The 20 Rising Stars of Wealth Management - 2007 - (Page 19) 15 BRIAN PFEIFLER 2 1 Managing Director Morgan Stanley Private Wealth Management, New York Age: 39 Education: Amherst College (B.A., Political Science) Mentor(s): Byron Wien, former chief equity strategist, Morgan Stanley, presently chief investment strategist, Pequot Capital; Sir John Templeton, businessman and philanthropist Pfeifler, a 17-year Morgan Stanley veteran, has been with the firm’s wealth management division in New York since 1996. He heads a four-person team which has over $4 billion in assets under management. Pfeifler derives 30% of his book from accounts in the U.K., the Netherlands, France and Switzerland, while 35% is placed in alternative investments. Pfeifler focuses on UHNW relationships with over $30 million in assets and eyes entrepreneurs, retired ceos and real estate developers particularly. He started his career as an analyst in the M&A department at Morgan Stanley in 1990. After two years as a v.p. and investment banker, Pfeifler joined the fixed-income institutional trading platform. From 1992 to 1994, he was on the high-yield trading desk. In 1994 he spent two years in the firm’s London offices. “I believe the migration from U.S.-centric investing toward a more global asset allocation approach will continue to develop over the next number of years. The firms and investment advisors that figure out how to deliver the best foreign equity, alternative managers and global investment opportunities to their clients should gain market share.” 1 SHAWN RUBIN 6 1 Senior V.P., Smith Barney Wealth Management Citigroup Global Wealth Management, New York Age: 37 Education: Rutgers University (B.A., Economics and English) Mentor(s): Richard Tavoso, managing director, RBC Capital Markets; Tony Manory, director, ITG Inc.; James Mulcahy, managing director, Citigroup Smith Barney; Sherwood Rubin, father Rubin joined Citigroup Smith Barney as a financial advisor in New York in 1998. From scratch he built a 10-person team—the Rubin/Lutz/Hersch Group—with more than $1 billion in assets under management. Rubin caters to HNW individuals with over $5 million in assets and eyes corporate executives, hedge fund managers, athletes and Hollywood stars, particularly. He is responsible for new business, investment strategy for the team and due diligence. He is a member of the Citigroup Alternative Investment Advisory Board. Rubin previously worked at Merrill Lynch, which he joined in 1992. He was a financial advisor with the Private Client Group there and also served as an assistant trader in New York from 1992 to 1995. Rubin received his Certified Investment Management Analyst designation at the Wharton School at the University of Pennsylvania and also holds the Citi Family Office designation as an advisor to Citi family office clients with north of $25 million in assets. Rubin is a speaker at wealth management and alternatives industry gatherings. “As wealth management has become more complex, it is a prerequisite that advisors continually educate themselves. The appetite for competent financial advisory services is incredible right now. The advisor, who continues to expand his or her 'information gap' among other advisors, clients and the rest of the industry, will seize the opportunity that currently exists.” AUGUST 2007 0 92 0 92 WEALTH MANAGEMENT RISING STARS 19
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