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Top 50 Independent B/D AdvisorsTop 50 Independent B/D 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
January 1, 2008
4 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 Mike Robertson | Robertson & Associates (First Allied) | Houston, TX | $1,000 | 32 | Managed money, estate planning and investment banking for HNW and UNHW. |
| 5 Malcolm A. Makin | Professional Planning Group (Raymond James) | Westerly, RI | $850 | 31 | Wealth management and investment advisory services for individuals and endowments. |
| 6 Gerard A. Klingman | Klingman and Associates (Raymond James) | New York, NY | $800 | 24 | Financial planning and asset management for senior executives and professional athletes. |
| 7 Susan C. Kaplan | Kaplan Financial Services (LPL) | Newton, MA | $800 | 22 | Business owners and high-net-worth clients. |
| 8 Kay R. Shirley | Financial Development Corp. (Mutual Services Corp.) | Atlanta, GA | $721 | 26 | Retirement planning, tax planning and financial planning. |
| 9 Randy Carver | Carver Financial Services (Raymond James) | Mentor, OH | $680 | 21 | Independent, comprehensive customized wealth management services to individuals, corporations and institutions |
| 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 McDonald, 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 Richard H. Wagener | Wagener-Lee Wealth Advisors (Raymond James) | Columbia, MD | $425 | 33 | Comprehensive wealth-management services. |
| 26 Edward “Jeff” Sella | Raymond James Financial Services | Rockville, MD | $425 | 27 | N/A |
| 27 James A. Cox III | Harris Financial Group (LPL) | Colonial Heights, VA | $415 | 11 | Retirement-income planning for Fortune 500 company employees. |
| 28 Michael “Mike” Hines | Consolidated Planning Corporation(Raymond James) | Atlanta, GA | $400 | 42 | Clients range from retirees, doctors, lawyers, dentists, people in education and inter generational planning |
| 29 David Tanner | Tanner Capital Management (Raymond James) | Provo, UT | $400 | 21 | HNW entrepreneurs selling their businesses, charitable strategies. |
| 30 G. Michael Dorvillier | LPL Financial Services | La Jolla, CA | $400 | 17 | Individual financial planning, corporate retirement accounts. |
| 31 Michael Gilbert | Gilbert Advanced Asset Management (LPL) | Johnson City, TN | $380 | 20 | Planning for retirement, asset preservation. |
| 32 Charles Bean | Heritage Financial Services (Commonwealth) | Norwood, MA | $380 | 15 | Provide personalized, comprehensive wealth-management services. |
| 33 Barbara Hudock | Hudock Moyer Wealth Management (Wachovia) | Williamsport, PA | $363 | 25 | Investment consulting. |
| 34 Debra Brede | D.K. Brede Investment Mgt. Co. (Commonwealth) | Needham, MA | $360 | 20 | Investment management. |
| 35 Charles Morris | Raymond James Financial Services | Baton Rouge, LA | $358 | 21 | Financial planning. |
| 36 Sherri Stephens | Stephens Wealth Mgmt. Group (Raymond James) | Flint, MI | $355 | 32 | Asset management, insurance and retirement, tax and charitable planning. |
| 37 Judith A. McGee | McGee Financial Strategies (Raymond James) | Portland, MI | $354 | 32 | Financial, retirement, estate and trust planning for well-educated, professional clients. |
| 38 Roger Green | Green Financial Resources (Multi Financial/ING) | Duluth, GA | $350 | 19 | Wide range of clients; asset class diversification for retirees. |
| 39 Carl Stuart | Carl Stuart Investment Advisor (Raymond James) | Austin, TX | $329 | 28 | Financial planning. |
| 40 Steve Booren | Capital Consulting (LPL) | Greenwood Village, CO | $325 | 29 | Unbiased, independent investment advice, primarily for individuals and families. |
| 41 Denise A. Izatt | Denise Ann Izatt and Assoc. (Mutual Services Corp.) | OakBrook, IL | $323 | 9 | Comprehensive financial planning and quality service for educators. |
| 42 Stephen W. Johnson | Johnson Investment Advisor Services (Raymond James) | Draper, UT | $320 | 28 | Advising retail investors and 401(k) plans. |
| 43 Robert A. Valente | RAV Financial Services (Mutal Services Corp.) | Beechwood, OH | $311 | 35 | Customized wealth management for individuals and families. |
| 44 William Fisher | Summit Financial Advisors (Mutual Services Corp.) | San Mateo, CA | $310 | 18 | Strategic money management and financial planning for HNW clients, small businesses. |
| 45 Barry Glassman | Cassaday & Company (Royal Alliance) | McLean, VA | $306 | 15 | Comprehensive wealth management and multi-family office support services. |
| 46 Michael McNamara | McNamara Financial Services (Commonwealth) | Marshfield, MA | $306 | 27 | Full-service financial consulting firm built around a father, son and daughter team. |
| 47 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. |
| 48 Carole Ford | LPL Financial Services | Los Angeles, CA | $300 | 24 | Financial planning with a focus on female clientele. |
| 49 Holmes Pettey | Barnes-Pettey (Raymond James) | Clarksdale, MS | $300 | 23 | Helping clients manage their money. |
| 50 Robert Floe | Floe Financial Partners (LPL) | Pasadena, CA | $300 | 20 | Wealth management for HNW individuals, families, foundations, charities and retirement plans. |
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