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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



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





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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