FT 401: complete list of the top US retirement advisers
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Roula Khalaf, Editor of the FT, selects her favourite stories in this weekly newsletter.
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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