The FT 401 aims to provide a list of elite professionals who specialise in advising US employers on their defined contribution plans.

The advisers were assessed according to quantifiable data, using the following methodology.

The Financial Times and Ignites Research, the FT’s sister company, contacted large US brokerages, independent advisers and other wealth managers to identify qualified applicants.

Our research partner, Broadridge Financial Solutions, provided data that helped to identify advisers specialising in serving companies sponsoring DC plans, including 401(k) plans and other DC accounts.

Applicants for this listing were required to advise at least $75m in DC plan assets and have at least 20 per cent of their client assets in DC plans.

The qualifying advisers completed a questionnaire about the details of their practice and we added that information to our own research.

The formula the FT uses to grade advisers is based on six broad factors and calculates a numeric score for each adviser.

The factors were:

  • DC assets under management (AUM). This signals experience and success in managing money in 401(k) programmes and other DC plans.
  • Growth rate in DC plan business. Measured by changes in both DC plan clients and assets, growth is a proxy for performance, client retention and ability to draw new clients.
  • Specialisation in the DC business. This is measured by what percentage of the overall assets managed by the adviser are in DC plans and how that concentration has changed.
  • Experience advising on DC plans. This tracks years spent managing DC plan assets through different economic and market environments.
  • Industry certifications. These show technical knowledge that is particularly important in the complicated DC plan industry.
  • Compliance record. A string of client complaints can signal potential problems.

Among the top factors in our scoring, DC plan assets accounted for roughly 60 to 65 per cent of each adviser’s score, on average.

Another 12 to 18 per cent of the score derived from the growth in the adviser’s DC business (as measured in both DC assets and number of DC plans advised).

This year, to emphasise long-term client satisfaction, we used a three-year growth rate instead of the one- and two-year growth rates we used in the past.

We present the FT 401 as a list rather than a ranking, because each adviser takes different approaches to their practices and so ranking these advisers from 1 to 401 would be misleading.

FT 401

The fifth annual line-up of elite advisers on defined contribution plans, state by state
Name Company City Megaplans ($500m+ in assets) Large plans ($100m-$500m in assets) Mid-sized plans ($10m-$100m in assets) Small and micro plans (Under $10m in assets)
ALABAMA
Owen, Paul W. CAPTRUST Birmingham X X X X
Williams, Renn JSL Retirement Services Group Birmingham X X X
ARIZONA
Batt, Paul K. Phocus Retirement Services Mesa X X
DiGrazia, Michael UBS Financial Services Inc. Phoenix X X
Hacker, Christopher The Hacker Group, LLC Scottsdale X X
ARKANSAS
McDonald, Don R. Merrill Lynch Wealth Management Fort Smith X X X X
Thorpe, James R. Qualified Plan Advisors Little Rock X X X
CALIFORNIA
Bonvechio, Brian Merrill Lynch Wealth Management Los Angeles X X X
Bryson, Trent Bryson Wealth Management/LPL Financial Long Beach X X
Casillas, Karen CAPTRUST Westlake Village X X X X
Chambers, Jon C. SageView Advisory Group Orinda X X X X
Chang, Kevin A. Genovese Burford & Brothers Sacramento X X
Clark, John M. Heffernan Retirement Services/LPL Financial Walnut Creek X X X X
Delp, Mark Your Wealth Effect Irvine X X
Farrell, Curtis S. Financial Management Network Mission Viejo X X
Freismuth, Thom HUB International San Diego X X X
Garcia, Rob A. Garcia Wealth Management Group Templeton X X
Gregory III, Paul N. Merrill Lynch Wealth Management Carmel X X
Gunn, James D. Morgan Stanley Wealth Management San Jose X X X
Gwilliam, Austin D. GRP Financial San Juan Capistrano X X X
Hall, Erin M. Strategic Retirement Partners Palos Verdes X X
Handler, Gary Raymond James & Associates Beverly Hills X X X X
Hocking, Steven J. UBS Financial Services Inc. Irvine X X
Igel, Douglas Beacon Pointe Advisors Newport Beach X X X
Ketchum, Daniel Raymond James Financial Services Santa Ana X X X
Laughton, Mark Quintes Salinas X X
Ma, Marlynn (Yuxia) Merrill Lynch Wealth Management Pasadena X X X
Mammini, Mike Mammini Company San Diego X X X X
McCrary, Jamie SageView Advisory Group Irvine X X X X
Palladino, John K. 401(k) & 403(b) Fiduciary Advisors, Inc. San Mateo X X X
Patrick, Jason Colin Fiduciary Advisors, LLC Newport Beach X X X
Patton, Robert SageView Advisory Group Woodside X X X X
Raney, Kris Wells Fargo Advisors El Segundo X X
Roggenkamp, Marc Graystone Consulting Beverly Hills X X X
Soto, Christopher Wells Fargo Advisors Irvine X X
Spinner, Harlan B. UBS Private Wealth Management Los Angeles X X
Stover, Ryan Marsh & McLennan Agency San Diego X X X
Stowell, Race K. Merrill Lynch Wealth Management Mill Valley X X X
Tappin, Erik K. Morgan Stanley Wealth Management Carlsbad X X X X
Thibault, Blake Heffernan Financial Services/LPL Financial Walnut Creek X X X X
Wagner, Edward A. SageView Advisory Group Irvine X X X X
Werner, Marte R. NWK Group, Inc. San Francisco X X X X
White, Nate Teros Advisors Lafayette X X X
Wiese, Brian Morgan Stanley Wealth Management Los Angeles X X
Wilkinson, Steven Monarch Plan Advisors Simi Valley X X
COLORADO
Andrew, Rob Lockton Retirement Services Denver X X X X
Gutrich, Mark M. Fi401k Advisors, LLC Greenwood Village X X
Larsen, Chad J. MRP Denver X X X X
McKinlay, Patterson J. Achieve Retirement/LPL Financial Denver X X
Nemmers, Daniel J. Lockton Retirement Services Denver X X X X
Price, Kevin L. Insight Financial Solutions/LPL Financial Grand Junction X X
Roth, Wayne H. SageView Advisory Group Louisville X X X
CONNECTICUT
Angelone, Elizabeth Merrill Lynch Wealth Management Greenwich X X
Baroncini, Jr., Edward Excel Wealth Management/LPL Financial Rocky Hill X X
Berkman, Brett S. Merrill Lynch Wealth Management Greenwich X X
Brown, Dennis M. Merrill Lynch Wealth Management Fairfield X X X
Burns, Timothy C. SageView Advisory Group West Hartford X X X X
Fitzsimmons, Paul Morgan Stanley Wealth Management Stamford X X X
Guth, Kevin W. Snowden Lane Partners New Haven X X X
Jermine, Robert UBS Financial Services Inc. Hartford X X X X
Kral, Christopher J. Merrill Lynch Wealth Management Fairfield X X X
Lasko, Matthew UBS Private Wealth Management Stamford X X X X
Leone, Gregory J. Georgetown Financial Group, Inc./Cetera Advisor Networks Georgetown X X X
Mendoza, Greg F. UBS Financial Services Inc. Hartford X X X X
DELAWARE
Pressler, Eric C. Newton One Advisors Newark X X X
Shumosic, Thom MidAtlantic Retirement Planning Specialists Wilmington X X
DISTRICT OF COLUMBIA
Clark, Jr., Tom Lockton Retirement Services Washington X X X X
Drew, Charles Merrill Lynch Wealth Management Washington X X
Forrester, Mary Anne Janney Montgomery Scott Washington X X X
FLORIDA
Bailey, Eric W. CAPTRUST Tampa X X X
Bastin, Thomas B. NFP Weston X X X
Brandwein, Samuel Graystone Consulting Boca Raton X X X
Cammarata, Ross UBS Financial Services Inc. Fort Lauderdale X X
Casanueva, Dominic J. Merrill Lynch Wealth Management Lakewood Ranch X X X X
DiGiacomo, Dan CAPTRUST Lake Mary X X X
Elobt, Keola J. West Point Business Group Jacksonville X X X
Garnett, Blanton Garnett Retirement Group/LPL Financial St. Petersburg X X
Larsen, Bradley L. NFP Stuart X X X
Letaw, Ronald A. MRPA Tampa X X X
Machlin, Roger S. Northwestern Mutual Tampa X X
Mitsis, John K. Merrill Lynch Wealth Management Ponte Vedra Beach X X
Montgomery, David M. Fidelis Fiduciary Management Tampa X X X
Montgomery, W. Michael Montgomery Retirement Plan Advisors Tampa X X X
Oser, Kevin M. Merrill Lynch Wealth Management Winter Park X X X
Parker Hopkins, Samantha A. UBS Financial Services Inc. Tampa X X X
Perry, C. Clayton West Point Business Group Jacksonville X X X
Petrone, Jeffrey SageView Advisory Group West Palm Beach X X X X
Senderowitz, Phillip N. Strategic Retirement Partners Maitland X X X
Thagard, Steven M. Northwestern Mutual Orlando X X
Weitz, Peter Weitz Financial Group Fort Lauderdale X X
Zimmerman, Marc Marsh & McLennan Agency – Centurion Fort Lauderdale X X X X
Zito, Andrew S. LAMCO Advisory Services, Inc. Lake Mary X X X X
GEORGIA
Brinson, Clay Northwestern Mutual Atlanta X X X X
Gignilliat, Harris M. UBS Financial Services Inc. Atlanta X X X
Griffin, David Atlanta Retirement Partners/LPL Financial Atlanta X X X
Hansen, Eric H. Hartmann Astor Investment Consulting/LPL Financial Suwanee X X X
Harbour, Andrew Graystone Consulting Atlanta X X X X
Howard, Deborah A. Merrill Lynch Wealth Management Atlanta X X X
Kane, Michael M. Plan Sponsor Consultants/LPL Financial Alpharetta X X X X
Laschinger, Jay Alliant Retirement Services/Cetera Advisor Networks Alpharetta X X X X
Lusink, Brian M. Morgan Stanley Wealth Management Atlanta X X X
Melcher, Evan CAPTRUST Atlanta X X X
Price, Vandyke G. UBS Private Wealth Management Atlanta X X X
St. Clair, Jonathan SageView Advisory Group Atlanta X X X X
Wallace, James E. Merrill Lynch Wealth Management Atlanta X X X
HAWAII
Lum, David W. SageView Advisory Group Honolulu X X X
Tsukazaki, Peter M. Tsukazaki & Associates, LLC Honolulu X X
ILLINOIS
Babb, Kevin L. CIBC Corporate Retirement Services Chicago X X X X
Backe, Nick Backe Page Group Crystal Lake X X
Beer, Molly Gallagher Rolling Meadows X X
Coyner, Paul R. UBS Financial Services Inc. Naperville X X X
Embree, Paul EMBREE FINANCIAL Group Chicago X X
Fiumara, L. Rita UBS Financial Services Inc. Chicago X X
Gelb, Jordan M. Merrill Lynch Wealth Management Northbrook X X X
Gershon, Joel A. Merrill Lynch Wealth Management Chicago X X X
Heine, Clinton SageView Advisory Group Chicago X X X
Jenkins, Timothy Merrill Lynch Wealth Management Chicago X X X
Jurik, John S. Gallagher Rolling Meadows X X X X
Kopec, Josh Connor & Gallagher OneSource/LPL Financial Lisle X X
Kret, Tom UBS Financial Services Inc. Barrington X X X
Mattia, Joseph M. RSM US Wealth Management LLC Schaumburg X X
McClain, Jonathan W. PNC Institutional Asset Management Chicago X X X
Morris, Doug Lockton Retirement Services Chicago X X X
O'Brien, Robert D. Merrill Lynch Wealth Management Chicago X X X
O'Shaughnessy, Jim Sheridan Road Financial, a division of HUB International Northbrook X X X X
Peluse, Daniel Wintrust Retirement Benefits Advisors Chicago X X X X
Radler, James R. Merrill Lynch Wealth Management Chicago X X X
Ratay, Mark Morgan Stanley Wealth Management Lisle X X X
Reagan, Chris SageView Advisory Group Chicago X X X
Ribich, Michael C. Merrill Lynch Wealth Management Chicago X X X
Rist, Bradley CIBC Corporate Retirement Services Chicago X X
Sherman, Scott Gallagher Chicago X X X X
Smith, Michael K. Insight Financial Partners, LLC/LPL Financial Crystal Lake X X X
Valeo, Sam Morgan Stanley Wealth Management Oak Brook X X X
Williams, Charles Finspire LLC Schaumburg X X X
INDIANA
Baker, Kristi K. CSi Advisory Services, LLC Indianapolis X X
Brunton, Eric M. Merrill Lynch Wealth Management Indianapolis X X X X
Chillemi, Daniel UBS Financial Services Inc. Indianapolis X X
Davis, Kelli CSi Advisory Services, LLC Indianapolis X X
Denny, Andrew C. Shepherd Financial Carmel X X
Drake, William Brian Northwestern Mutual Greenwood X X
Harbron, Brendon C. UBS Financial Services Inc. Indianapolis X X
Lauck, George LPL Financial Indianapolis X X X
Ludwig, John M. LHD Retirement/LPL Financial Indianapolis X X
Masterson, John Lakeside Wealth Management/First Allied Securities Chesterton X X
Matis, Joseph M. Morgan Stanley Wealth Management Indianapolis X X X
Mayer, Thomas L. Shepherd Financial Carmel X X
Moerchen, Greg QBOX Fiduciary Solutions, LLC Fort Wayne X X
Rice, Timothy Lakeside Wealth Management/First Allied Securities Chesterton X X X
Robison, James D. Strategic Retirement Partners Indianapolis X X X X
Stolle, Matt Merrill Lynch Wealth Management Indianapolis X X
VerSchure, Timothy Lakeside Wealth Management/First Allied Securities Chesterton X X X
Wylam, Steven M. Shepherd Financial Carmel X X
IOWA
Duffy, Jean CAPTRUST West Des Moines X X X X
Witzel, Larry Strategic Financial Solutions Cedar Rapids X X X
KANSAS
DiSette, Tim B. Infinitas Overland Park X X X
Morris, Vince Bukaty Companies Financial Services Overland Park X X X X
Pascuzzi, Robert Creative Planning Inc. Overland Park X X
Phillips, Darrell L. DPI Benefits Manhattan X X
Rink, Ryan Two West Advisors Overland Park X X X
Ungashick, Marko Two West Advisors Overland Park X X X
KENTUCKY
Backert, Tony Hilliard Lyons, a Baird Company Louisville X X X
Mercer, Jr., Charles T. Merrill Lynch Wealth Management Louisville X X X
LOUISIANA
Bush, Andy Horizon Financial Group/Cetera Advisors Baton Rouge X X
MAINE
Breton, Jennifer L. Lebel & Harriman, LLP Falmouth X X X X
Carew, Stephen J. BGA Retirement Advisors Lewiston X X
Pratico, Michael S. CAPTRUST Falmouth X X X
Walker, A.J. Guidance Point Retirement Services Portland X X X
MARYLAND
Anderson, Therese H. Plan Sponsor Consultants/LPL Financial Olney X X
Assaley III, Alexander G. AFS 401(k) Retirement Services, LLC Bethesda X X X
Charkatz, Ross P. Graystone Consulting Potomac X X X
Espinoza, Jessica NFP Bethesda X X X X
Gimenez, Eduardo Raffa Retirement Services/LPL Financial Rockville X X
Halleron, J. Thomas Harbor Investment Advisory, LLC Lutherville X X
Hoffman, Brett J. The Insurance Exchange, a division of HUB International Rockville X X X
Kotler, Robert RCM&D Towson X X X
Lizzi, Brian G. TriBridge Partners, LLC Bethesda X X X
Lowy, Jason UBS Financial Services Inc. Hunt Valley X X X
O'Rear, Doug OnTrack 401(k) Frederick X X
Prevost, Andrew H. NFP Bethesda X X X X
Soltoff, Howard M. TriBridge Partners, LLC Bethesda X X
Stout, Jania Fiduciary Plan Advisors at HighTower Owings Mills X X X X
Wilson, Chad J. Fiduciary Plan Advisors at HighTower Owings Mills X X
MASSACHUSETTS
Bayliss, Andrew Marsh & McLennan Agency Boston X X X
Bogosian, Wayne G. PFE Advisors, Inc., a Goldman Sachs Company Southborough X X X X
Bonheur, Gregg E. Morgan Stanley Wealth Management Middleton X X X
Butler, Kevin A. Morgan Stanley Wealth Management Norwell X X X
Campagna, Ryan Sentinel Pension Advisors Wakefield X X
Ciovacco, Peter Morgan Stanley Wealth Management Middleton X X X
Clayman, David M. Twelve Points Wealth Management Concord X X X
Cleary, Andrew C. SFP Wealth, LLC Wellesley X X
Cunha, Stephen Baystate Financial Wakefield X X
Devlin, Michael BCG/LPL Financial Braintree X X X
Dimitriou, Steven Mayflower Advisors, LLC Boston X X X X
Entwistle, Bert Webster Investments/LPL Financial Boston X X
Federico, Francesca Twelve Points Retirement Advisors Concord X X X
Foster, Mark M. SageView Advisory Group Boston X X X
Gutner, Chad W. Samuel Financial LLC Dedham X X
Hammond, Alfred Graystone Consulting Middleton X X X
Hoffman, Thomas E. KAF Financial Advisors, LLC Braintree X X X
Karelitz, Jonathan B. Morgan Stanley Wealth Management Wellesley X X
Lopez, Brian Boston Private Wealth LLC Boston X X
McGarry, Sean C. Rockland Trust Hanover X X X
McLaughlin, Matthew Graystone Consulting Middleton X X X
Moore, Jr., Richard T. CCR Wealth Management, LLC/Cetera Advisors Westborough X X
Navarro, Jason New England Wealth Management, LLC Danvers X X X
Popper, Stephen R. SageView Advisory Group Boston X X X X
Scott, Michael G. Morgan Stanley Wealth Management Middleton X X X
Traino, Jason M. Morgan Stanley Wealth Management Middleton X X X
Tremblay, Neil Coastal Capital Group, Inc./EBS Financial Advisors Danvers X X X
Tuxbury, Scott Sapers & Wallack Newton X X X
Vacheron, Peter D. IBG Financial Partners, LLC Foxboro X X X
Vierra, Jr., Roger F. UBS Financial Services Inc. Rockland X X X X
MICHIGAN
Agbay, Anthony D. The Agbay Group Troy X X X
Burke, Chris LoVasco Consulting Group Detroit X X
Fitzgerald, Jessica Morgan Stanley Wealth Management Rochester X X X
Hammond, Kimberly Lynn Merrill Lynch Wealth Management Muskegon X X X
Hau, Errol A. CAPTRUST Clarkston X X X X
Howell, Brett Merrill Lynch Wealth Management Grand Rapids X X X
Pinter, Brad Stonebridge Financial Group Grand Rapids X X X
Shearon, Michael F. Flynn Benefits Group Troy X X X
MINNESOTA
Adams, James K. Voya Financial Advisors Bloomington X X
Ballin, Jessica 401k Plan Professionals Edina X X X
Connell, Joe Sikich Retirement Plan Services Maple Grove X X X
Erpelding, Michael M. Northwestern Mutual Edina X X
Jacobs, David Jacobs Financial St. Cloud X X
McQuillan, James Marsh & McLennan Agency Minneapolis X X X
Miley, James Hays Financial Group/LPL Financial Minneapolis X X X X
Mulheran, Jr., Daniel P. Abbey Street Eden Prairie X X X
Sturgis, Samuel L. Associated Financial Group Minnetonka X X X
Thill, Rick Associated Financial Group Minnetonka X X
NEBRASKA
Behlen, Wade WealthPLAN Partners - Feltz WealthPLAN Omaha X X
NEVADA
Sarno, Freddie Morgan Stanley Wealth Management Las Vegas X X X X
Segarra, David J. Latus Group, Ltd. Las Vegas X X X
NEW HAMPSHIRE
Pimental, Dan Alignment Financial Group Portsmouth X X
NEW JERSEY
Ablahani, Joseph C. Capital Benefits, LLC Fairfield X X
Belluardo, Charles Merrill Lynch Wealth Management Red Bank X X
Bojovski, Goran Merrill Lynch Wealth Management Iselin X X X X
DiPiero III, Domenic M. Newport Capital Group Red Bank X X X
Goerner, Chad W. UBS Financial Services Inc. Princeton X X X X
Greenleaf, Jamie D. Cafaro Greenleaf Red Bank X X X X
Gsell, Bruce Merrill Lynch Wealth Management Iselin X X X X
Gumina, Rick Morgan Stanley Wealth Management Shrewsbury X X X
Lembeck, John R. Merrill Lynch Wealth Management Red Bank X X
Marsh, Gregory J. Bridgehaven Fiduciary Partners Warren X X X
Oliver, Stephen A. Manhattan Ridge Advisors/First Allied Securities Bedminster X X
Puckett, Steven Gateway Retirement Consulting Westfield X X X
Saxton, Brian Wells Fargo Advisors Morristown X X
Scorzafava, Todd Eagle Rock Wealth Management East Hanover X X X
Shegoski, Marc UBS Financial Services Inc. Princeton X X X X
Simchowitz, Stuart M. RMR Wealth Builders, Inc. Teaneck X X
Toth, Attila T. Portfolio Evaluations, Inc. Warren X X X
NEW MEXICO
Famiglietta, Kelly Charles Stephen and Company, Inc. Albuquerque X X
NEW YORK
Candella, Ted M. Merrill Lynch Wealth Management New York X X X
Chasin, Gerald L. UBS Financial Services Inc. Jericho X X X X
Costello, Brian P. The Waterford Group, LLC Rochester X X
D'Aiutolo, Paul UBS Financial Services Inc. Rochester X X X
Davenport, John R. CAPTRUST New York X X X
Delaney, Barbara SS/RBA Pearl River X X X X
Detterick, Jim Graystone Consulting New York X X X
Etra, Paul H. PRB Wealth Management/LPL Financial New York X X
Guiffre, Frank T. Halliday Financial Clifton Park X X X
Gutkin, Todd Morgan Stanley Wealth Management New York X X X
Hinderstein, David S. Strategic Retirement Group White Plains X X X X
Kalivas, Eva EPIC Retirement Services Consulting New York X X X X
Kass, Jonathan E. Merrill Lynch Wealth Management New York X X X X
Kido, Akira Morgan Stanley Wealth Management Jericho X X
Lander, Ellen R. Renaissance Benefit Advisors Group, LLC New York X X X
Mahoney, Kevin The Mahoney Group of Raymond James West Nyack X X X
Merriman, Michael J. The Waterford Group, LLC Rochester X X
Modico, Linda UBS Financial Services Inc. New York X X X
O'Toole III, Michael J. Merrill Lynch Wealth Management Clifton Park X X X
Paris, Michael Paris International Great Neck X X X
Petronio, Lisa M. Strategic Retirement Partners/Walsh Duffield Retirement Plan Solutions Buffalo X X X
Smith, Eric W. Morgan Stanley Wealth Management Rochester X X
Tacktill, Daniel S. Oppenheimer & Co. Melville X X X
NORTH CAROLINA
Anderson, Mikael T. Merrill Lynch Wealth Management Charlotte X X
Eskamani, Shaun CAPTRUST Raleigh X X X X
Jones, Todd L. CAPTRUST Raleigh X X X X
Kelly, Kathleen A. Compass Financial Partners/LPL Financial Greensboro X X X X
Keys, Walter B. CAPTRUST Raleigh X X
Marlatt, Patrick K. CAPTRUST Raleigh X X X X
Rauwald, Timothy L. UBS Financial Services Inc. Chapel Hill X X
Schultheiss, Jonathon Gate City Advisors Greensboro X X X
Simonson, Tom Lockton Retirement Services Charlotte X X X X
Strodel, James CAPTRUST Charlotte X X X
Timmerman, Todd E. Retirement Plan Analytics Charlotte X X X X
Wilson, Tim B. Merrill Lynch Wealth Management Cary X X X
OHIO
Duggan, Tony Merrill Lynch Wealth Management Cincinnati X X X X
Edwards, Brian Morgan Stanley Wealth Management Columbus X X
Everhart, Scott Everhart Advisors Dublin X X
Gaertner, Daniel UBS Financial Services Inc. Westlake X X
Gheen, Michael J. Oswald Financial, Inc. Cleveland X X
Handorf, Joel Graystone Consulting Cincinnati X X X
Kreinest, Christa J. HAUSER Retirement Solutions Cincinnati X X
Kulchar, David M. Oswald Financial, Inc. Cleveland X X X
Morris, Michael E. Pensionmark Financial Group, LLC Cincinnati X X X
Rinehart, Ken J. UBS Financial Services Inc. Cincinnati X X X
Robertson, Thomas G. Graystone Consulting Columbus X X X X
Ryan, James S. First Ohio Planning, LLC Columbus X X
Stibich, Jr., Paul R. CAPTRUST Akron X X X X
Vordemesche, Chris Morgan Stanley Wealth Management Cincinnati X X X
Wilt, Stephen CAPTRUST Akron X X X X
Wyatt, Thomas Retirement and Wealth Planning Columbus X X X
OKLAHOMA
Forbes, Mark R. Strategic Retirement Partners Tulsa X X
OREGON
Buxton, Dan Baird Portland X X X
Daley, Erik Multnomah Group, Inc. Portland X X X X
Montanez, Brian Multnomah Group, Inc. Portland X X X X
Ulmer, Joshua Graystone Consulting Portland X X X
Welle, Robert B. Ameriprise Financial Services, Inc. Salem X X
PENNSYLVANIA
Beale, William B. HB Retirement/LPL Financial Pittsburgh X X X
Capo, Mero J. Pensionmark Retirement Group Wexford X X
Catanella, Brian A. UBS Financial Services Inc. Philadelphia X X X
Dougherty, Timothy J. Financial Guide, LLC Horsham X X X
Edwards, Jim CAPTRUST Allentown X X X
Hageney, Sr., James G. Marsh & McLennan Agency- Centurion Plymouth Meeting X X X
Kline, Jeffrey Stonebridge Financial Group Wormleysburg X X
Kulick, Jr., Christopher D. CAPTRUST Doylestown X X X
Lubrano, Anthony P. A.P. Lubrano & Company, Inc. Paoli X X X
Madera, Tony Arthur J. Gallagher Clarks Green X X X
Mashack-Behney, Tara L. Conrad Siegel Harrisburg X X X X
Myers, Scott E. Morgan Stanley Wealth Management Blue Bell X X X
Rasheed, Omar Merrill Lynch Wealth Management Yardley X X X
Schaffer, Paul H. CAPTRUST Doylestown X X X
Sheehy, Michael Wealth Advisory Services, Inc. - Raymond James Doylestown X X
Stulb, Stephen Ironview Capital Management LLC King of Prussia X X
Wertheim, Scott A. CAPTRUST Doylestown X X X
Wolfe, Noel J. Morgan Stanley Wealth Management Blue Bell X X X
RHODE ISLAND
Worrell, James L. Strategic Retirement Partners Providence X X X X
TENNESSEE
Boyd, Chris R. The Fowler Group of Raymond James Nashville X X
Colburn, Todd M. Northwestern Mutual Nashville X X
Dickens, Brad S. Janney Montgomery Scott Franklin X X X X
Glasgow, Steven W. Janney Montgomery Scott Franklin X X X X
Grant, Walter Aegis Retirement Group Memphis X X
Lyday, James A. Pensionmark Financial Group, LLC Brentwood X X X X
Webster, Doug SageView Advisory Group Knoxville X X X X
TEXAS
Able, Glenn Lockton Retirement Services Dallas X X X X
Altimont, David Lockton Retirement Services Dallas X X X X
Bielik, Dennis TCG Advisors, LP Austin X X X
Birkofer, Joseph Legacy Asset Management Houston X X
Byrnes, David Level Four Advisory Services/LPL Financial Plano X X X
Clift, Kevin RBC Wealth Management Dallas X X X
Coelho, Michael A. SageView Advisory Group Austin X X X X
Coughran, Sr., Joshua J. Invest Titan Fulshear X X
Jamail, Christopher J. TCG Advisors, LP Austin X X X
Jerding, Mick Merrill Lynch Wealth Management Houston X X X
Kading, Todd LeafHouse Financial Austin X X X X
Kaylor-Flink, Allison NFP Austin X X X
Lambert, Lindsay S. Morgan Stanley Wealth Management Houston X X X
Locke, Ramona Z. Merrill Lynch Wealth Management Dallas X X
Matustik, Debbie Pensionmark Austin Austin X X X
Moore, Janine J. Peak Financial Group, a division of HUB International Houston X X X
Netoskie, Neil C. Keystone Retirement & Insurance Advisors/LPL Financial Houston X X
Nietenhoefer, Chris Merrill Lynch Wealth Management Fort Worth X X X
O'Connor, Teresa A. Voya Financial Advisors The Woodlands X X
Peterson, Pete VisionPoint Advisory Group/LPL Financial Dallas X X X
Pickett, John A. CAPTRUST Dallas X X X
Pottichen, Aaron Alliant Retirement Consulting Austin X X
Pruitt, Kimberly NFP Haslet X X X X
Salyer III, W. Dean Pensionmark Financial Group, LLC Garden Ridge X X X
Smith, Megan L. UBS Private Wealth Management Dallas X X X X
Stack, Joe Pensionmark Financial Group, LLC Dallas X X X
Vaughan, Robert UBS Financial Services Inc. The Woodlands X X X X
Weaver, Neal M. LeafHouse Financial Austin X X X X
Wenzel, Patricia S. Merrill Lynch Wealth Management Houston X X X X
Whitten, Travis CAPTRUST Dallas X X X X
UTAH
Anderson, Kim D. Soltis Investment Advisors, LLC St. George X X X X
Dall, Corby 401k Advisors Intermountain Sandy X X X X
Jensen, Wesley Alliance Benefit Group Consultants Salt Lake City X X
Moyes, James D. RedStone Advisors, LLC, a Pensionmark firm Lehi X X X
Solomon, Larry ABG Consultants, LLC Salt Lake City X X
Welch, Kirk W. MRP Sandy X X X
VERMONT
Dubie, Christopher Morgan Stanley Wealth Management Colchester X X X
VIRGINIA
Alcaraz, Garret A. Wells Fargo Advisors Virginia Beach X X X X
Andraos, Khalil S. Merrill Lynch Wealth Management Reston X X
Aylward, Michael RBC Wealth Management McLean X X X
Broaddus, Scott S. Virginia Asset Management, LLC Midlothian X X X
Clark, Colin M. Washington Financial Group/LPL Financial McLean X X X
DeNoyior, Joseph F. Washington Financial Group/LPL Financial McLean X X X
Hoffman, Lee H. Merrill Lynch Wealth Management Vienna X X X
Keenan, John P. Signature Estate & Investment Advisors Tysons Corner X X
Leonard, Tripp Virginia Asset Management, LLC Midlothian X X
Maulfair, Jim AHT Retirement Services Leesburg X X X X
Schmitt, Barry V. CAPTRUST Richmond X X X
Shipley, Courtenay Retirement Planology, Inc. Alexandria X X
Stanley, Craig Summit Group of Virginia LLP Virginia Beach X X X
Vaughn, Bruce VLP Financial Advisors/Cetera Advisor Networks Vienna X X
WASHINGTON
Bosch, Jerry RBC Wealth Management Seattle X X X X
Brown, Michael A. J. Gallagher Bellevue X X X
Fisher, Nathan Fisher Investments 401(k) Solutions Camas X X
Raphael, Robert B. SCS Retirement/LPL Financial Bellevue X X X
Reinhart, Edward C. Capital Advisors Wealth Management Yakima X X
Roland, Chad A. PacNorth Retirement Group/LPL Financial Spokane Valley X X X
WISCONSIN
Berry, Keith A. M3 Financial Wauwatosa X X X
Cronin, William J. Integrity Wealth Management, Inc. Waukesha X X
Driscoll, Michael Sheridan Road Financial, a division of HUB International Milwaukee X X X X
Kieckhefer, Robert A. The Kieckhefer Group/LPL Financial Brookfield X X X X
Lanser, Bruce G. UBS Financial Services Inc. Milwaukee X X X
Parks, Thomas W. Graystone Consulting Milwaukee X X X X
Spaeth, Jerod T. Northwestern Mutual - Spaeth Barrett Group Milwaukee X X
Wisialowski, Tina Graystone Consulting Milwaukee X X X X
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