Insurance
AMERICA'S TOP 100 INDEPENDENT ADVISORS

AMERICA'S TOP 100 INDEPENDENT ADVISORSThere are close to 90,000 independent broker/dealer reps in the industry, more than any other channel. Here are the Top 100 ranked by assets under management. Na

AMERICA'S TOP 100 INDEPENDENT ADVISORS

There are close to 90,000 independent broker/dealer reps in the industry, more than any other channel. Here are the Top 100 ranked by assets under management.

<>Name
Firm (B/D)
City
Est. AUM in MM
Yrs. in Biz
Business Description/Specialty
<>1
Ron Carson
Carson Wealth Management Group (LPL)
Omaha, NE
$1,560
24
Holistic wealth management and asset management.
2
Cleves and Brad Delp
The Delp Company (LPL)
Maumee, OH
$1,125
20
Wealthy and ultra-wealthy clients.
3
Matt Delaney
Wharton Business Group (FSC Securities)
Exton, PA
$1,000
23
Independent consultant to business owners, endowments, foundations and hospitals.
4
Frank Bluestein
Maximum Financial (GunAllen)
Waterford, MI
$1,000
24
Investment advisory firm. Solve problems using cash flow strategies and growth.
5
Mike Robertson
Robertson & Associates (First Allied)
Houston, TX
$1,000
32
Managed money, estate planning and investment banking for HNW and UNHW.
6
Malcolm A. Makin
Professional Planning Group (Raymond James)
Westerly, RI
$850
31
Wealth management and investment advisory services for individuals and endowments.
7
Gerard A. Klingman
Klingman and Associates (Raymond James)
New York, NY
$800
24
Financial planning and asset management for senior executives and professional athletes.
8
Susan C. Kaplan
Kaplan Financial Services (LPL)
Newton, MA
$800
22
Business owners and high-net-worth clients.
9
Kay R. Shirley
Financial Development Corp. (Mutual Services Corp.)
Atlanta, GA
$721
26
Retirement planning, tax planning and financial planning.
10
Robert Fragasso
The Fragasso Group (LPL)
Pittsburgh, PA
$619
35
Fee-based investment management and financial planning.
11
Van Pearcy
VanPearcy Financial (Raymond James)
Midland, TX
$574
20
Financial planning.
12
R. Griffith Mc Donald, K. Larry Hastie
Retirement Income Solutions (Mutual Service Corp.)
Ann Arbor, MI
$550
25
Wealth management and retirement planning.
13
Meg Green
Meg Green & Associates (Royal Alliance)
N. Miami Beach, FL
$550
28
Financial planning, investment management and tax-sensitive portfolios for HNW investors.
14
Earl Winthrop, Mark Winthrop
LPL Financial Services
Avon, CT
$550
22
Clients with $5 million to $20 million, including business owners, professionals and institutional accounts.
15
Mark Smith
M.J. Smith and Associates (Raymond James)
Englewood, CO
$540
24
Wealth management and retirement planning.
16
Bernard Wolfe
Bernard R. Wolfe & Associates (NFP)
Chevy Chase, MD
$500
29
Institutional wealth management for HNW individuals, families and small business owners.
17
Kerrick Bubb
KWB Wealth Managers Group (LPL)
Redlands, CA
$500
20
Fee-based practice serving individuals who are retired or nearing retirement.
18
Larry W. Carroll
Carroll Financial (Financial Network Investment Corp.)
Charlotte, NC
$500
27
Retirement planning, fee-based asset management.
19
Todd Feltz
Feltz WealthPLAN (LPL)
Omaha, NE
$462
18
Managed accounts; asset accumulation and preservation for retirement income.
20
Trudy Haussmann
Haussmann Financial (Securities America)
Newport Beach, CA
$460
22
Boutique financial planning firm specializing in retirement for Fortune 500 employees.
21
Lee Rosenberg
ARS Financial Services (Cadaret Grant)
Jericho, NY
$452
33
Wealth management for clients within five years of retirement and $1 million in assets.
22
Stephen F. Eldridge
Eldridge Investment Advisors (LPL)
Manchester, NH
$450
35
Advising mid-size 401(k) plans and managing qualified plans, trusts and HNW portfolios.
23
John Lynch
Lynch Retirement Investment Group (Wachovia Securities)
Columbia, MD
$434
21
Retirement planning.
24
Bruce Johnson
CapTrust Financial Advisors (Wachovia Securities)
Holland, MI
$430
24
Investment consulting.
25
David Tanner
Tanner Capital Management (Raymond James)
Provo, UT
$400
21
HNW entrepreneurs selling their businesses, charitable strategies.
26
G. Michael Dorvillier
LPL Financial Services
La Jolla, CA
$400
17
Individual financial planning, corporate retirement accounts.
27
Michael Gilbert
Gilbert Advanced Asset Management (LPL)
Johnson City, TN
$380
20
Planning for retirement, asset preservation.
28
Charles Bean
Heritage Financial Services (Commonwealth)
Norwood, MA
$380
15
Provide personalized, comprehensive wealth management services.
29
Barbara Hudock

Hudock Moyer Wealth Management (Wachovia)
Williamsport, PA
$363
25
Investment consulting.
30
Debra Brede
D.K. Brede Investment Mgt. Co. (Commonwealth)
Needham, MA
$360
20
Investment management.
31
Charles Morris
Raymond James Financial Services
Baton Rouge, LA
$358
21
Financial planning.
32
Sherri Stephens
Stephens Wealth Mgmt. Group (Raymond James)
Flint, MI
$355
32
Asset management, insurance and retirement, tax and charitable planning.
33
Judith A. McGee
McGee Financial Strategies (Raymond James)
Portland, MI
$354
32
Financial, retirement, estate and trust planning for well-educated, professional clients.
34
Roger Green
Green Financial Resources (Multi Financial/ING)
Duluth, GA
$350
19
Wide range of clients; asset class diversification for retirees.
35
Carl Stuart
Carl Stuart Investment Advisor (Raymond James)
Austin, TX
$329
28
Financial planning.
36
Steve Booren
Capital Consulting (LPL)
Greenwood Village, CO
$325
29
Unbiased, independent investment advice, primarily for individuals and families.
37
Denise A. Izatt
Denise Ann Izatt and Assoc. (Mutual Services Corp.)
OakBrook, IL
$323
9
Comprehensive financial planning and quality service for educators.
38
Stephen W. Johnson
Johnson Investment Advisor Services (Raymond James)
Draper, UT
$320
28
Advising retail investors and 401(k) plans.
39
Robert A. Valente
RAV Financial Services (Mutal Services Corp.)
Beechwood, OH
$311
35
Customized wealth management for individuals and families.
40
William Fisher
Summit Financial Advisors (Mutual Services Corp.)
San Mateo, CA
$310
18
Strategic money management and financial planning for HNW clients, small businesses.
41
Barry Glassman
Cassaday & Company (Royal Alliance)
McLean, VA
$306
15
Comprehensive wealth management and multi-family office support services.
42
Michael McNamara
McNamara Financial Services (Commonwealth)
Marshfield, MA
$306
27
Full-service financial consulting firm built around a father, son and daughter team.
43
Mark Cortazzo
Macro Consulting Group (SII Investments)
Parsippany, NJ
$300
18
Planning for HNW individuals who are retired or within three to five years of retirement.
44
Carole Ford
LPL Financial Services
Los Angeles, CA
$300
24
Financial planning with a focus on female clientele.
45
Robert Floe
Floe Financial Partners (LPL)
Pasadena, CA
$300
20
Wealth management for HNW individuals, families, foundations, charities and retirement plans.
46
Sandeep Varma
Advanced Trustee Strategies (LPL)
San Diego, CA
$300
18
Advanced estate planning.
47
Daniel W. Pinkerton
Pinkerton Retirement Specialists (LPL)
Cour D'Alene, ID
$277
20
Retirees and those seriously planning their retirement; client account minimum of $1 million in investable assets.
48
Daniel Gavin
Gavin & Associates (Raymond James)
Midland, MI
$275
35
Financial planning and investment mangement for mid-to-upper-level management.
49
Patricia Brennan
Key Financial (Royal Alliance)
Westchester, PA
$274
23
Comprehensive financial planning and coordination for individuals aged 50 and up.
50
John Moore
John Moore & Associates (Raymond James)
Albuquerque, NM
$273
26
Financial planning.
51
Stephan Cassaday
Cassaday & Company (Royal Alliance)
McLean, VA
$263
30
Financial planning and investment management for HNW individuals and small businesses.
52
Herb Shiraishi
Shiraishi Financial Group (LPL)
Honolulu, HI
$263
18
Professionals, retired seniors and small businesses.
53
Timothy Werth
VSR Financial Services
Hays, KS
$260
15
Financial planning services, retirement planning.
54
Joe Sgroi
Sgroi Financial (Cadaret Grant)
West Seneca, NY
$256
36
Tax sheltered annuity marketplace, particularly for schools and non-profits.
55
Nicholas Pascarella
Nicholas Pascarella (Multi Financial/ING)
Denville, NJ
$253
31
Pharmaceuticals industry professionals and executives at major corporations.
56
Mark Brown
Brown & Tedstrom (LPL)
Denver, CO
$253
24
Comprehensive wealth management for business owners and their families.
57
Robert Wamhoff
Wamhoff Financial Planning (VSR Financial Services)
Hazelwood, MO
$250
17
Financial planning, tax planning, philanthropy.
58
Paula Dorion-Gray
Dorion-Gray Financial Services (Securities America)
Crystal Lake, IL
$250
26
Comprehensive financial planning, strategic asset management, retirement distribution planning.
59
Mark B. Pietrofesa
Summit Financial Advisors (Mutual Services Corp.)
San Mateo, CA
$250
18
Comprehensive financial planning and wealth management; fee-based asset management.
60
Laila Marshall-Pence
Pence Wealth Management (LPL)
Newport Beach, CA
$250
27
Total wealth management, including real estate, for HNW clients.
61
David J. Workman
LPL Financial Services
Logansport, IN

$250
20
From advising 401(k) plans to helping minors buy a few shares of stock.
62
Marc Scudillo
Amper Financial Services Planning (Securities America)
Bridgewater, NJ
$245
11
Private companies, entrepreneurs, business owners and executives.
63
Larry Baker
Baker Krizner Financial Planning (Cadaret Grant)
Springfield, OH
$236
34
Personalized financial, estate and tax planning; employee benefit plans, retirement and insurance.
64
Daniel G. Gensler
The Gensler Group (LPL)
Coronado, CA
$236
21
Wealth management/life planning for HNW clients.
65
Mark Schupbach
The Center for Personal Finance
Plano, TX (LPL)
$235
35
Charitable trusts and ESOPs; cater to business owners, retirees and corporate executives.
66
Russell Cesari
Northwest Financial (LPL)
Laguna Niguel, CA
$235
8
Clients preparing to retire or retiring who want comprehensive financial planning.
67
Todd Sanford
Sanford Financial Services (Raymond James)
Portage, MI
$234
25
University educators, small biz owners and employees of major corporations.
68
Janice Hobbs
Jan Hobbs Financial Group (LPL)
Orange, CA
$228
23
Cater to unmarried, high-net-worth women in executive management positions.
69
Marilyn Gunther
Center for Financial Planning (Raymond James)
Southfield, MI
$226
23
Wealth accumulation, financial management for affluent.
70
John Ohmer
LPL Financial Services
San Francisco, CA
$225
20
Financial "independence" planning.
71
G. Andrew Ahrens
Ahrens Investment Partners (LPL)
Lafayette, LA
$225
18
Fee-only advice for professionals, physicians, small biz owners and corporate clients.
72
Roy E. Williams
Prestige Wealth Management Group (LPL)
Pennington, NJ
$211
25
Tax, insurance, retirement and estate planning for executives, biz owners and retirees.
73
Camilla Neri
Retirement Capital Strategies (LPL)
San Jose, CA
$210
27
Financial planning and money management primarily for women.
74
Paul Ewing
Prosperity Advisory Group (Multi Financial/ING)
Overland Park, KS
$207
27
Investment management and financial planning for early retirees and high-net-worth clients.
75
Barbara A. Warner
Warner Financial (Mutual Services Corp.)
Bethesda, MD
$206
24
HNW families and individuals.
76
Robert Bjork
McNellis & Bjork (Raymond James)
Bloomington, MN
$204
26
Financial planning for HNW clients.
77
Fred Werner, David Daniel
Summit Financial (Wachovia Securities)
Lafayette, LA
$203
30
Discretionary fee-based advice.
78
Kalita Blessing
Quest Capital Management (Raymond James)
Dallas, TX
$202
14
Financial planning.
79
Jack Dardis
Next Financial Group
Metairie, LA
$201
28
Estate and financial planning.
80
Frank Marzano
GM Advisory Group (Multi Financial/ING)
Port Washington, NY
$200
10
Integrated financial services for family-owned businesses, HNW individuals and execs.
81
Craig Noel
Raymond James Financial Services
Bellevue, WA
$200
25
Fee-based asset management, retirement, and planning for closely-held businesses.
82
Robby D. Harfst
Harfst & Associates (Raymond James)
Ashland, OR
$200
15
Retirement planning for individuals, with high-touch personalized service.
83
Scott A. Wigren
Alden Capital Management (Raymond James)
Bellevue, WA
$200
32
Financial and retirement planning and investment and wealth management.
84
Wayne Schluchter
Schluchter Investment Advisors (First Allied)
St. Cloud, MN
$200
20
Comprehensive wealth management for retirees or individuals nearing retirement.
85
Ty Bernicke
Bernicke & Associates (SII Investments)
Eau Claire, WI
$200
11
Comprehensive wealth management for retirees or individuals nearing retirement.
86
Christopher Sorce
HBK Sorce Advisory (Securities America)
Naples, FL
$199
31
Financial planning for HNW individuals.
87
Alan Leist, Jr.
Strategic Financial Services (Cadaret Grant)
Utica, NY
$197
28
Fee-based advisory and traditional brokerage for individuals, businesses and non-profits.
88
Patricia Meidell
American Retirement Planners (Associated Securities Corp.)
Reno, NV
$191
35
Fee-based wealth management for individual and small businesses.
89
Carter W. Leinster
Triad Financial Advisors (Royal Alliance)
Greensboro, NC
$190
29
Comprehensive fee-based financial planning and retirement distribution planning.
90
Steven Hoffman
ARS Financial Services (Cadaret Grant)
Jericho, NY
$185
33
Retirement and estate planning for retirees.
91
Carol L. Rogers
Rogers & Company (LPL)
St. Louis, MO
$185
31
Wealth management with a disciplined, customized assessment and investment process.
92
Lawrence Silverman
LPL Financial Services
Newport Beach, CA
$183
23
Comprehensive retirement services, with focus on UPS.
93
Nancy K. Caton
Caton Financial (Raymond James)
Larkspur, CA
$181
26
HNW individuals and families, entrepreneurs, closely-held businesses and non-profits.

94
Mark Congdon
The Horizon Group (Cadaret Grant)
West Henrietta, NY
$181
21
Retirement income planning and tax-distribution planning.
95
Robert Hardcastle
Delta Investment Services (VSR Financial Services)
Chesterfield, MO
$180
24
Fee-based services, mutual fund asset allocation.
96
Tom Weissenburger
Weissenburger Investments & Financial Planning (SII Investments)
Des Moines, IA
$180
18
Broad client base: businesses of many sizes and individual investors from all walks of life.
97
A. Larry Lock Jr.
Universal Financial Group (Mutual Services Corp.)
St. Louis, MO
$180
30
Retirement planning and advising on 401(k) plans for businesses.
98
Rafael O. Velez III
Summit Financial Advisors (Mutual Services Corp.)
San Mateo, CA
$180
17
Comprehensive financial planning with a focus on retirement.
99
Henry Asher
The Northstar Group (Royal Alliance)
New York, NY
$176
26
HNW families.
100
Paul Levis
Summit Financial Services (Cadaret Grant)
Jericho, NY
$175
30
Financial and estate planning, pensions and biz services for affluent and closely-held corps.