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America's Top 100 Independent AdvisorsAmerica's Top 100 Independent Advisors
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
August 1, 2007
8 Min Read
| 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 management 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 (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 (LPL) | Plano, TX | $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 | an 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) |
| $199 | 31 | integrating investment strategies with creative estate and legacy planning. 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. |
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| 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. |
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