America'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

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)



Naples, FL

$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.


90 Steven Hoffman


91 Carol L. Rogers


ARS Financial Services (Cadaret, Grant)

Rogers & Company (LPL)


Jericho, NY



St. Louis, MO


$185



$185


33



31


Retirement and estate planning for retirees.


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.
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