METHODOLOGY:

The annual Registered Rep. Top 100 IBD financial advisor list was spearheaded this year by Discovery, an online database of financial service intermediaries published by the Financial Information Group of Shrewsburry, N.J. Discovery has created a proprietary methodology for ranking FINRA registered representatives. In this list, the advisors were ranked by assets under management using the Discovery-RR database system. Discovery maintains data on the registered rep universe then validates the ranking via direct survey. Some advisors from past years are not on this year's list.

Name Firm City AUM (in millions) Yrs in the Biz Business Description/Speciality

1.





2.

Ronald Carson




John Hyland
Carson Wealth Management Group (LPL Financial)


Morristown Financial Group (LPL Financial)
Omaha, NE





Morristown, NJ



$2,000





$1,800



31





19


Investment management, retirement planning, estate and tax planning services.



Investment management, retirement planning, corporate pension/401(k) plans.

3. Christopher Sorce HBK Sorce Financial (Purshe Kaplan Sterling Investments) Erie, PA $1,400 14 Independent, personal financial planning and investment advisory firm.

3. William (Mike) Robertson Robertson & Associates (First Allied) Houston, TX $1,400 33 Managed money, estate planning and investment banking for HNW and UHNW.
5. Matthew Delaney Wharton Business Group (FSC Securities) Exton, PA $1,300 16 Independent consultant to business owners, endowments, foundations and hospitals.
6. Bradley and Cleves Delp The Delp Company (LPL Financial) Maumee, OH $1,000 15 Ultra-HNW investment advisory, estate planning and risk management.
7. Susan Kaplan Kaplan Financial Services (LPL Financial) Newton Lower Falls, MA $750 26 Asset management and comprehensive financial planning.

8. John Darrah Honkamp Krueger Financial Services (ProEquities)
Dubuque, IA $742 28 CPA advising personal financial and wealth management firms.
9.


10.
Earl Winthrop

Brett N. Karras
LPL Financial


The Karras Company (Raymond James Financial Services)

Avon, CT


Roy, UT
$705


$685
24


16
Independent comprehensive wealth management services.

Comprehensive wealth management.


11. William Garbarino Lincoln Financial Advisors Danbury, CT $650 24 Retail clients, corporate executives, financial and estate planning.
11. Gerard Klingman Klingman & Associates (Raymond James Financial Services) New York, NY $650 26 Wealth management.




11.



11.
James Bashaw


Van Pearcy
James E. Bashaw and Co. (LPL Financial)

Van Pearcy's Wealth Services Team (Raymond James Financial Services)
Houston, TX



Midland, TX

$650



$650

25



22
Holistic private wealth advisory for families, small businesses and non-profit organizations.

Wealth management and estate/asset protection.



15. Thomas Gau Retirement Planning Specialists (SagePoint Financial) Ashland, OR $640 25 Specialize in individuals who are retired or are about to retire.



16. Malcolm Makin Professional Planning Group (Raymond James Financial Services) Westerly, RI $605 32 Full service, comprehensive wealth management for individuals and endowments.
17. Lee Rosenberg ARS Financial Services (Cadaret, Grant) Jericho, NY $555 35 Personal financial planning, written financial plans, estate and retirement planning.
18. Randolph Carver Carver Financial Services (Raymond James Financial Services) Mentor, OH $550 22 Comprehensive customized wealth management for individuals, corporations and institutions.


18. Garrett Ahrens Ahrens Investment Partners (LPL Financial) Lafayette, LA $550 20 Financial asset allocation.



20.





21.
Sally Law





Salvador (Sal) Flores Jr.
Law & Assosciates (Raymond James Financial Services)

Flores Capital Management (Raymond James Financial Services)
Glen Echo, MD




Chandler, AZ
$535





$520

36





29
Wealth management and financial planning.




Superior financial service with a commitment to excellence and integrity.


22. Laila Marshall-Pence Pence Wealth Management (LPL Financial) Newport Beach, CA $500 29 Full spectrum financial planning and wealth management for individual investors.
22. Larry Carroll Carroll Financial (Financial Network Investment Corporation) Charlotte, NC $500 29 Retirement planning, fee-based asset management.
22. Ronald Weiner RDM Financial Group (RDM Investment Services) Westport, CT $500 20 Investment strategy and diversified investment advisory.


22. David Borden Borden CCR Wealth Management (Multi-Financial Securities Corporation) Westborough, MA $500 13 Wealth management services for HNW individuals and business owners.
26. Bruce Johnson CapTrust Financial Advisors (Wells Fargo Advisors Financial Network) Holland, MI $470 27 Investment consulting.





27. Debra Brede D.K. Brede Investment Management. Company (Commonwealth) Needham, MA $454 28 Wealth management for HNW clients and business owners.
28. Meg Green Meg Green & Associates (Royal Alliance) Miami, FL $450 29 Financial planning, investment management and tax-sensitive portfolios for HNW investors.
29.





30.
Steven Stocker




Don Campagna
Investment Partners (Commonwealth Financial Network)

Personal Portfolio Management (Raymond James Financial Services)
New Philadelphia, OH



Boca Raton, FL
$445





$444


19





27


Wealth management for HNW and mass affluent, portfolio management for retirement plans, corporations, family trusts, endowments, foundations.

RIA, comprehensive financial planning, asset allocation, high net worht individuals, businesses.



31.




32.
Roy Williams



Mark Smith
Prestige Wealth Management (LPL Financial)


M J Smith and Associates (Raymond James Financial Services)
Pennington, NJ



Englewood, CO
$441




$420

27




26


Comprehensive wealth management, providing customized planning solutions to HNW indivduals.

Wealth management and retirement planning. Fee-based asset management services with a comprehensive financial planning approach, including tax planning.

33.





34.

Edward (Jeff) Sella




Bradley Orvieto

SPC Financial Services (Raymond James Financial Services)

Strategic Asset Management Group Advisors (Mutual Service Corporation)

Rockville, MD




Fort Lauderdale, FL

$403





$400

28





29

Estate and tax planning, financial planning for unmarried couples and couples entering a second marriage.


Wealth management for HNW and non-profits.



34. Robert Oden Mutual Service Corporation Fort Lauderdale, FL $400 27 Fee-based wealth management.


34. David McNamara VSR Financial Services West Des Moines, IA $400 25 N/A

34. Herbert Gilbert Gilbert Advanced Asset Mangement (LPL Financial) Johnson City, TN $400 21 Advanced asset managemt for retirees and pre-retirees.


34.


34.
George Dorvillier

J. David Tanner
LPL Financial


Tanner Capital Management (Raymond James Financial Services)

La Jolla, CA


Provo, UT


$400


$400
23


22

Helping clients reach financial independence.

HNW entrepreneurs who are selling businesses, with special emphasis on charitable strategies.

40 David Millican Atlanta Capital Group (LPL Financial) Atlanta, GA $385 14 Boutique wealth management focusing on HNW families.

41. Steven Booren Capital Consulting (LPL Financial) Englewood, CO $375 31 Unbiased, independent investment advice.

42.







43.



44.

John Lynch







Lee Rosenberg


Mark Cortazzo

Lynch Retirement Investment Group (Wells Fargo Advisors Financial Network)

ARS Financial Services (Cadaret, Grant)

MACRO Consulting Group (SII Investments)

Fulton, MD







Jericho, NY



Parsippany, NJ
$372







$371



$360


23







26



21

Retirement planning.



Comprehensive financial planning for HNW clients.


Full service, independent financial advisory firm, specializing in retirement income planning.

45. Trudy Haussmann Haussmann Financial (Securities America) Newport Beach, CA $356 23 Boutique financial planning firm, specializing in retirement for Fortune 500 employees.

46. David Daniel Summit Financial (Wells Fargo Advisors Financial Network) Lafayette, LA $354 32 Discretionary fee-based advice.




47. Kalita Bleck Blessing Quest Capital Management (Raymond James Financial Services) Dallas, TX $352 17 Financial planning.
48. Kerrick Bubb KWB & Associates (LPL Financial) Redlands, CA $351 22 Comprehensive wealth management with an emphasis on retirement and estate planning.
49. Barbara Hudock Hudock Moyer Wealth Management (Wells Fargo Advisors Financial Network) Williamsport, PA $350 34 Investment consulting.






49. Nadim Joseph Nahas NWK Group (First Allied) San Francisco, CA $350 16 Retirement plan consulting and wealth management.

49. James Cox Harris Financial Group (LPL Financial) Colonial Heights, VA $350 13 Retirement planning.
49. James McKee Berthel, Fisher & Company Financial Services Eugene, OR $350 12 Income investing for retirement, with a client asset minimum of $1.5 million.
53. Steven Novick LPL Financial New Canaan, CT $340 14 N/A

54. Janice Hobbs JanHobbs Financial Group (LPL Financial) Orange, CA $338 25 Financial planning and wealth management.

54. Carole Ford Ford Financial Group (LPL Financial) Fresno, CA $338 26 Independent fee-based investment management and financial planning for HNW individuals and families.
56. Charles Morris Raymond James Financial Services Baton Rouge, LA $322 26 Financial planning.

57.

Deborah Danielson

Danielson Financial Group (LPL Financial)

Las Vegas, NV

$310

28

Financial planning, investment management and tax-sensitive portfolios for HNW investors.
58. Stephan Cassaday Cassaday & Company (Royal Alliance) Mc Lean, VA $307 32 Financial planning and investment management for HNW individuals and small businesses.
58. Barry Glassman Cassaday & Company (Royal Alliance) Mc Lean, VA $307 14 Comprehensive wealth management for HNW families.
60. Stephen Johnson Raymond James Financial Services. Draper, UT $301 30 Wealth management for retail clients, ERISA plans
61. Dale Cebert Cebert Wealth Management Group (National Planning Corporation) The Villages, FL $300 27 Retirement income planning specialists.



61. Michael Steranka Retirement Planning Services (Broker Dealer Financial Services) Millersville, MD $300 15 Income planning, investment planning, tax planning, education planning.


63. Michael Hines Consolidated Planning Corporation (Raymond James Financial Services) Atlanta, GA $293 43 Financial planning for retirees, doctors, lawyers, dentists and educators; intergenerational planning.


64. Thomas Hamlin Hamlin Financial and Insurance Services (Raymond James Financial Services) Portland, OR $292 19 Pre-retirees and retirees, inflation hedging.




65. John Moore Raymond James Financial Services Albuquerque, NM $283 11 Financial planning.


66.


Robert Kantor


XML Financial Group (LPL Financial) Rockville. MD $280 46 Financial planning.
67. Todd Sanford Sanford Financial Services (Raymond James Financial Services) Portage, MI $270 26 Multi-specialty firm for educators, small-business owners and employees of major corporations with a local presence.

68. Sheryl Stephens Stephens Wealth Management (Raymond James Financial Services) Flint, MI $262 34 Fee-based consulting, including asset mgt., estate planning, retirement planning, tax planning, philanthropy and insurance solutions for HNW clients, professionals and business owners.
68. Robert Valente RAV Financial Services (Sigma Financial Corporation) Beachwood, OH $260 37 Customized wealth management, including asset management, financial and estate planning.

70. Robert Wamhoff Wamhoff Financial Planning (VSR Financial Services) Hazelwood, MO $255 19 Financial planning, tax planning and charitable planning.



71. Carl Stuart Raymond James Financial Services Austin, TX $250 11 Investment management, risk management and estate planning.

71. Roger Green Green Financial Resources (Multi-Financial Securities) Duluth, GA $250 21 Financial planning, advisory and wealth management.


73. Judith Mcgee McGee Financial Strategies (Raymond James Financial Services) Portland, OR $247 34 Wealth management, financial planning, retirement planning, estate and trust planning for the well-educated, professional client.

74.



75.





75.
Karen Hansen


Nadine Wilkes




Paul Weinstein
Woodbury Financial Services

Weinstein Wilkes Financial Group (Raymond James Financial Services)

Weintsein Wilkes Financial Group (Raymond James Financial Services)
Anchorage, AK


Ft. Myers, FL





Fy. Myers, FL

$245



$236





$236

20



26





26

Strong acumen for building businesses and creating wealth for clients in all walks of life.

Comprehensive financial planning for HNW clients.




HNW clients.






77.




78.
Bennett Marks



Richard H. Wagener
Marks Group Wealth Management (LPL Financial)

Wagener-Lee Wealth Advisors (Raymond James Financial Services)
Hopkins, MN




Columbia, MD

$235




$233
27




34

Provide HNW clients with personalized service and investment decisions on a local level.

Comprehensive wealth management, portfolio management, retirement, tax and estate planning for corporate executives, professionals and retirees.

79. Kathleen Muldoon Carter Financial Management (Raymond James Financial Services) Dallas, TX $231 29 Financial planning.




80. Dudley Barnes Barnes-Petty Financial Advisors (Raymond James Financial Services,) Clarksdale, MS $230 34 Comprehensive financial planning in rural America.
80. Carol Rogers Rogers & Company Wealth Management (LPL Financial) Saint Louis, MO $230 33 Certified Private Wealth Manager providing comprehensive planning and wealth management solutions to HNW families and individuals.
82. Wayne Schluchter First Allied Securities Saint Cloud, MN $227 12 Comprehensive wealth management services with a focus on cash flow and risk management.
83. Daniel Gavin Gavin & Associates (Raymond James Financial Services) Midland, MI $225 37 Financial planning, investment management for mid/upper level management.
83.




83.
Michael McNamara



Kevin VanDyke
McNamara Financial Services (Commonwealth)

Bloomfield Hills Financial (SII Investments)
Marshfield, MA



Bloomfield Hills, MI
$225




$225


29




13

Retail financial consulting and wealth management practice.



Retirement planning specialist with a focus on automotive industry retirees.
86. David Workman LPL Financial Logansport, IN $223 22 Managing retirement plans.

87. John Dardis Jack Dardis & Associates (Next Financial Group) Metairie, LA $215 29 N/A
88. Patricia Meidell American Retirement Planners (Associated Securities) Reno, NV $213 36 Providing financial advice and individualized solutions with the goal of enabling our clients to attain their lifetime goals and aspirations.
89. Daniel Boyce Center for Financial Planning (Raymond James Financial Services) Southfield, MI $210 27 Wealth management for HNW individuals.
89. Stephen Wedel Four Seasons Wealth Management (LPL Financial) Saint Louis, MO $210 26 Holistic fee-based financial planning with an emphasis on retirement planning and capital preservation for executives, business owners and HNW individuals.
89. Russell Cesari Northwest Financial (LPL Financial) Herndon, VA $210 10 Wealth management and comprehensive financial planning.
92. Mark Brown Brown & Tedstrom Denver, CO (LPL Financial) $205 26 Comprehensive wealth management for successful entrepreneurs and business owners.
93. Marilyn Gunther Center for Financial Planning (Raymond James Financial Services) Southfield, MI $203 25 Comprehensive financial planning for moderately HNW clients. Specializations in retirement planning and planning for physicians.


94.





94.


Ken Stern







Richard Basler


Ken Stern & Associates (First Allied Securities)



Raymond James Financial Services


San Diego,
CA




Saint Louis, MO


$200





$200


20





39


Uncompromised family wealth planning/investment management; integrating investment strategies with creative estate and legacy planning.

Comprehensive investment management.

94. Holmes Pettey Barnes-Pettey (Raymond James Financial Services) Clarksdale, MS $200 24 Helping clients manage their money.


94. Robby Harfst Harfst & Associates (Raymond James Financial Services) Ashland, OR $200 17 Financial advisory for individuals and small businesses.



94. David Armstrong Monument Wealth Management (LPL Financial) Alexandria, VA $200 10 Full-service financial planning and discretionary asset management using ETFs and individual securities.
99. Wayne Von Borstel Von Borstel & Associates (LPL Financial) The Dalles, OR $197 24 Wealth management.


100.




100.


102.

Lori Price




Joe Sgroi


Jon Wax

Price Financial Group (Securities America)

Sgroi Financial (Cadaret, Grant)

Waller & Wax Advisors (Raymond James Financial Services)

Wilton, CT




West Seneca, NY

Tampa, FL

$195




$195


$192

21




37


13

Providing unparalleled client service and education.

Specialize in tax sheltered annuity marketplace, particularly school systems and non-profit organizations.

Assisting clients to reach their financial goals. Clients are typically in one of three stages: young, established, pre-retirement.

103.





103.
Ty Bernicke




Larry Braunstein
Bernicke & Associates (Raymond James Financial Services)

LMB Group (First Allied Securities)
Eau Claire, WI




New York, NY
$190





$190

12





26

Retirement planning.





Focus on producing inflation-adjusted income solutions for life for the near affluent.


105.


Robert Taylor

Choice Financial Services (ING Financial Partners)

Oklahoma City, OK

$185

24

Assisting our clients in every aspect of their financial lives.


106. John Klevens Klevens Capital Mgt. (KMS Financial Services) Bellevue, WA $180 18 Investment and retirement planning.


107. Michael Boone MW Boone & Associates (LPL Financial) Bellevue, WA $179 24 Comprehensive financial planning.


108. Byron Braun Braun Wealth Management Group (Wells Fargo Advisors Financial Network) Fort Wayne, IN $177 31 Financial planning and asset management.




109. Robert Bjork Birch Cove Group (Raymond James Financial Services) Bloomington, MN $175 28 High-touch wealth management and financial planning for HNW clients.


110.





111.




112.
Bill E. Carter




Larry Baker



Brian Farley
Carter Financial Management (Raymond James Financial Services)

Baker Krizner Financial Planning (Cadaret, Grant)

Farley Planning Group (First Allied Securities)
Dallas, TX





Springfield, OH



Eagan, MN



$167





$164




$162
31





35




13
Multi-disciplinary firm serving affluent individuals, families and professionals, with unified financial, tax, legal, business & philanthropic strategies.

Designing personalized financial and/or estate plans, including tax planning, employee benefit and retirement plans and insurance.

Wealth management and retirement cash flow planning.



113.




Harold Castner



Wells Fargo Advisors Financial Network


Nashville, TN





$160 19 N/A
114. John Ohmer YBR Financial Advisors (LPL Financial) San Francisco, CA $157 22 Working with affluent individuals as they approach and enter financial independence.
115.





116.
Scott Wigren




Scot Madson
Alden Capital Management (Raymond James Financial Services)

Navigator Planning Group (SII Investments)
Bellevue, WA





Green Bay, WI


$155





$154


20





31

Financial planning services, including comprehensive retirement planning, financial and estate planning, and investment advisory services.

Deferred compensation for business plans, business succession and retirement planning.
117. Dewitt Alexandre Dominick & Dominick (Direct Trading Institutional) New York, NY $150 31 N/A



117. Barbara Warner Warner Financial (Mutual Service Corporation) Bethesda, MD $150 26 HNW families and individuals.


117. William Burke Mendham Capital Management (Raymond James Financial Services) Mendham, NJ $150 26 Provide customized investment management services for successful executives, professionals and business owners.


117. Kevin Ellman Wealth Preservation Solutions (NFP Securities) Ridgewood, NJ $150 18 Wealth management, financial planning and investment advisory.