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America’s Top 100 Independent Advisors 11-01-2008America’s Top 100 Independent Advisors 11-01-2008
Name Firm (b/d) City Est. AUM in $MM Yrs. In Biz Business Description/Specialty 1 Kevin Myeroff NCA Financial Planners (Royal Alliance) Cleveland $2.650 30 Investment management, retirement planning, estate and tax planning services. 2 Ron Carson Carson Wealth Management Group (LPL Financial) Omaha 2.050 25 Financial planning, wealth planning, tax planning and risk management. 3 Matt Delaney Wharton
November 1, 2008
7 Min Read
| Name | Firm (b/d) | City | Est. AUM in $MM | Yrs. In Biz | Business Description/Specialty | |
|---|---|---|---|---|---|---|
| 1 | Kevin Myeroff | NCA Financial Planners (Royal Alliance) | Cleveland | $2.650 | 30 | Investment management, retirement planning, estate and tax planning services. |
| 2 | Ron Carson | Carson Wealth Management Group (LPL Financial) | Omaha | 2.050 | 25 | Financial planning, wealth planning, tax planning and risk management. |
| 3 | Matt Delaney | Wharton Business Group (FSC Securities) | Exton, Pa. | 1.600 | 15 | Independent consultant to business owners, endowments, foundations and hospitals. |
| 4 | Cleves R. Delp, Bradley Delp | The Delp Company (LPL Financial) | Maumee, Ohio | 1.500 | 14 | Ultra HNW investment advisory, estate planning and risk management. |
| 5 | Mike Robertson | Robertson & Associates (First Allied) | Houston | 1.100 | 33 | Managed money, estate planning and investment banking for HNW and UHNW. |
| 6 | Nathan Bachrach | Financial Network Group (Royal Alliance) | Cincinnati | 1.035 | 30 | Investment management, retirement planning, estate and tax planning services. |
| 7 | Susan C. Kaplan | Kaplan Financial Services (LPL Financial) | Newton, Mass. | 850 | 25 | Asset management and comprehensive financial planning. |
| 8 | Malcom A. “Mal” Makin | Professional Planning Group (Raymond James Financial Services) | Westerly, R.I. | 805 | 31 | Full service, comprehensive wealth management firm for individuals and endowments. |
| 9 | Gerard “Gerry” Klingman | Klingman & Associates (Raymond James Financial Services) | New York | 800 | 25 | Wealth management firm. |
| 10 | Charles Zhang | Zhang Financial (LPL Financial) | Portage, Mich. | 800 | 17 | Asset management and comprehensive financial planning. |
| 11 | Thomas Gau | Retirement Planning Specialists (AIG) | Ashland, Ore. | 702 | 24 | Specialize in individuals who are retired or are about to retire. |
| 12 | Salvador “Sal” Flores, Jr. | Flores Capital Management (Raymond James Financial Services) | Chandler, Ariz. | 702 | 28 | Financial service with a commitment to excellence and integrity. |
| 13 | Kay R. Shirley | Financial Development Corp. (Mutual Service Corp.) | Atlanta | 678 | 28 | Pre-retirement and retirement income planning for upper middle managers. |
| 14 | Van Pearcy | Van Pearcy's Wealth Services Team (Raymond James Financial Services) | Midland, Texas | 670 | 20 | Financial planning. |
| 15 | Randy Carver | Carver Financial Services (Raymond James Financial Services) | Mentor, Ohio | 670 | 21 | Comprehensive customized wealth management for individuals, corporations and institutions. |
| 16 | Earl B. & Mark Winthrop | LPL Financial | Avon, Conn. | 670 | 23 | Independent comprehensive wealth management services. |
| 17 | Robert Fragasso | Fragasso Financial Advisors (LPL Financial) | Pittsburgh | 635 | 37 | Financial planning and wealth management. |
| 18 | Todd Feltz | Feltz WealthPLAN (LPL Financial) | Omaha | 610 | 24 | Managed accounts; asset allocation and preservation for retirement income. |
| 19 | G. Michael Dorvillier & Shari D. Miller | LPL Financial | La Jolla, Calif. | 600 | 22 | Helping clients reach financial independence. |
| 20 | K. Larry Hastie | Retirement Income Solutions (Mutual Service Corp.) | Ann Arbor, Mich. | 589 | 26 | Fee-based, proactive asset management and retirement planning. |
| 21 | Thomas J. Bartholomew | Bartholomew & Company (Commonwealth) | Worcester, Mass. | 583 | 31 | Financial planning, retirement planning and fixed-income portfolio management. |
| 22 | Mark Smith | M.J. Smith and Associates (Raymond James Financial Services) | Englewood, Colo. | 552 | 25 | Wealth management and retirement planning. |
| 23 | Meg Green | Meg Green & Associates (Royal Alliance) | N. Miami Beach | 550 | 28 | Financial planning, investment management and tax-sensitive portfolios for HNW investors. |
| 24 | David Borden | CCR Wealth Management (Multi-Financial Securities Corporation) | Westborough, Mass. | 550 | 12 | Wealth management services for HNW individuals and business owners. |
| 25 | Larry W. Carroll | Carroll Financial (Financial Network Investment Corp./ING) | Charlotte | 527 | 28 | Retirement planning, fee-based asset management. |
| 26 | Lee Rosenberg | ARS Financial Services (Cadaret, Grant) | Jericho, N.Y. | 503 | 34 | Personal financial planning, written financial plans, estate and retirement planning. |
| 27 | John Lynch | Lynch Retirement Investment Group (Wachovia Securities) | Columbia, Md. | 500 | 22 | Retirement planning. |
| 28 | Chuck Bean | Heritage Financial Services, Inc. (Commonwealth) | Norwood, Mass. | 500 | 18 | Comprehensive wealth management services for HNW investors. |
| 29 | Debra Brede | D.K. Brede Investment Management. Company (Commonwealthy) | Needham, Mass. | 476 | 27 | Wealth management for HNW clients and business owners. |
| 30 | Steven C Stocker | Investment Partners (Commonwealth) | New Philadelphia, Ohio | 475 | 18 | Wealth management for HNW and mass affluent, portfolio management for retirement plans, corporations, family trusts, endowments, foundations. |
| 31 | Edward “Jeff” Sella | Raymond James Financial Services | Rockville, Md. | 474 | 27 | Financial planning. |
| 32 | Brett Ellen | American Financial Network (Securities America) | Calabasas, Calif. | 450 | 20 | Comprehensive financial planning, wealth management and corporate benefit planning services. |
| 33 | Bruce Johnson | CapTrust Financial Advisors (Wachovia Securities) | Holland, Mich. | 435 | 26 | Investment consulting. |
| 34 | Bernard Wolfe | Bernard R. Wolfe & Associates (NFP) | Chevy Chase, Md. | 430 | 30 | Institutional wealth management for HNW individuals, families and small-business owners. |
| 35 | Stephen W. Johnson | Raymond James Financial Services | Draper, Utah | 420 | 29 | Wealth management for retail clients, ERISA plans. |
| 36 | Richard H. Wagener | Wagener-Lee Wealth Advisors (Raymond James Financial Services) | Columbia, Md. | 418 | 33 | Comprehensive wealth management services for corporate executives, professionals and retirees. |
| 37 | James A. Cox, III | Harris Financial Group (LPL Financial) | Colonial Heights, Va. | 415 | 12 | Retirement planning. |
| 38 | Rob Oden | Mutual Service Corp. | Fort Lauderdale | 400 | 26 | Fee-based wealth management. |
| 39 | Michael Gilbert | Gilbert Advanced Asset Management (LPL Financial) | Johnson City, Tenn. | 400 | 20 | Retirement income management and wealth preservation. |
| 40 | Michael “Mike” Hines | Consolidated Planning Corporation (Raymond James Financial Services) | Atlanta | 400 | 42 | Financial planning for retirees, doctors, lawyers, dentists and educators; intergenerational planning. |
| 41 | Laila Marshall-Pence | Pence Wealth Management (LPL Financial) | Newport Beach, Calif. | 400 | 28 | Financial planning and wealth management for individual investors. |
| 42 | J. David Tanner | Tanner Capital Management, (Raymond James Financial Services) | Provo, Utah | 400 | 22 | HNW entrepreneurs who are selling businesses with a special emphasis on charitable strategies. |
| 43 | Fred Werner, David Daniel | Summit Financial (Wachovia Securities) | Lafayette, La. | 400 | 31 | Discretionary fee-based advice. |
| 44 | David A. Peterson | Peak Capital Investment Services, (LPL Financial) | Highlands Ranch, Colo. | 400 | 14 | Retirement planning and HNW individuals. |
| 45 | Barbara Hudock | Hudock Moyer Wealth Management (Wachovia) | Williamsport, Pa. | 400 | 33 | Investment consulting. |
| 46 | Nicholas Pascarella | Nicholas Pascarella & Associates (Multi-Financial Securities Corporation) | Denville, N.J. | 378 | 32 | Pharmaceutical industry professionals and executives at major corporations. |
| 47 | Judith Ann McGee | McGee Financial Strategies, Inc. (Raymond James Financial Services) | Portland | 378 | 33 | Wealth management, financial planning, retirement planning, estate and trust planning for the well-educated, professional client. |
| 48 | John Castino | Wealth Enhancement Group (LPL Financial) | Minneapolis, Minn. | 373 | 21 | Wealth management services |
| 49 | Janice K. Hobbs | JanHobbs Financial Group (LPL Financial) | Orange, Calif. | 370 | 24 | Financial planning and wealth management. |
| 50 | Deborah L. Danielson | Danielson Financial Group (LPL Financial) | Las Vegas, Nev. | 364 | 27 | Financial planning, investment management and tax-sensitive portfolios for HNW investors. |
| 51 | Mark Cortazzo | Macro Consulting Group (SII Investments) | Parsippany, N.J. | 360 | 19 | Planning for HNW individuals who are retired or within three to five years of retirement. |
| 52 | Charles Morris | Raymond James Financial Services | Baton Rouge | 358 | 25 | Financial planning. |
| 53 | Sheryl “Sherri” Stephens | Stephens Wealth Management (Raymond James Financial Services) | Flint, Mich. | 355 | 33 | Fee-based consulting, including asset mgt., estate planning, retirement planning, tax planning, philanthropy and insurance solutions for HNW clients, professionals and business owners. |
| 54 | Barry Glassman | Cassaday & Company (Royal Alliance) | McLean, Va. | 344 | 13 | Comprehensive wealth management for HNW families. |
| 55 | Don Campagna | Personal Portfolio Management (Raymond James Financial Services) | Boca Raton | 342 | 26 | Comprehensive financial planning, asset allocation for HNW individuals and businesses. |
| 56 | Timothy W. Leveroni | Leveroni Financial Management (Mutual Service Corporation) | Braintree, Mass. | 335 | 32 | Financial planning and investment management. |
| 57 | Denise A. Izatt | Denise Ann Izatt and Associates (Mutual Service Corporation) | Oakbrook, Ill. | 330 | 10 | Full-service financial planning. |
| 58 | Carole R. Ford | Ford Financial Group (LPL Financial) | Fresno, Calif. | 330 | 25 | Financial planning and portfolio management for women and catastrophically injured clients. |
| 59 | Carl Stuart | Raymond James Financial Services | Austin | 329 | 10 | Investment management, risk management and estate planning. |
| 60 | Sandeep Varma | ATS Advanced Trustee Strategies (LPL Financial) | San Diego | 328 | 19 | Advanced estate planning. |
| 61 | Dudley McBee Barnes | Barnes-Petty Financial Advisors (Raymond James Financial Services) | Clarksdale, Miss. | 325 | 33 | Comprehensive financial planning in rural America. |
| 62 | Robert A. Valente | RAV Financial Services (Mutual Service Corp.) | Beachwood, Ohio | 312 | 36 | Customized wealth management, including asset management, financial and estate planning. |
| 63 | Roger Green | Green Financial Resources (Multi-Financial Securities Corporation) | Duluth, Ga. | 312 | 20 | Financial planning, advisory and wealth management. |
| 64 | Steve Booren | Capital Consulting (LPL Financial) | Greenwood Village, Colo. | 310 | 30 | Unbiased, independent investment advice. |
| 65 | Holmes Sherard Pettey | Barnes-Pettey (Raymond James Financial Services) | Clarksdale, Miss. | 310 | 23 | Helping clients manage their money. |
| 66 | Daniel Gensler | The Gensler Group (LPL Financial) | Coronado, Calif. | 307 | 24 | Life planning and passive investments. |
| 67 | Daniel Joseph Gavin | Gavin & Associates (Raymond James Financial Services) | Midland, Mich. | 306 | 36 | Financial planning, investment management for mid- to upper-level management. |
| 68 | John Moore | Raymond James Financial Services | Albuquerque | 304 | 10 | Financial planning. |
| 69 | Roman Batschynsky | Oakwood Financial Network | Troy, Mich. | 300 | 20 | HNW money management and estate planning. |
| 70 | Russell Cesari | Northwest Financial (LPL Financial) | Herndon, Va. | 300 | 9 | Wealth management and comprehensive financial planning. |
| 71 | Michael J. McNamara | McNamara Financial Services (Commonwealth) | Marshfield, Mass. | 298 | 28 | Retail financial consulting and wealth management practice. |
| 72 | Bill Stevens | Stevens Foster Financial Advisors (LPL Financial) | Bloomington, Minn. | 298 | 27 | Comprehensive wealth management and tax planning, specializing in corporate executives. |
| 73 | Jonathan Price | Sterling Financial Group (Commonwealth) | Newton, Mass. | 285 | 24 | Investment management for small to mid-sized company retirement plans. |
| 74 | Lawrence R. Lindsley | Summit Planning Group (LPL Financial) | Green Bay, Wis. planning. | 284 | 21 | Comprehensive wealth management and retirement |
| 75 | Daniel Pinkerton | Pinkerton Retirement Specialists | Coeur d'Alene, Idaho | 283 | 21 | Comprehensive wealth management. |
| 76 | Richard W. Basler | Raymond James Financial Services | St. Louis, Mo. | 275 | 38 | Comprehensive investment management. |
| 77 | Thomas B. Hamlin | Hamlin Financial and Insurance Services (Raymond James Financial Services) | Portland | 275 | 18 | Pre-retirees and retirees, inflation hedging. |
| 78 | G. Andrew Ahrens | Ahrens Investment Partners (LPL Financial) | Lafayette, La. | 275 | 19 | Financial asset allocation. |
| 79 | Patricia Brennan | Key Financial (Royal Alliance) | Westchester, Pa. | 274 | 23 | Comprehensive financial planning and coordination for individuals aged 50 and up. |
| 80 | Daniel H. Boyce | Center for Financial Planning (Raymond James Financial Services) | Southfield, Mich. | 270 | 26 | Wealth management for HNW individuals. |
| 81 | Robert F. Wamhoff | Wamhoff Financial Planning (VSR Financial Services) | Hazelwood, Mo. | 265 | 18 | Financial planning, tax planning and charitable planning. |
| 82 | Stephan Cassaday | Cassaday & Company (Royal Alliance) | McLean, Va. | 263 | 31 | Financial planning and investment management for HNW individuals and small businesses. |
| 83 | Timothy Werth | VSR Financial Services | Hays, Kan. | 261 | 16 | Financial planning. |
| 84 | George Paul Jackson | Jackson Retirement Planning (Raymond James Financial Services | Heathrow, Fla. | 260 | 15 | Wealth management for HNW families. |
| 85 | David J. Workman | LPL Financial | Logansport, Ind. | 260 | 21 | Managing retirement plans. |
| 86 | Todd Arthur Sanford | Sanford Financial Services (Raymond James Financial Services) | Portage, Mich. | 259 | 25 | Multi-specialty firm for educators, small-business owners and employees of major corporations with a local presence. |
| 87 | Mark R. Brown | Brown & Tedstrom (LPL Financial) | Denver, Colo. | 254 | 25 | Comprehensive wealth management for successful entrepreneurs and business owners. |
| 88 | Robert D. Kantor | XML Financial Group (LPL Financial) | Rockville, Md. | 252 | 45 | Financial planning. |
| 89 | Brad Orvieto | Strategic Asset Management Group Advisors (Mutual Service Corp.) | Fort Lauderdale | 250 | 28 | Wealth management for HNW and non-profits. |
| 90 | Ray Lucia | Raymond J. Lucia Companies (First Allied) | San Diego | 250 | 34 | Financial planning and advice via radio. |
| 91 | Dale L. Cebert | Cebert Wealth Management Group (National Planning Corp.) | The Villages, Fla. | 250 | 26 | Retirement income planning specialists. |
| 92 | John P. Keeney | Keeney Financial Group (LPL Financial) | Columbia, Md. | 250 | 20 | Comprehensive financial planning. |
| 93 | J. Scott McKee | The Quality Group (LPL Financial) | Eugene, Ore. | 250 | 11 | Income investing for retirement, with a client asset minimum of $1.5 million. |
| 94 | Paul A. Levis | Summit Financial Consultants (Cadaret, Grant) | Yonkers, N.Y. | 248 | 31 | Financial planning, estate planning, pensions and business services for closely held corporations, proprietorships and professionals. |
| 95 | Kathleen Anne Muldoon | Carter Financial Management (Raymond James Financial Services) | Dallas | 246 | 28 | Financial planning. |
| 96 | Wayne von Borstel | von Borstel & Associates (LPL Financial) | Dalles, Ore. | 245 | 23 | Wealth management. |
| 97 | Trudy Haussmann | Haussmann Financial (Securities America) | Newport Beach, Calif. | 244 | 22 | Boutique financial planning firm specializing in retirement for Fortune 500 employees. |
| 98 | Joseph Sgroi | Sgroi Financial (Cadaret, Grant) | West Seneca, N.Y. | 243 | 37 | Annuities, financial planning for school systems and non-profits. |
| 99 | Lesley Sommers | Sommers Financial Group (Walnut Street Securities, Inc.) | New City, N.Y. | 242 | 26 | HNW clients and affluent marketplace. |
| 100 | William “Bill” Frances Garbarino | Raymond James Financial Services | Danbury, Conn. | 240 | 23 | Retail clients, corporate executives, financial and estate planning. |
| 100 | Paul Axberg | Prime Wealth Advisors (INVEST Financial Corporation) | Sun City West, Ariz. | 236 | 11 | Lifetime financial planning, tax planning, securities and insurance. |
Definitions & Methodology: Advisors are ranked strictly by assets under management, though 60 percent of those assets must belong to retail, as opposed to institutional, clients. If the advisor is a member of a team, he must be the founder or leader of that team.
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