19010
Office: 610-542-2907
Mobile: 610-952 1990
Email: patrick.k.mcfadden@mssb.com
Patrick K. McFadden's portfolio management philosophy focuses on equities with an intermediate and long-term investment horizon. During his 25 year tenure managing money, Mr. McFadden has followed a diversified investment portfolio approach, looking for value in those sectors that he believes stand to benefit from domestic and international growth trends. The investment selection process is based on fundamental, qualitative and quantitative research and analysis of companies. In 2010 Mr. McFadden completed study for his Certified Portfolio Manager designation received in conjunction the Industrial Engineering and Operations Research (IEOR) Department at Columbia University.
Pat McFadden began working for Legg Mason Inc. in 1986. Prior to joining Legg Mason, he provided financial and retirement planning advice with American Express. Mr. McFadden is a member of the Philadelphia Estate Planning Council, the Tri-State FPA, is a past National Football League Registered Player Financial Advisor. Pat graduated from Pennsylvania State University BA Political Science (80). Thirty year residents of the Delaware Valley, Pat and his wife Sheila live in Malvern, PA. with their daughter Taryn (15). In his free time he contributes time and expertise to various 501c3 and other not for profit organizations. When there is more free time, Pat is nationally ranked alpine skier and enjoys offshore single handed sailboat racing.
I view my affiliation with the Portfolio Management Institute as a conduit for achieving a higher level of performance for my clients and growing their wealth.
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Peter Roselle, CFP, CPM
Vice President
Financial Advisor / Certified Financial Planner
1200 Mount Kemble Road
PO Box 1903
Morristown, NJ 07962
Peter.Roselle@MSSB.com
Direct: (973) 425-2339
Peter Roselle, CFP®, joined Morgan Stanley’s Morristown, NJ office in 2007 after seven years with A.G. Edwards. He works with corporate executives, business owners and boards of non-profits in developing portfolio and financial planning strategies. He graduated from Seton Hall University with a BA in Economics (1980) and again with an MBA in Finance (1985). He serves as a board member for the Somerset Hills YMCA and the Bernardsville Chamber of Commerce and serves as the Chairman of the Board of Trustees for his local church.
As a legacy Morgan Stanley FA, he was introduced to PMI through the Custom Portfolio program. Long an advocate of the fee-based, discretionary portfolio management model, Peter sees PMI as the organization that can give him a much-needed chance to interact with peers, increase his knowledge and help clients achieve their goals of greater risk-adjusted portfolio returns. The CPM program is of particular interest and he looks forward to attending the training at Columbia in May.
Peter and his wife Patricia, married since 1985, live in Basking Ridge, NJ, and are the proud parents of two adult sons. Christopher, 24, graduated from Ithaca College with a BA in Biochemistry and now works as a scientist for Merck. David, 21, will graduate in May from the University of Maryland with a degree in architecture and then continue graduate studies at the University of London in the fall.
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Dennis Verity, CPM
2012 Forum Chair
Vice President
Portfolio Manager
Morgan Stanley Smith Barney
111 Santa Rosa Avenue, Suite 200
Santa Rosa, CA 95404
Phone: (800) 752-5340
Dennis joined Smith Barney in 1997 as a Financial Advisor. Previously, he headed the Santa Rosa Junior College Foundation for 5 years, working with Smith Barney to manage the Foundation’s investment program. He also worked for 17 years in various private fund-raising capacities and was co-owner of a small business for 6 years.
Dennis holds the designation of Certified Portfolio Manager®, CPM®, awarded to him by the Fu Foundation School of Engineering and Applied Science at Columbia University and ACPM. He received his Bachelor’s Degree with Honors in English from Rutgers College, pursued graduate study in English and American Literature with a minor in European Art at the University of Minnesota, and earned a certificate in Management from the Olin Graduate School of Management, Washington University.
His recent community service has included membership on the Board of Directors, Santa Rosa Symphony (Emeritus); the Planned Giving Council to Sonoma State University; the United Way of Wine Country; the Wells Fargo Center for the Arts; and the Shone Farm Foundation, Santa Rosa Junior College (current). Dennis and his wife Bonnie just celebrated their 30th wedding anniversary and have 3 children and 5 grandchildren. They live in Jack London’s Valley of the Moon east of Santa Rosa, California.
707-571-5777
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Eric Applewhite, CFP
Financial Advisor
First Vice President
Morgan Stanley Smith Barney
595 South Federal Hwy, 4th Floor
Boca Raton, FL 33432
Phone: (561)-393-2044
Email: eric.applewhite@mssb.com
Eric Applewhite graduated from Florida State University in 1985. He joined Smith Barney in 1990, and now Is the Senior Portfolio Manager and Managing Partner for a team of 7 advisors and 3 assistants. The team manages more than $750 million in client assets. Eric is a Certified Financial Planner, a member of the Institute of Certified Financial Planners and an affiliate of the Market Technicians Association.
Eric has been an advocate for PMI since its inception. He has developed professional and strategic relationships with many portfolio managers and advisors across the country within the MSSB system. If elected he will continue to build on PMI's professional development and work to make available and improve resources for both practice and portfolio management.
Eric lives and works in Boca Raton, Florida with his wife, Laurie, and four children. He is very active with several local charities, his community schools and his church.
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Nicholas Paget, CFP
PMI Newsletter Editor
Associate Vice President
Senior Portfolio Manager
Morgan Stanley Smith Barney
601 Union St, 29th Floor
Seattle, WA 98101
Phone: (206)-464-4095
Email: Nicholas.Paget@mssb.com
Nick is the Portfolio Manager for the Puget Sound Group in Seattle, and has earned both the Certified Financial Planner (CFP) and Certified Portfolio Manager designations. After graduating from the University of Washington with a degree in Economics, Nick spent the first part of his career as a Financial Analyst for both Microsoft and Western Wireless. In 2002 Nick joined RBC Wealth Management and was recruited two years later as part of Morgan Stanley Smith Barney's Rising Star Program.
Originally from Akron, OH Nick and his wife Darla reside in Issaquah, WA with their daughter, Lola, and black-lab, Chase. Nick is actively involved in Washington Women In Need and Career Advisory at the University of Washington. Away from the office, Nick is a brown-belt in Shotokan Karate and enjoys travel, skiing, and golf.
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Thomas Slattery
Senior Vice President - Wealth Management
Senior Portfolio Manager
200 Nyala Farms Road
Westport, CT 06881-5161
Phone: (203)-221-6073
Tom graduated from Williams College in Williamstown, Massachusetts, in 1974. At Morgan Stanley Smith Barney, Tom is a Senior Vice President - Wealth Management and serves as a Senior Portfolio Manager. He began his financial services career with EF Hutton in 1982. After establishing his practice, he qualified to be a member of the CFA Institute of Charlottesville, VA in 1999. The CFA designation ranks amongst the most prestigious achievements in the investment management industry. Tom was also admitted membership to the New York Society of Security Analysts (NYSSA). Since 1937, the NYSSA has provided an independent forum for the exchange of investment ideas and research. Tom is the lead professional of the Slattery Group which provides wealth management services to 175 families with $480 million in assets at Morgan Stanley Smith Barney.
Tom and his wife, Kitty, live in New Canaan, CT. They have two grown children. Tom is an avid golfer and enjoys supporting local charities.
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Serge Suleimani, AVP
Associate Vice President
Financial Advisor
100 Cushman Street, Suite 514
Fairbanks, AK 99701
Phone: (907)-456-8341
Email: Serge.Suleimani@mssb.com
Serge started with Merrill Lynch in 1999 and started working for Morgan Stanley Smith Barney after they closed the office in 2001. The focus of his business since the first day has been individual equities and portfolio construction. Serge is currently in the Custom Portfolio Program. From 1996-1999 he worked as a financial consultant and later as the controller for Kinross Gold, at the Kubaka Mine location in Magadan, Russia. He received his MBA from the University of Alaska Fairbanks in 1996 with a concentration on statistics. Serge has completed the CFA level 1 test.
Serge has done extensive international travel and has worked in Russia for a few years in a few different capacities, which his fluency in Russian facilitated. He has an international perspective on investing and on life in general and is fascinated by the current geo-political and geo-economic shifts in the world. Serge has made Alaska his home since 1990 and previously lived in Southern California.
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