America's Top 100 Independent B/D Advisors
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| Name | Firm | AUM ($ in millions) | Specialty | City, State |
|---|---|---|---|---|---|
| 1. | Ron Carson | Carson Wealth Management Group (LPL Financial) | $1,500.0 | Nationwide wealth management for families, business owners, professional athletes and institutions. | Omaha, Neb. |
| 2. | Gerard “Gerry” Klingman | Klingman & Associates (Raymond James) | $1,086.4 | Sophisticated wealth management from independent advisors. | New York, N.Y. |
| 3. | Susan Kaplan | LPL Financial | $1,039.5 | Asset management and comprehensive financial planning. | Newton Lower Falls, Mass. |
| 4. | John Waldron | LPL Financial | $855.7 | Comprehensive wealth management and independent investment advice. | Pittsburgh, Pa. |
| 5. | Van Pearcy | Van Pearcy's Wealth Services Team (Raymond James) | $844.5 | Wealth management and estate/asset protection. | Midland, Texas |
| 6. | Brett N. Karras | The Karras Company, Inc. (Raymond James) | $807.3 | Comprehensive wealth management. | Roy, Utah |
| 7. | Steve Thomas | Wells Fargo Advisors Financial Network | $773.7 | Building portfolios that are properly diversified in style and market capitalization. | Charlotte, N.C. |
| 8. | Mark Winthrop | LPL Financial | $753.8 | Wealth management for high-net-worth families, entrepreneurs, professional athletes, entertainers and institutions. | Avon, Conn. |
| 9. | Malcolm A. “Mal” Makin | Professional Planning Group (Raymond James) | $749.7 | Full service, comprehensive wealth management for individuals, families and endowments. | Westerly, R.I. |
| 10. | Thomas Bartholomew | Commonwealth Financial Network | $704.7 | Fixed-income markets. | Worcester, Mass. |
| 11. | Rob Olcott | Wells Fargo Advisors Financial Network | $673.2 | Institutional asset management. | McLean, Va. |
| 12. | Charlotte Dougherty | Lincoln Financial Group | $657.2 | Retirement transition planning and legacy planning. | Cincinnati, Ohio |
| 13. | Robert Fragasso | LPL Financial | $644.4 | Fee-based investment management and financial planning. | Pittsburgh, Pa. |
| 14. | Salvador “Sal” Flores Jr. | Flores Capital Management (Raymond James) | $644.0 | Provide superior financial service with commitment to excellence and integrity. | Chandler, Ariz. |
| 15. | Randy Carver | Carver Financial Services (Raymond James) | $641.2 | Provide customized wealth management services to individuals, corporations and institutions. | Mentor, Ohio |
| 16. | David O. Cashdollar | Walnut Street Securities | $627.3 | Comprehensive financial strategies, including retirement plans, asset accumulation and investment strategies, insurance application and risk management needs, estate planning needs and tax strategies. | Grove City, Pa. |
| 17. | Steve Stocker | Commonwealth Financial Network | $604.9 | Comprehensive wealth management. | New Philadelphia, Ohio |
| 18. | Peter Maller | Lincoln Financial Group | $597.9 | Investments, wealth management. | Cockeysville, Md. |
|
19. 20. |
Mark Cortazzo
Kay Shirley |
Macro Consulting/SII
LPL Financial |
$587 $586.4 |
Full service, independent financial advisory firm, specializing in retirement income planning. |
Parsippany, N.J. Atlanta, Ga. |
| 21. | Bruce Johnson | Wells Fargo Advisors Financial Network | $582.0 | Investment management consulting utilizing a statistically tested asset allocation model based on specific financial circumstances, to monitor investments using recognized performance measurement standards and to manage investment risk. | Holland, Mich. |
| 22. | Mark Smith | M J Smith and Associates (Raymond James) | $578.2 | Asset management services with a comprehensive financial planning approach including tax planning. | Englewood, Colo. |
| 23. | Joseph Chornyak Sr. | Commonwealth Financial Network | $574.0 | Investment management for high-net-worth individuals and profit sharing plans. | Columbus, Ohio |
| 24. | Bob Collins | Wells Fargo Advisors Financial Network | $573.7 | Wealth management, including retirement and education planning, as well as fee-based portfolio management services. | Bethesda, Md. |
| 25. | Michael Marchese | Commonwealth Financial Network | $556.7 | Comprehensive wealth management. | Burlington, Mass. |
| 26. | Paul Miller | Commonwealth Financial Network | $553.0 | Comprehensive wealth management. | Burlington, Mass. |
| 27. | Brad Stark | Mission Wealth Management, LLC (National Planning Corporation) | $545.7 | Empowering the affluent to achieve financial peace of mind. | Santa Barbara, Calif. |
| 28. | David Borden | Multi-Financial | $529.1 | Comprehensive wealth management for businesses and individuals. | Westborough, Mass. |
| 29. | Michael Byrne | Lincoln Financial Group | $528.3 | Financial planning, asset management, and special needs planning. | Cherry Hill, N.J. |
| 30. | Edward “Jeff” Sella | SPC Financial, Inc. (Raymond James) | $523.9 | Cross-trained and proficient in wealth management and tax integration strategies. | Washington, D.C. |
| 31. | Thomas C. Paron | Walnut Street Securities | $495.1 | Financial strategies and investment advice, including retirement planning, estate planning and portfolio management. | Southbury, Conn. |
| 32. | Larry W. Carroll | Financial Network Investment Corporation | $494.7 | Comprehensive financial planning and investment management. | Charlotte, N.C. |
| 33. | Dale Cebert | Cebert Wealth Management Group, Inc. (National Planning Corporation) | $485.0 | Proactive wealth management for retirement. | The Villages, Fla. |
| 34. | Don Campagna | Personal Portfolio Management, Inc. (Raymond James) | $482.5 | Comprehensive financial planning, asset allocation for high-net-worth individuals and businesses. | Boca Raton, Fla. |
| 35. | Andrew Seaborg | Lincoln Financial Group | $464.1 | Financial planning and investment management. | Madison, Wis. |
| 36. | Debra Brede | Commonwealth Financial Network | $460.7 | Provides investment management services to corporations, municipalities, retirement plan and charitable trusts, and high-net-worth individuals based on the principle that every recommendation made is dependent solely on a client's individual needs, as determined personally by Debra Brede herself. | Needham, Mass. |
| 37. | Dean Barber | Barber Financial Group (National Planning Corporation) | $460.0 | A comprehensive wealth management firm committed to helping clients efficiently grow, keep, and leave their money. | Kansas City, Mo. |
| 38. | Paul R. Ried | Financial Network Investment Corporation | $459.6 | Comprehensive wealth management, including retirement planning, tax planning and estate planning, as well as asset management. | Bellevue, Wash. |
| 39. | Baxter H. Maffett | Tower Square Securities | $457.1 | 401(k) and 403(b) planning. | Glastonbury, Conn. |
| 40. | Stewart Viets | Lincoln Financial Group | $454.1 | Comprehensive financial planning for high-net-worth executives and families. | Napa, Calif. |
| 41. | Thomas Hamlin | Somerset Wealth Strategies (Raymond James) | $452.0 | Sleep-well-at-night strategies keeping our retirees retired. | Portland, Ore. |
| 42. | John Horseman | JM Horseman Group (National Planning Corporation) | $450.0 | Preservation and growth of capital to provide retirement income. | St. Louis, Mo. |
| 43. | Charles Zhang | Zhang Financial (LPL Financial) | $446.3 | Financial planning, asset management and retirement planning. | Portage, Mich. |
| 44. | Lee Rosenberg | Cadaret, Grant | $443.6 | Personal financial planning, written financial plans, tax preparation and accounting services, estate planning, retirement planning. | Jericho, N.Y. |
| 45. | David C. Stokes | Financial Network Investment Corporation | $437.1 | Provides investment management services for client portfolios after a thorough review of a client's goals, risk profile and financial sophistication. Our philosophy is primarily that of a long-term, buy and hold strategy in a balanced, well-diversified portfolio. | Metairie, La. |
| 46. | Todd A. Moll | Walnut Street Securities | $432.0 | Serves successful business owners, professionals and retirees who lack the time and expertise to create and implement comprehensive financial strategies that incorporate estate planning, investments, insurance and retirement planning. | Miami, Fla. |
| 47. | Dalal Salomon | Wells Fargo Advisors Financial Network | $431.9 | Individualizing, orchestrating, managing and measuring each client's investment goals. | Richmond, Va. |
| 48. | Pat Vitucci | Vitucci and Associates (National Planning Corporation) | $420.0 | Respect the client's needs by managing their portfolio with integrity and consistency. Don't invest and forget. | Walnut Creek, Calif. |
| 49. | Michael H. Gilbert | LPL Financial | $413.8 | Planning for retirement, asset preservation. | Johnson City, Tenn. |
| 50. | Alexandra Armstrong | Commonwealth Financial Network | $412.8 | Comprehensive financial planning. | Washington, D.C. |
| 51. | Laila Marshall-Pence | LPL Financial | $409.9 | Total wealth management, including real estate, for high-net-worth clients. | Newport Beach, Calif. |
| 52. | Todd Sanford | Sanford Financial Services (Raymond James) | $407.0 | Multi-specialty firm serving educators, small business owners and employees of major local corporations. | Portage, Mich. |
| 53. | B. Kelly Graves | Carroll Financial Associates (Financial Network Investment Corporation) | $404.4 | Assist local families and small businesses in achieving their financial goals, including college, retirement, estate planning and wealth transfer. | Charlotte, N.C. |
| 54. | Kalita Blessing | Quest Capital Management (Raymond James) | $403.9 | Financial planning. | Dallas, Texas |
| 55. | James Cox III | LPL Financial | $392.7 | Retirement planning and investment strategy. | Colonial Heights, Va. |
| 56. | Stephen W. Johnson | Raymond James | $374.5 | Combination of retail and ERISA plans. | Draper, Utah |
| 57. | Wayne Murry | PrimeVest Financial Services | $373.5 | Comprehensive wealth management. | New Orleans, La. |
| 58. | Mike Slaggie | Slaggie Capital Group (Raymond James) | $369.7 | Comprehensive wealth management for high-net-worth families and foundations. | Winona, Minn. |
| 59. | Barbara Magor | Cadaret, Grant | $365.4 | Personal financial planning, written financial plans, tax preparation and accounting services, estate planning, retirement planning. | Syracuse, N.Y. |
| 60. | Kerrick Bubb | LPL Financial | $365.3 | Comprehensive wealth management with an emphasis on retirement planning. | Redlands, Calif. |
| 61. | Sheryl “Sherri” Stephens | Stephens Wealth Management Group (Raymond James) | $360.9 | Fee-based consulting for high-net-worth clients, professionals and business owners. | Flint, Mich. |
| 62. | Charles “Chuck” Morris | Raymond James | $356.3 | Comprehensive financial planning. | Baton Rouge, La. |
| 63. | Sally Law | Law & Associates, Inc. (Raymond James) | $353.4 | Providing clients with wealth management and financial planning. | Glen Echo, Md. |
| 64. | Mike Hines | Consolidated Planning Corporation (Raymond James) | $353.0 | Serving clients ranging from retirees, doctors, attorneys, and business owners. | Atlanta, Ga. |
| 65. | Frederick Keator | Wells Fargo Advisors Financial Network | $347.1 | Wealth management for individuals and institutions. | Lenox, Mass. |
| 66. | Carrie Coghill | Commonwealth Financial Network | $346.0 | Investment management, retirement planning and estate planning. | Pittsburgh, Pa. |
| 67. | Brett Hayes | Wells Fargo Advisors Financial Network | $336.0 | Asset allocation and comprehensive wealth management. | Richmond, Va. |
| 68. | Ashok Shendure | Commonwealth Financial Network | $335.9 | Financial planning. | Solon, Ohio |
| 69. | Charlene Carter | Raymond James | $333.4 | Financial planning focus, personalized investment strategy. Long-term relationships. | Eugene, Ore. |
| 70. | Carl Stuart | Raymond James | $327.3 | Investment management. | Austin, Texas |
| 71. | Todd Feltz | LPL Financial | $325.4 | Financial planning and asset management. | Omaha, Neb. |
| 72. | Levi McMellian | LPL Financial | $325.0 | Maximizing wealth through strategies guided by fundamental research, disciplined valuation techniques, and a long-term approach. | Dallas, Texas |
| 73. | Russell Cesari | LPL Financial | $317.8 | Wealth management and comprehensive financial planning. | Herndon, Va. |
| 74. | Roger Green | Multi-Financial | $317.3 | Financial planning, asset allocation, retirement planning, estate planning and college planning. | Duluth, Ga. |
| 75. | Rajanee Shendure | Commonwealth Financial Network | $312.7 | Financial planning, investment planning, retirement planning, risk management and college planning. | Solon, Ohio |
| 76. | Timothy McCabe | Financial Network Investment Corporation | $312.6 | Money management, retirement planning, college planning, profit sharing plans, 401(k) and 403(b) planning and estate plans. | Mokena, Ill. |
| 77. | George Pierce | LPL Financial | $310.3 | Comprehensive financial planning, retirement planning and asset allocation. | Seattle, Wash. |
| 78. | Bennett Marks | LPL Financial | $304.9 | Wealth management services through five risk-adjusted model portfolios. | Minnetonka, Minn. |
| 79. | Michael Ghelfi | LPL Financial | $300.0 | Financial planning. | Tinley Park, Ill. |
| 80. | William Stevens | LPL Financial | $298.9 | Provides integrated financial services to high-net-worth individuals who seek qualified, unbiased and objective assistance in creating, managing, transferring, and spending their wealth. | Bloomington, Minn. |
| 81. | Peter Lawler | Commonwealth Financial Network | $298.1 | Comprehensive wealth management. | Burlington, Mass. |
| 82. | William Leeb | Commonwealth Financial Network | $297.9 | Asset growth, risk management, tax planning, business planning, estate planning and retirement planning. | Towson, Md. |
| 83. | J. David Tanner | Tanner Capital Management, LLC (Raymond James) | $285.7 | High-net-worth entrepreneurs selling their businesses, charitable strategies. | Provo, Utah |
| 84. | Stephen F. Schliesser | Financial Network Investment Corporation | $283.2 | Financial planning, retirement planning and estate planning. | San Ramon, Calif. |
| 85. | Stuart Tsujimoto | Financial Network Investment Corporation | $282.4 | Financial planning and risk management. | Torrance, Calif. |
| 86. | James H. Westbrooks | Walnut Street Securities | $280.4 | Investment advice, retirement planning, tax planning and wealth management for individuals and companies. | Dallas, Texas |
| 87. | Stephen Eldridge | LPL Financial | $279.5 | Asset management, pension administration and risk management. | Manchester, N.H. |
| 88. | James Ball | Commonwealth Financial Network | $275.0 | Asset management and wealth management. | Westborough, Mass. |
| 89. | William J. Thomas | Tower Square Securities | $274.5 | Asset management and wealth management. | Sanford, Fla. |
| 90. | Dudley Barnes | Barnes-Pettey Financial Advisors (Raymond James) | $274.2 | Comprehensive financial planning for rural America. | Clarksdale, Miss. |
| 91. | Larry Waller | LPL Financial | $274.2 | Financial planning and long term investment strategy. | Naples, Fla. |
| 92. | Richard H. Wagener | Wagener-Lee Wealth Advisors (Raymond James) | $273.2 | Comprehensive wealth management services for corporate executives, professionals and retirees. | Columbia, Md. |
| 93. | Mark Brown | LPL Financial | $272.8 | Comprehensive wealth management for business owners and their families. | Denver, Colo. |
| 94. | Richard Kass | Commonwealth Financial Network | $271.0 | Financial planning, investment and wealth management. | New York, N.Y. |
|
95. 96. |
John Moore
Donald B. Crane |
Raymond James Financial Services Financial Network Investment Corporation |
$270.2 $270.3 |
Investment strategy and implementation, with an emphasis on generosity.
|
Albuquerque, N.M. Fullerton, Calif. |
| 97. | Mark Kemp | Kemp & Associates Retirement Services (National Planning Corporation) | $270.0 | We walk our retirees through the retirement process as if they were our own family. | Harleysville, Pa. |
| 98. | Fred Robertshaw | Wells Fargo Advisors Financial Network | $268.7 | Asset allocation, estate planning, portfolio planning, pension and profit sharing. | Cincinnati, Ohio |
| 99. | Daniel Joseph Gavin | Gavin & Associates, LLC (Raymond James) | $268.3 | Financial planning and investment management for mid- to upper-level management. | Midland, Mich. |
| 100. | Matthew Somberg | Commonwealth Financial Network | $267.1 | Pension and retirement planning, wealth management for families. | Glastonbury, Conn. |
| 101. | Robert Kantor | LPL Financial | $266.8 | Comprehensive financial planning, asset management and insurance. | Rockville, Md. |
| 102. | Joshua Gottfried | Commonwealth Financial Network | $265.9 | Pension and retirement planning, wealth management for families. | Glastonbury, Conn. |
Source: www.meridian-IQ.com. Note: Penton Media, publisher of Registered Rep., is an investor in Meridian-IQ.
