Smith Warren and Associates

Private Wealth Advisors

Smith Warren and Associates

Private Wealth Advisors
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Significant wealth requires sophisticated, highly customized strategies tailored to your unique goals and priorities. We serve a limited number of individuals and families, allowing us to offer personalized, boutique-like services to help you simplify your life and pursue what’s important to you.

Meet the Team

The private wealth advisors with Merrill Lynch’s Private Banking and Investment Group are rigorously trained to meet the specialized needs of individuals and families of wealth. We build relationships based on trust and personalized service.

Champ D. Warren, III

Champ D. Warren, III

Managing Director

Private Wealth Advisor

713.632.9005
Reed H. B. Smith

Reed H. B. Smith

Managing Director

Private Wealth Advisor

713.632.9004
Barry C. Goldblatt

Barry C. Goldblatt

Senior Vice President

Private Wealth Manager

713.632.8350
Duke Jones

Duke Jones,

Assistant Vice President

Sr. Private Wealth Relationship Manager

713.632.8315
Micah Johnson

Micah Johnson,

Private Wealth Analyst Investments

713.632.9010
Allan  Parks

Allan Parks,

Assistant Vice President

Senior Financial Analyst

713.632.9009
Maggie M. Kirk

Maggie M. Kirk

Private Wealth Associate

713.632.9011
Nancy T. Sawyer

Nancy T. Sawyer

Senior Private Wealth Associate

713.632.9012
Linda B. Tiedemann

Linda B. Tiedemann

Senior Private Wealth Associate

713.632.9013
JOHN  VACLAVIK

JOHN VACLAVIK

Private Wealth Associate PR (FP)

713.632.8309

Strategies designed to help you achieve your goals

As a client of the Private Banking and Investment Group at Merrill Lynch, you have access to services and resources ordinarily reserved for the world’s largest institutions. We work with individuals, families spanning multiple generations, business owners and executives. Using a goals-based wealth management approach, we put our clients at the center of every personalized strategy.

Our Approach

Smith Warren and Associates

Smith Warren and Associates is a leading wealth management team that caters to the needs of ultra-high-net worth clients. Located in Houston, we work with corporate executives, entrepreneurs, business owners, affluent families, and family offices throughout the Southwest who are drawn to our customized approach, in-depth knowledge, and ingrained service ethic. As a ten-person team, we draw upon the talents of many individuals, all focused on the same goal: delivering value to the client. Our team members are distinguished not only by their accolades and training, but also by their decades of real-life wealth management experience. We invite clients to gauge the difference that experience makes.

Estate Planning Services and Wealth Transfer

Where are there opportunities to define and communicate the meaning of wealth in your family?

Once put in action, these 10 best practices can increase the likelihood that wealth is used intentionally, as an empowering tool, rather than unintentionally, as a disempowering burden.
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To get the full verison of this document please contact us at smithwarren_team@ml.com


A Commitment to Service

Merrill Lynch’s Private Banking and Investment Group is committed to providing a select group of wealthy clients with highly personalized one-on-one service. When you work with us, our knowledgeable, rigorously trained Private Wealth Advisors will gain a deep understanding of your goals, help you develop a multigenerational wealth strategy, help you monitor its success and update your strategy as needed. We are committed to providing you access to the investment insights of Merrill Lynch and the banking convenience of Bank of America, and we will continue to invest in client tools and new technology to enhance your overall experience as you and your private wealth advisor pursue what’s most important to you.

Our Philosophy

We believe that your unique goals should be at the center of all of your financial decisions and form the foundation of your financial strategy. Because significant wealth requires sophisticated, highly customized strategies, we believe in building lasting relationships with a limited number of clients, taking the time to understand your most important priorities for today, tomorrow and your long-term future. Our philosophy celebrates collaboration. Working with a team of specialists, we draw on the resources and insights of a global financial institution to create strategies that reflect your aspirations for yourself and current and future generations of your family. Finally, we believe that while significant wealth brings complex challenges, our experience, passion and perspectives can help you simplify your life.

Our Competitive Edge

Our team is distinctive in its focus and its depth. We work exclusively with an elite group of clients who encounter opportunities and complexities as a result of substantial wealth. We have built our team to respond to the particular needs of clients, from large-scale issues like portfolio management, tax minimization, and estate planning strategies, to day-to-day issues like bill paying and account organization. We relish the opportunity to streamline clients’ financial lives so that they can focus on the family and business pursuits they find most rewarding. Our wealth management process begins by identifying and understanding client desires and concerns. We then apply the full resources of our team and engage the global capabilities of Merrill Lynch to advance client interests and pursue client goals.

Our Emphasis on Risk Management

Having attained exceptional success, clients come to us to preserve and nurture their wealth. Our investment approach places a premium on the management of risk. We believe strongly in the value of diversification, enhanced through the skillful application of investment acumen and sound judgment. Our team has particular depth in investment research and analysis. We supplement the renowned research ability of Merrill Lynch with that of our internal research staff, developing customized investment portfolios that reflect client goals, timelines, lifestyle needs, and risk thresholds. We have guided a number of clients through liquidity events, and have detailed experience in pre-and-post IPO planning, concentrated stock management, and restricted stock management.

Our Accolades

Our team’s managing directors, Reed Smith and Champ Warren, have received a number of national accolades as financial advisors:

barron 1200.jpg      FT 400 2017_2.jpg     


- Barron’s Magazine, “America’s Top 1,200 Advisors” from 2011-20171

- Financial Times, “Top 400 Financial Advisors” in 2013-20172

- Wealth Management Magazine’s(formerly REP.), The Top 100 Wirehouse Advisors in America in 2016.

- Named Best-In-State Wealth Advisors 2018 by Forbes


1Source: Barron's "America's Top 1,200 Financial Advisors: State-by-State" list, March 6, 2017.  For more information about the selection criteria, go to http://details-he.re/JxcfBM. Barron's is a trademark of Dow Jones & Company, Inc. All rights reserved. The ranking or ratings shown here may not be representative of all client experiences because they reflect an average or sampling of the client experiences. These rankings or ratings are not indicative of any future performance or investment outcome. 
2Source: The Financial Times Top 400 Financial Advisors (FT 400) is an independent listing produced by the Financial Times (March, 2017). For more information about the selection criteria, go to http://details-he.re/fWZZLQ. These rankings and ratings are not representative nor indicative of any one client's experience, future performance, or investment outcome.  

*Source: Wealth Management Magazine's (formerly REP.) "Top 100 Wirehouse Advisors in America" list, May, 2, 2016. For information about the selection criteria, go to http://details-he.re/YmYuUA. Wealth Management Magazine (formerly REP.) is a trademark of Penton Media, Inc. All rights reserved. These rankings and ratings are not representative nor indicative of any one client's experience, future performance, or investment outcome.  

*Source: Forbes "Best-in-State Wealth Advisors" list, February 2018. For more information about the selection criteria, go to http://details-he.re/UbRCGT. Forbes is a trademark of Forbes Media LLC. All rights reserved. These rankings and ratings are not representative nor indicative of any one client's experience, future performance, or investment outcome.  

Our Offerings

Our team offers a range of strategies and services that address the financial needs and lifestyle demands of affluent clients:

  • Asset management

  • Alternative investments*

  • Executive-suite services (pre-and post-IPO planning; concentrated stock; restricted stock)

  • Estate planning strategies

  • Tax minimization strategies

  • Credit and lending through Bank of America, N.A.

  • Investment Banking Resources

  • Philanthropy






*Some or all alternative investments may not be suitable for certain investors. Certain alternative investments carry significant risk and are not subject to the same regulatory oversight as mutual funds and other traditional investments.  For these reasons, access to alternative investments may be limited to investors who are designated as sophisticated, high-net-worth investors.

Let's have a conversation.

Your dedicated Private Banking and Investment Group team is ready to help you pursue what's most important to you.

Our Vision

For clients of substantial wealth, Merrill Lynch’s Private Banking and Investment Group provides an experience that is both powerful and personal. We are dedicated to helping you pursue your goals for today while developing a wealth strategy designed to support your family members for the years to come.

A trusted one-on-one relationship
Your private wealth advisor and team of specialists work with a limited number of clients, enabling them to focus their time, training and passion on helping you simplify your personal and business finances and prepare your next generation as stewards of wealth.

Boutique-like service with the access to the investment resources of Merrill Lynch and banking convenience of Bank of America

We combine the personalized attention and feel of a smaller firm with the power and insights of a global financial institution, creating strategies tailored to your unique situation.

A relentless commitment to transparency and customized strategies

As our client, know that we are working in your best interests, providing sophisticated strategies designed to anticipate and meet your evolving financial needs.

Smith Warren and Associates

Private Wealth Advisors