Top 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

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.
Hide comments

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Publish