OUR MISSION STATEMENT
Provide industry-leading retirement solutions for every client and individual we serve
Provide industry-leading retirement solutions for every client and individual we serve
Kelly Caves and Brian Wiese met while at Merrill Lynch and moved to Morgan Stanley together in February of 2012 to form The Caves – Wiese Group at Morgan Stanley. Later that year, Vanessa Schafer joined the team to enhance operational and administrative efficiencies. By providing advice founded on a culture of excellence and driven by global insight, the team’s professionals deliver the resources of Morgan Stanley with the feel of a boutique investment consulting firm.
Kelly and Brian share a strong commitment to financial planning and long term investing. Their vision and passion for investment consulting lead them to establish a strong service level as the baseline of their delivery and focus most of their time on value-added advice for their diverse client base. Being both Senior Portfolio Managers and Corporate Retirement Directors, The Caves – Wiese Group is in a unique position to draw upon the best of both institutional and retail investment solutions and processes.
The Strength of The Caves – Wiese Group
A team of 3 Financial Advisors focused on the retirement plan market
Over 48 years of retirement plan experience
$300 million in overall retirement assets*
$250 million in defined contribution retirement plan assets*
Service 50 defined contribution plans
Collaborations with 10 Financial Advisors throughout the country
*Data as of: December,2015
The Caves-Wiese Group is a dedicated group of financial professionals who focus on the retirement space and are part of the Corporate Retirement Division of Morgan Stanley. We use a consultative process to improve a plans efficiency and performance including pricing, transparency, plan design and investment lineup. We focus on “retirement readiness” for the employees and investment management, plan management and plan evaluation for the Plan Sponsors with the overall goal being a reduction in fiduciary liability for the Plan Sponsors. To that end, we utilize a number of analytical tools to review investment performance and fees on an ongoing basis. We reduce a Plan Sponsor’s fiduciary risk by acting as a 3(21) or 3(38) Co Fiduciary. We assist our client’s in matters associated with issue resolution and oversee and coordinate provider searches (RFP process). Since employee participation is essential to the health of the overall plan, we actively engage employees in a number of communication strategies to keep their level of interest high. For example, we hold enrollment meetings, ongoing participant education meetings and participants have access (via a dedicated toll free number) to a team (bilingual) of financial advisors to assist with questions.
Kelly Caves is a Senior Vice President, Senior Portfolio Manager, Corporate Retirement Director and Financial Advisor. She has an exceptionally high commitment to fiduciary excellence and client experience. Kelly has earned the prestigious Corporate Retirement Director (CRD) designation enabling her to be one of only ~ 200 financial advisors at Morgan Stanley allowed to work in the institutional Retirement Plan space. Her specialized knowledge and professional accomplishments have earned her recognition throughout the retirement plan industry including being recognized on the National Association of Plan Advisors’ (NAPA) list of “Top Women Advisors” in both 2015 and 2016.
Kelly embarked in the financial services industry in 1986. She began her career at Smith Barney. She moved to Merrill Lynch in 1994 and assumed a number of managerial positions within the firm while continuing to serve the needs of her growing clientele. Her experience in management, as well as business development, affords her a unique perspective of the investment industry. Today, Kelly draws on her broad experience to provide her clients the benefits of her ability to examine investments from multiple angles.
Kelly graduated from American University, double majoring in Economics and International Relations. She also attended the Université de Paris-Sorbonne and is conversant in French. Kelly’s current designations include, Certified 401(k) Professional (C(k)P®), Chartered Retirement Planning CounselorSM (CRPC®), and Accredited Investment Fiduciary (AIF®). Kelly received the C(k)P® designation through The Retirement Advisor University (TRAU) at the UCLA Anderson School of Management’s Executive Education Program.
Kelly loves spending time with her family and enjoys a wide variety of outdoor activities ranging from scuba diving, cycling, photography, skiing, boating, and traveling.
BM/Supervisor; Securities Agent: AR, AZ, CA, CO, CT, DC, FL, GA, HI, ID, IN, MD, MI, NJ, NV, NY, OK, PA, TX, VA, WI, WY; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
Brian Wiese is a Vice President, Senior Portfolio Manager, Corporate Retirement Director and Financial Advisor. Brian brings a unique and highly engaging consulting experience to his clients. By working alongside clients and assisting them across a wide spectrum of concerns, he not only supports the diverse needs of his clientele, but also brings forth both exceptional interpersonal and analytical skills that set him apart.
Brian started his career as a college intern at Merrill Lynch in 2003 and worked there as a Financial Advisor for nearly seven years prior to joining Morgan Stanley in 2012. In 2015, 2016, and 2017, Brian was named one of the “Top 401 Retirement Advisors” in the country by The Financial Times. He was also recognized as one of the “Top Retirement Advisors Under 40 [years old]” by the National Association of Plan Advisors’ (NAPA) in 2016 and 2017.
Brian graduated from the University of Houston where he obtained a Bachelor of Business Administration with a concentration in finance, and emphasis in investments and portfolio management. Over the course of his career, Brian has continued his education by obtaining the Certified 401(k) Professional (C(k)P®) designation through the UCLA Anderson School of Management Executive Education Program, as well as the Chartered Retirement Plans Specialist (CRPS®), and Chartered Retirement Planning Counselor (CRPC®) designations through the College for Financial Planning. Brian also took and passed Level I of the Chartered Financial Analyst (CFA®) program.
Brian currently resides in Glendale, California, with his wife and their young son. In his spare time, Brian enjoys spending time with his family, hiking, golfing, and traveling.
Securities Agent: AR, AZ, CA, CO, CT, DC, FL, GA, HI, ID, IN, MD, MI, NJ, NV, NY, OK, PA, TX, WI, WY; General Securities Representative; Investment Advisor Representative; Managed Futures
CA License#: 0F20145
Drawing on over 10 years of industry experience, Vanessa provides a wide range of specialized services for The Caves – Wiese Group clientele. Vanessa is considered by the team to be the “Chief Operating Officer” as her disciplined and systematic approach to client servicing allows the team to be proactive with their clients. Vanessa is fluent in Spanish which helps offer a superior level of care to clients for whom Spanish is their native language.
With prior experience as a Financial Advisor for Morgan Stanley before joining The Caves-Wiese Group, Vanessa has a deep understanding of client needs. Her primary focus is providing first-class client service and strategic operational and administrative support to clients.
Vanessa received a Bachelor of Science in Business with a concentration in Finance from Loyola Marymount University in Los Angeles, California.
Vanessa currently resides in Torrance, California, with her husband and their daughter. In her free time, she enjoys swiming, beach volleyball, and jogging.
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