Wealth magnets · Wealth magnets the leading CPa finanCial ... R.I. 19 Daniel Corrigan ... Minn. 13 Peter Rekstad

A Supplement to

The 2014 Top Firms by AUMWealth magnets

the leading CPa finanCial Planners ranked by assets under management

the Challenges they faCe, and their suCCess strategies

009_ACTAug14 1 7/21/2014 5:13:10 PM

9,725,451,439 Plante Moran Financial Advisors Southfield, Mich. 126 John Lesser 6,459,404,930 myCIO Wealth Partners Philadelphia 35 David Lees 5,000,000,000 McGladrey Wealth Management Minneapolis 82 Randy Matz 3,730,692,863 CliftonLarsonAllen Wealth Advisors Minneapolis 89 Tony Hallada 3,632,469,656 Savant Capital Management Rockford, Ill. 93 Brent Brodeski 3,300,000,000 Wipfli Milwaukee 51 Rick Dreher 3,108,261,214 Gilman Ciocia Inc. Poughkeepsie, N.Y. 181 Michael Ryan 2,520,153,535 Joel Isaacson & Co. New York City 38 Joel Isaacson 2,377,754,744 Rehmann Financial † Lansing, Mich. 46 Fred Schaard 2,356,028,133 BKD Wealth Advisors Springfield, Mo. 55 Jack Thurman 2,247,890,210 SignatureFD Atlanta 46 Jeff Peller 1,836,973,960 Warren Averett Asset Management † Birmingham, Ala. 30 Josh Reidinger 1,734,000,000 Honkamp Krueger Financial Services Inc. Dubuque, Iowa 59 John Darrah 1,686,358,494 HBKS Wealth Advisors Erie, Pa. 48 Christopher Allegretti 1,615,617,000 Forum Financial Management Lombard, Ill. 45 N. Mindel / A. Hambourger 1,615,000,000 Truepoint Wealth Counsel Cincinnati 34 Michael Chasnoff 1,600,000,000 Berkowitz Pollack Brant/Provenance Wealth Miami 24 Richard Berkowitz 1,599,582,261 Moss Adams Wealth Advisors Seattle 39 Rebecca Pomering 1,249,930,651 Dixon Hughes Wealth Advisors † Asheville, N.C. 17 NA 1,195,491,422 SVA Plumb Wealth Management † Madison, Wis. 37 Thomas Plumb 1,100,000,000 RubinBrown Advisors St. Louis 481 John Herber 1,100,000,000 Citrin Cooperman Wealth Management New York City 7 David Bruckman 1,006,637,423 Thomas Wirig Doll Walnut Creek, Calif. Steve Leininger

966,000,000 Schneider Downs Wealth Mngmt. Advisors Pittsburgh 12 D. Linzer / K. Kunkle 958,108,951 Sequoia Financial Group Akron, Ohio 40 Tom Haught 905,000,000 LBMC Investment Advisors Brentwood, Tenn. 5 Greg Herman 860,974,328 Windham Brannon Financial Group † Atlanta 19 James Heard 842,000,000 GHP Investment Advisors Inc. Denver 12 Brian Friedman 815,940,000 ParenteBeard Wealth Management York, Pa. 24 Thomas Williams 800,000,000 CCR Wealth Management Westborough, Mass. 12 David Borden 789,564,565 Howard Financial Services † Dallas 12 James Howard 777,537,606 Jackson Thornton Asset Management Montgomery, Ala. George Smith 674,224,003 AKT Wealth Advisors Lake Oswego, Ore. 22 K. Scott Barchus 656,684,960 Beaird Harris Wealth Management Inc. Dallas 9 Pat Beaird 640,836,366 Sikich Financial Naperville, Ill. 12 Diana Jordan 635,385,077 Sella & Martinic Rockville, Md. 26 E. Geoffrey Sella 616,339,804 Valley National Financial Advisors Bethlehem, Pa. 32 Thomas Riddle 580,000,000 Corrigan Financial Inc. Middletown, R.I. 19 Daniel Corrigan 552,480,785 SMF Financial Advisors Clifton, N.J. Michael Shenker 543,914,490 ML&R Wealth Management Austin, Texas Steve Harvey 530,400,000 Smith & Howard Wealth Management Atlanta 9 Tim Agnew 519,904,973 BGM TruNorth Wealth Partners Bloomington, Minn. 13 Peter Rekstad 511,698,630 REDW Stanley Financial Advisors † Albuquerque, N.M. 13 Ginny Stanley 505,869,667 EisnerAmper Wealth Advisors † New York City 5 Marc Scudillo 505,084,786 Frank, Rimerman Advisors † Palo Alto, Calif. 4 Brian Kreischer 499,924,961 KDV Ltd. (KDV Wealth Management) St. Cloud, Minn. 160 Loren Viere 481,009,035 Schenck Investment Solutions † Appleton, Wis. 4 NA 436,257,759 Dopkins Wealth Management Williamsville, N.Y. Tom Emmerling 435,399,587 Raffa Wealth Management † Washington, D.C. 6 Dennis Gogarty 417,079,091 Lassus Wherley New Providence, N.J. 25 Clare Wherley 407,288,840 HA&W Wealth Management † Atlanta 12 Keith Greenwald 392,442,737 WealthQuest Financial Services Norfolk, Va. Jeff Chernitzer 380,000,000 SS&G Wealth Management Akron, Ohio 13 Carina Diamond 358,300,000 Boulay Financial Advisors Eden Prairie, Minn. 12 Dave Bremer 353,879,702 Traphagen Investment Advisors Oradell, N.J. 9 V. Peter Traphagen 352,000,000 Marcum Financial Services Melville, N.Y. 14 Steven Brett 342,000,000 Kemper Capital Management Robinson, Ill. 15 Thomas Moore 339,985,183 PBMares Wealth Management Williamsburg, Va. David Bush 337,309,331 CRA Financial Northfield, N.J. 7 Tom & Matt Reynolds 336,451,986 Boulay Financial Advisors † Minneapolis 11 David Bremer 336,209,338 KEB Asset Management Springfield, Ill. Marc Carter

T H E B I L L I O N D O L L A R C L U B

AUM $ FIRM NAME LOCATION STAFF CHIEF EXECUTIVE

T H E $100 M I L L I O N -P L U S C L U B


For our eighth annual ranking of CPA firms by assets under management, we received submissions for over 200 firms. Such a large number of firms means, among other things, wide diversity in practice structure and in the information submitted.

In most cases, firm names are those of the financial planning subsidiary, not the overall CPA firm.

For simplicity’s sake, we have listed the executive in charge under “chief executive,” though many bear different titles.

Many firms gave a date for the AUM figure they submitted; these varied widely, from the date of submission to the most recent quarter, but in no case where a firm gave a reporting date was it earlier than year-end 2013.

For a significant number of firms, we don’t have the number of employees or locations, so rather than run an overall (and incomplete) table of staff figures, we have included the figures from those firms that did report them in the list itself.

In cases where a planning firm is a sub-sidiary of a larger CPA firm, reporting practice varies: Some report staff and office figures for just the subsidiary, some just for the overall CPA firm, and some for both. In cases where we had a choice, we went with figures from just the planning subsidiary. In addition, while most of the chief executives listed lead the planning practice, in some cases firms listed the MP of the larger CPA firm.

Notes:† Data provided by Audit Analytics, a premium online intelligence service that delivers audit, regulatory and disclosure analysis to the accounting community. Reach them at (508) 476-7007, [email protected] or www. auditanalytics.com.

Notes on the report

Mayfield Advisors Inc. Palo Alto, Calif.Schiff Wealth Advisors BaltimoreSkoczek & Associates San DiegoOpis Asset Management New Castle, Pa.D & T Financial Advisors Inc. Concord, Calif.Eastern Advisors Fall River, Mass.Chadwick Wealth Management Fair Lawn, N.J.BCG Wealth Advisors Akron, OhioFR Financial Advisors Coral Springs, Fla.Veritas Wealth Management Salt Lake CityStephenson Accountancy Corp. Colton, Calif.Arkin Financial Advisors Savannah, Ga.Springwood Financial Advisors DallasGainer Donnelly Wealth Advisors Houston

O N E S T O WA T C H

WEALTH MAGNETSTOP FIRMS BY AUM

A Supplement to Accounting Today Top Firms by AUM AUGUST 2014 11


O N E S T O WA T C HTHE BILLION DOLLAR CLUBBROKER-DEALER AFFILIATIONS (% OF FIRMS)

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Note: Some firms reported more than one affiliation

9,725,451,439 Plante Moran Financial Advisors Southfield, Mich. 126 John Lesser 6,459,404,930 myCIO Wealth Partners Philadelphia 35 David Lees 5,000,000,000 McGladrey Wealth Management Minneapolis 82 Randy Matz 3,730,692,863 CliftonLarsonAllen Wealth Advisors Minneapolis 89 Tony Hallada 3,632,469,656 Savant Capital Management Rockford, Ill. 93 Brent Brodeski 3,300,000,000 Wipfli Milwaukee 51 Rick Dreher 3,108,261,214 Gilman Ciocia Inc. Poughkeepsie, N.Y. 181 Michael Ryan 2,520,153,535 Joel Isaacson & Co. New York City 38 Joel Isaacson 2,377,754,744 Rehmann Financial † Lansing, Mich. 46 Fred Schaard 2,356,028,133 BKD Wealth Advisors Springfield, Mo. 55 Jack Thurman 2,247,890,210 SignatureFD Atlanta 46 Jeff Peller 1,836,973,960 Warren Averett Asset Management † Birmingham, Ala. 30 Josh Reidinger 1,734,000,000 Honkamp Krueger Financial Services Inc. Dubuque, Iowa 59 John Darrah 1,686,358,494 HBKS Wealth Advisors Erie, Pa. 48 Christopher Allegretti 1,615,617,000 Forum Financial Management Lombard, Ill. 45 N. Mindel / A. Hambourger 1,615,000,000 Truepoint Wealth Counsel Cincinnati 34 Michael Chasnoff 1,600,000,000 Berkowitz Pollack Brant/Provenance Wealth Miami 24 Richard Berkowitz 1,599,582,261 Moss Adams Wealth Advisors Seattle 39 Rebecca Pomering 1,249,930,651 Dixon Hughes Wealth Advisors † Asheville, N.C. 17 NA 1,195,491,422 SVA Plumb Wealth Management † Madison, Wis. 37 Thomas Plumb 1,100,000,000 RubinBrown Advisors St. Louis 481 John Herber 1,100,000,000 Citrin Cooperman Wealth Management New York City 7 David Bruckman 1,006,637,423 Thomas Wirig Doll Walnut Creek, Calif. Steve Leininger

966,000,000 Schneider Downs Wealth Mngmt. Advisors Pittsburgh 12 D. Linzer / K. Kunkle 958,108,951 Sequoia Financial Group Akron, Ohio 40 Tom Haught 905,000,000 LBMC Investment Advisors Brentwood, Tenn. 5 Greg Herman 860,974,328 Windham Brannon Financial Group † Atlanta 19 James Heard 842,000,000 GHP Investment Advisors Inc. Denver 12 Brian Friedman 815,940,000 ParenteBeard Wealth Management York, Pa. 24 Thomas Williams 800,000,000 CCR Wealth Management Westborough, Mass. 12 David Borden 789,564,565 Howard Financial Services † Dallas 12 James Howard 777,537,606 Jackson Thornton Asset Management Montgomery, Ala. George Smith 674,224,003 AKT Wealth Advisors Lake Oswego, Ore. 22 K. Scott Barchus 656,684,960 Beaird Harris Wealth Management Inc. Dallas 9 Pat Beaird 640,836,366 Sikich Financial Naperville, Ill. 12 Diana Jordan 635,385,077 Sella & Martinic Rockville, Md. 26 E. Geoffrey Sella 616,339,804 Valley National Financial Advisors Bethlehem, Pa. 32 Thomas Riddle 580,000,000 Corrigan Financial Inc. Middletown, R.I. 19 Daniel Corrigan 552,480,785 SMF Financial Advisors Clifton, N.J. Michael Shenker 543,914,490 ML&R Wealth Management Austin, Texas Steve Harvey 530,400,000 Smith & Howard Wealth Management Atlanta 9 Tim Agnew 519,904,973 BGM TruNorth Wealth Partners Bloomington, Minn. 13 Peter Rekstad 511,698,630 REDW Stanley Financial Advisors † Albuquerque, N.M. 13 Ginny Stanley 505,869,667 EisnerAmper Wealth Advisors † New York City 5 Marc Scudillo 505,084,786 Frank, Rimerman Advisors † Palo Alto, Calif. 4 Brian Kreischer 499,924,961 KDV Ltd. (KDV Wealth Management) St. Cloud, Minn. 160 Loren Viere 481,009,035 Schenck Investment Solutions † Appleton, Wis. 4 NA 436,257,759 Dopkins Wealth Management Williamsville, N.Y. Tom Emmerling 435,399,587 Raffa Wealth Management † Washington, D.C. 6 Dennis Gogarty 417,079,091 Lassus Wherley New Providence, N.J. 25 Clare Wherley 407,288,840 HA&W Wealth Management † Atlanta 12 Keith Greenwald 392,442,737 WealthQuest Financial Services Norfolk, Va. Jeff Chernitzer 380,000,000 SS&G Wealth Management Akron, Ohio 13 Carina Diamond 358,300,000 Boulay Financial Advisors Eden Prairie, Minn. 12 Dave Bremer 353,879,702 Traphagen Investment Advisors Oradell, N.J. 9 V. Peter Traphagen 352,000,000 Marcum Financial Services Melville, N.Y. 14 Steven Brett 342,000,000 Kemper Capital Management Robinson, Ill. 15 Thomas Moore 339,985,183 PBMares Wealth Management Williamsburg, Va. David Bush 337,309,331 CRA Financial Northfield, N.J. 7 Tom & Matt Reynolds 336,451,986 Boulay Financial Advisors † Minneapolis 11 David Bremer 336,209,338 KEB Asset Management Springfield, Ill. Marc Carter

T H E B I L L I O N D O L L A R C L U B




For our eighth annual ranking of CPA firms by assets under management, we received submissions for over 200 firms. Such a large number of firms means, among other things, wide diversity in practice structure and in the information submitted.

In most cases, firm names are those of the financial planning subsidiary, not the overall CPA firm.

For simplicity’s sake, we have listed the executive in charge under “chief executive,” though many bear different titles.

Many firms gave a date for the AUM figure they submitted; these varied widely, from the date of submission to the most recent quarter, but in no case where a firm gave a reporting date was it earlier than year-end 2013.

For a significant number of firms, we don’t have the number of employees or locations, so rather than run an overall (and incomplete) table of staff figures, we have included the figures from those firms that did report them in the list itself.

In cases where a planning firm is a sub-sidiary of a larger CPA firm, reporting practice varies: Some report staff and office figures for just the subsidiary, some just for the overall CPA firm, and some for both. In cases where we had a choice, we went with figures from just the planning subsidiary. In addition, while most of the chief executives listed lead the planning practice, in some cases firms listed the MP of the larger CPA firm.

Notes:† Data provided by Audit Analytics, a premium online intelligence service that delivers audit, regulatory and disclosure analysis to the accounting community. Reach them at (508) 476-7007, [email protected] or www. auditanalytics.com.

Notes on the report


O N E S T O WA T C H


A Supplement to Accounting Today Top Firms by AUM AUGUST 2014 11 334,673,913 Hufford Advisors Indianapolis Brian Hufford 321,130,849 Jack Oujo CPA Inc. Wall, N.J. 10 Jack Oujo 317,031,518 Weaver Wealth Management † Dallas 14 David Sego 316,000,000 SC&H Group Inc. Sparks, Md. 300 Ronald Causey 315,000,000 CPFA Greenwood Village, Colo. 9 Richard Rogers 309,706,774 LBA Wealth Management † Jacksonville, Fla. 21 Neal Von Stein 305,238,239 Tellone Management Group Inc.† Anaheim Hills, Calif. 7 Dean Tellone 300,000,000 Dynasty Quest Inc. Sedona, Ariz. 2 Steven Siegel 299,562,620 Asset Strategies Inc. Avon, Conn. 8 Alan Rothstein 297,673,112 Kuntz Lesher Capital † Lancaster, Pa. 9 Sarah Young Fisher 290,103,751 Herbein Wealth Management Wyomissing, Pa. Bill Morgan 277,098,475 Mason Road Wealth Advisors St. Louis William Bender 275,592,346 Grant/GrossMendelsohn Baltimore 6 Christopher Grant 269,848,364 Nova Wealth Management Group Atlanta J. Cohen / S. Bromberg 268,000,000 Rowling & Associates San Diego 8 Sheryl Rowling 264,600,000 John F. Suby Wealth Management † Madison, Wis. 6 John Suby 259,934,000 Glass Jacobson Investment Advisors Owings Mills, Md. 11 Jonathan Dinkins 250,522,658 Cherry Bekaert Wealth Management † Richmond, Va. 14 Wesley Watkins 239,796,310 Whitley Penn Financial † Fort Worth, Texas 5 Thomas Rein 239,748,191 Claris Advisors St. Louis Stan Royer 231,041,632 A&F Financial Advisors Charleston, W. Va. Gary Swingle 225,000,000 Mark Sheptoff Financial Planning Glastonbury, Conn. 1.5 Mark Sheptoff 223,170,917 KMH Wealth Management Victoria, Texas 7 Thomas Lane Keller 219,085,215 Lauterbach Financial Advisors El Paso, Texas Jon Sonnen 216,863,351 Kraft Asset Management Nashville, Tenn. Stephen High 201,000,000 Blue Ocean Strategic Capital Syracuse, N.Y. 7 Theodore Sarenski 200,543,164 Mutual Fund Mngmt. Co./Arvai & Associates Troy, Mich. 4 Frank Arvai 196,622,575 Bland Garvey Wealth Advisors Richardson, Texas John Garvey 195,000,000 ShankerValleau Wealth Advisors Inc. Evanston, Ill. 8 Lawrence Shanker 190,427,175 Andrews, Lucia Wealth Management San Mateo, Calif. Robert Lucia 181,000,000 Mercadien Asset Management † Hamilton, N.J. 5 Keith Kamen 175,456,558 ShankerValleau Wealth Advisors Inc. † Evanston, Ill. 5 L. Shanker / J. Valleau 167,699,548 SK Wealth Management Providence, R.I. 6 Jason Archambault 165,063,135 Netting & Pace CPAs San Antonio 15 Conrad Netting 163,751,000 SC&H Financial Advisors Inc. † Sparks, Md. 13 Ronald Causey 163,204,027 WebsterRogers Financial Florence, S.C. 7 Frank Rogers 154,124,429 Wealth Management Group Dover, Del. Scott Brown 151,243,590 Causey Demgen & Moore † Denver 45 Nathaniel Koch 147,246,779 Financial Resource Group Gaithersburg, Md. Joe Kilner 146,640,129 Solutions for Wealth Management Bourbonnais, Ill. Mark Smith 142,892,224 HORNE Wealth Advisors Ridgeland, Miss. Stan Purvis 142,026,403 LGT Financial Advisors Dallas 7 William Walsh 138,615,401 FMF&E Wealth Management Syracuse, N.Y. Chris Gardner 138,000,000 KLR Wealth Management Providence, R.I. 4 Peri Ann Aptaker 134,703,380 RF&L Wealth Management Boston N. Doherty / R. Hass 133,000,000 HighSight Wellesley, Mass. 5 Joel Aronson 131,223,255 HD Financial Services Omaha, Neb. Richard Homan 129,774,500 Ronald P. Austin CPA/PFS Lafayette, Ind. 2 Ronald Austin 128,483,347 Wasserman Wealth Management Farmington Hills, Mich. Brad Wasserman 127,928,500 SFC Asset Management Inc. State College, Pa. James Karchner 122,589,279 ARK Financial Services Bethesda, Md. Andrew Kline 121,096,654 Squire Wealth Advisors Orem, Utah Tim Christensen 121,000,000 M. White FinancialServices Baytown, Texas 2 Matthew White 120,000,000 Pivotal Planning Group Jericho, N.Y. 8 John Marchisotta 119,000,000 Briggs Wealth Management Inc. Glastonbury, Conn. 4 Mark Briggs 115,640,379 Heartland Investment Advisors Kansas City, Mo. Douglas Hunt 113,622,823 Dental Wealth Advisors Kirkland, Wash. Sam Martin 106,000,000 D3 Financial Counselors Downers Grove, Ill. 7 Donald Duncan 104,270,943 AVL WealthCare Gulfport, Miss. J. Gunkel / G. Weldon 103,123,159 WIN Wealth Management Denver Mark Autterson 103,099,491 Eide Bailly Advisors † Fargo, N.D. 32 B. Kelley / D. Zaudtke 102,745,282 JDH Wealth Management Santa Rosa, Calif. Tim Delaney 102,055,919 Walpole Financial Advisors Goleta, Calif. K. Stovesand / Jean Smith 100,505,922 CSA Financial Advisors † Cincinnati 3 Michael Clark

T H E $100 M I L L I O N -P L U S C L U B ( C O N T ’ D )AUM $ FIRM NAME LOCATION STAFF CHIEF EXECUTIVE


Advisors

334,673,913 Hufford Advisors Indianapolis Brian Hufford 321,130,849 Jack Oujo CPA Inc. Wall, N.J. 10 Jack Oujo 317,031,518 Weaver Wealth Management † Dallas 14 David Sego 316,000,000 SC&H Group Inc. Sparks, Md. 300 Ronald Causey 315,000,000 CPFA Greenwood Village, Colo. 9 Richard Rogers 309,706,774 LBA Wealth Management † Jacksonville, Fla. 21 Neal Von Stein 305,238,239 Tellone Management Group Inc.† Anaheim Hills, Calif. 7 Dean Tellone 300,000,000 Dynasty Quest Inc. Sedona, Ariz. 2 Steven Siegel 299,562,620 Asset Strategies Inc. Avon, Conn. 8 Alan Rothstein 297,673,112 Kuntz Lesher Capital † Lancaster, Pa. 9 Sarah Young Fisher 290,103,751 Herbein Wealth Management Wyomissing, Pa. Bill Morgan 277,098,475 Mason Road Wealth Advisors St. Louis William Bender 275,592,346 Grant/GrossMendelsohn Baltimore 6 Christopher Grant 269,848,364 Nova Wealth Management Group Atlanta J. Cohen / S. Bromberg 268,000,000 Rowling & Associates San Diego 8 Sheryl Rowling 264,600,000 John F. Suby Wealth Management † Madison, Wis. 6 John Suby 259,934,000 Glass Jacobson Investment Advisors Owings Mills, Md. 11 Jonathan Dinkins 250,522,658 Cherry Bekaert Wealth Management † Richmond, Va. 14 Wesley Watkins 239,796,310 Whitley Penn Financial † Fort Worth, Texas 5 Thomas Rein 239,748,191 Claris Advisors St. Louis Stan Royer 231,041,632 A&F Financial Advisors Charleston, W. Va. Gary Swingle 225,000,000 Mark Sheptoff Financial Planning Glastonbury, Conn. 1.5 Mark Sheptoff 223,170,917 KMH Wealth Management Victoria, Texas 7 Thomas Lane Keller 219,085,215 Lauterbach Financial Advisors El Paso, Texas Jon Sonnen 216,863,351 Kraft Asset Management Nashville, Tenn. Stephen High 201,000,000 Blue Ocean Strategic Capital Syracuse, N.Y. 7 Theodore Sarenski 200,543,164 Mutual Fund Mngmt. Co./Arvai & Associates Troy, Mich. 4 Frank Arvai 196,622,575 Bland Garvey Wealth Advisors Richardson, Texas John Garvey 195,000,000 ShankerValleau Wealth Advisors Inc. Evanston, Ill. 8 Lawrence Shanker 190,427,175 Andrews, Lucia Wealth Management San Mateo, Calif. Robert Lucia 181,000,000 Mercadien Asset Management † Hamilton, N.J. 5 Keith Kamen 175,456,558 ShankerValleau Wealth Advisors Inc. † Evanston, Ill. 5 L. Shanker / J. Valleau 167,699,548 SK Wealth Management Providence, R.I. 6 Jason Archambault 165,063,135 Netting & Pace CPAs San Antonio 15 Conrad Netting 163,751,000 SC&H Financial Advisors Inc. † Sparks, Md. 13 Ronald Causey 163,204,027 WebsterRogers Financial Florence, S.C. 7 Frank Rogers 154,124,429 Wealth Management Group Dover, Del. Scott Brown 151,243,590 Causey Demgen & Moore † Denver 45 Nathaniel Koch 147,246,779 Financial Resource Group Gaithersburg, Md. Joe Kilner 146,640,129 Solutions for Wealth Management Bourbonnais, Ill. Mark Smith 142,892,224 HORNE Wealth Advisors Ridgeland, Miss. Stan Purvis 142,026,403 LGT Financial Advisors Dallas 7 William Walsh 138,615,401 FMF&E Wealth Management Syracuse, N.Y. Chris Gardner 138,000,000 KLR Wealth Management Providence, R.I. 4 Peri Ann Aptaker 134,703,380 RF&L Wealth Management Boston N. Doherty / R. Hass 133,000,000 HighSight Wellesley, Mass. 5 Joel Aronson 131,223,255 HD Financial Services Omaha, Neb. Richard Homan 129,774,500 Ronald P. Austin CPA/PFS Lafayette, Ind. 2 Ronald Austin 128,483,347 Wasserman Wealth Management Farmington Hills, Mich. Brad Wasserman 127,928,500 SFC Asset Management Inc. State College, Pa. James Karchner 122,589,279 ARK Financial Services Bethesda, Md. Andrew Kline 121,096,654 Squire Wealth Advisors Orem, Utah Tim Christensen 121,000,000 M. White FinancialServices Baytown, Texas 2 Matthew White 120,000,000 Pivotal Planning Group Jericho, N.Y. 8 John Marchisotta 119,000,000 Briggs Wealth Management Inc. Glastonbury, Conn. 4 Mark Briggs 115,640,379 Heartland Investment Advisors Kansas City, Mo. Douglas Hunt 113,622,823 Dental Wealth Advisors Kirkland, Wash. Sam Martin 106,000,000 D3 Financial Counselors Downers Grove, Ill. 7 Donald Duncan 104,270,943 AVL WealthCare Gulfport, Miss. J. Gunkel / G. Weldon 103,123,159 WIN Wealth Management Denver Mark Autterson 103,099,491 Eide Bailly Advisors † Fargo, N.D. 32 B. Kelley / D. Zaudtke 102,745,282 JDH Wealth Management Santa Rosa, Calif. Tim Delaney 102,055,919 Walpole Financial Advisors Goleta, Calif. K. Stovesand / Jean Smith 100,505,922 CSA Financial Advisors † Cincinnati 3 Michael Clark



Advisors

334,673,913 Hufford Advisors Indianapolis Brian Hufford 321,130,849 Jack Oujo CPA Inc. Wall, N.J. 10 Jack Oujo 317,031,518 Weaver Wealth Management † Dallas 14 David Sego 316,000,000 SC&H Group Inc. Sparks, Md. 300 Ronald Causey 315,000,000 CPFA Greenwood Village, Colo. 9 Richard Rogers 309,706,774 LBA Wealth Management † Jacksonville, Fla. 21 Neal Von Stein 305,238,239 Tellone Management Group Inc.† Anaheim Hills, Calif. 7 Dean Tellone 300,000,000 Dynasty Quest Inc. Sedona, Ariz. 2 Steven Siegel 299,562,620 Asset Strategies Inc. Avon, Conn. 8 Alan Rothstein 297,673,112 Kuntz Lesher Capital † Lancaster, Pa. 9 Sarah Young Fisher 290,103,751 Herbein Wealth Management Wyomissing, Pa. Bill Morgan 277,098,475 Mason Road Wealth Advisors St. Louis William Bender 275,592,346 Grant/GrossMendelsohn Baltimore 6 Christopher Grant 269,848,364 Nova Wealth Management Group Atlanta J. Cohen / S. Bromberg 268,000,000 Rowling & Associates San Diego 8 Sheryl Rowling 264,600,000 John F. Suby Wealth Management † Madison, Wis. 6 John Suby 259,934,000 Glass Jacobson Investment Advisors Owings Mills, Md. 11 Jonathan Dinkins 250,522,658 Cherry Bekaert Wealth Management † Richmond, Va. 14 Wesley Watkins 239,796,310 Whitley Penn Financial † Fort Worth, Texas 5 Thomas Rein 239,748,191 Claris Advisors St. Louis Stan Royer 231,041,632 A&F Financial Advisors Charleston, W. Va. Gary Swingle 225,000,000 Mark Sheptoff Financial Planning Glastonbury, Conn. 1.5 Mark Sheptoff 223,170,917 KMH Wealth Management Victoria, Texas 7 Thomas Lane Keller 219,085,215 Lauterbach Financial Advisors El Paso, Texas Jon Sonnen 216,863,351 Kraft Asset Management Nashville, Tenn. Stephen High 201,000,000 Blue Ocean Strategic Capital Syracuse, N.Y. 7 Theodore Sarenski 200,543,164 Mutual Fund Mngmt. Co./Arvai & Associates Troy, Mich. 4 Frank Arvai 196,622,575 Bland Garvey Wealth Advisors Richardson, Texas John Garvey 195,000,000 ShankerValleau Wealth Advisors Inc. Evanston, Ill. 8 Lawrence Shanker 190,427,175 Andrews, Lucia Wealth Management San Mateo, Calif. Robert Lucia 181,000,000 Mercadien Asset Management † Hamilton, N.J. 5 Keith Kamen 175,456,558 ShankerValleau Wealth Advisors Inc. † Evanston, Ill. 5 L. Shanker / J. Valleau 167,699,548 SK Wealth Management Providence, R.I. 6 Jason Archambault 165,063,135 Netting & Pace CPAs San Antonio 15 Conrad Netting 163,751,000 SC&H Financial Advisors Inc. † Sparks, Md. 13 Ronald Causey 163,204,027 WebsterRogers Financial Florence, S.C. 7 Frank Rogers 154,124,429 Wealth Management Group Dover, Del. Scott Brown 151,243,590 Causey Demgen & Moore † Denver 45 Nathaniel Koch 147,246,779 Financial Resource Group Gaithersburg, Md. Joe Kilner 146,640,129 Solutions for Wealth Management Bourbonnais, Ill. Mark Smith 142,892,224 HORNE Wealth Advisors Ridgeland, Miss. Stan Purvis 142,026,403 LGT Financial Advisors Dallas 7 William Walsh 138,615,401 FMF&E Wealth Management Syracuse, N.Y. Chris Gardner 138,000,000 KLR Wealth Management Providence, R.I. 4 Peri Ann Aptaker 134,703,380 RF&L Wealth Management Boston N. Doherty / R. Hass 133,000,000 HighSight Wellesley, Mass. 5 Joel Aronson 131,223,255 HD Financial Services Omaha, Neb. Richard Homan 129,774,500 Ronald P. Austin CPA/PFS Lafayette, Ind. 2 Ronald Austin 128,483,347 Wasserman Wealth Management Farmington Hills, Mich. Brad Wasserman 127,928,500 SFC Asset Management Inc. State College, Pa. James Karchner 122,589,279 ARK Financial Services Bethesda, Md. Andrew Kline 121,096,654 Squire Wealth Advisors Orem, Utah Tim Christensen 121,000,000 M. White FinancialServices Baytown, Texas 2 Matthew White 120,000,000 Pivotal Planning Group Jericho, N.Y. 8 John Marchisotta 119,000,000 Briggs Wealth Management Inc. Glastonbury, Conn. 4 Mark Briggs 115,640,379 Heartland Investment Advisors Kansas City, Mo. Douglas Hunt 113,622,823 Dental Wealth Advisors Kirkland, Wash. Sam Martin 106,000,000 D3 Financial Counselors Downers Grove, Ill. 7 Donald Duncan 104,270,943 AVL WealthCare Gulfport, Miss. J. Gunkel / G. Weldon 103,123,159 WIN Wealth Management Denver Mark Autterson 103,099,491 Eide Bailly Advisors † Fargo, N.D. 32 B. Kelley / D. Zaudtke 102,745,282 JDH Wealth Management Santa Rosa, Calif. Tim Delaney 102,055,919 Walpole Financial Advisors Goleta, Calif. K. Stovesand / Jean Smith 100,505,922 CSA Financial Advisors † Cincinnati 3 Michael Clark



Advisors

THE $100+ MILLION CLUBBROKER-DEALER AFFILIATIONS (% OF FIRMS)


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THE $50+ MILLION CLUBBROKER-DEALER AFFILIATIONS (% OF FIRMS)

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THE RISING STARSBROKER-DEALER AFFILIATIONS (% OF FIRMS)

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97,125,140 PKS Investment Advisors Ocean City, Md. Winn Booth 92,991,110 Millares Asset Management Coral Gables, Fla. Ruben Millares 87,449,315 Siena Wealth Advisors Grand Ledge, Mich. R. Millbrook / S. Hicks 85,000,000 WeiserMazars Wealth Advisors New York City 5 Douglas Phillips 76,178,113 Green Wealth Management Salem, Ore. Phil Green 76,036,119 Waypoint Wealth Management Hunt Valley, Md. G. Palmer / D. Callan 76,000,000 Carey & Hanna | Tax & Wealth Planners Ventura, Calif. 8 R. Carey / T. Hanna / D. Carey 76,000,000 Gallagher Flynn Financial Advisors South Burlington, Vt. 3 M. Keller / G. Bourgea 71,621,630 JMF Capstone Tuscaloosa, Ala. Joel Lake 71,206,591 Poinciana Advisors Group Palm Beach, Fla. Karyl Neal 71,070,000 Scafa Financial Services Pennington, N.J. 4 Elizabeth Scafa 70,000,000 The Whitlock Company Springfield, Mo. 34 Joe Page 68,948,964 Shoreline Asset Management New Castle, Ind. Marion Shore 68,224,000 Dexter Ward & Associates Denison, Texas 3 Dexter Ward 67,500,000 Coventry Financial Group Quitman, Texas 5 NA 66,068,389 CTM Financial Knoxville, Tenn. Pat Taylor 64,272,542 Cornerstone Wealth Advisors Overland Park, Kansas David Imhoff 61,565,000 TDC Capital Advisors Inc. Bryan, Texas 3 Ronnie Craig 60,787,811 Klane Wealth Management St. Paul, Minn. Steve Klane 60,500,000 Schmidt Wealth Management Fargo, N.D. 3 Jim Schmidt 59,475,000 Christakos Financial Group Westfield, N.J. 2 P. Jeffrey Christakos 59,442,302 Vantage Point Advisors Salt Lake City Barbara Ray 59,000,000 Tette & Ingersoll CPAs Victor, New York 18 Thomas Tette 58,430,048 Maze Financial Planning Chapel Hill, N.C. Bill Bunch 57,890,581 Neuenschwander Asset Management McFarland, Wis. Roy Neuenschwander 57,700,180 Sensiba San Filippo Financial Advisers † San Mateo, Calif. 3 John Sensiba 57,643,922 Financial Advocates Costa Mesa, Calif. James Pickett 55,000,000 Phoenix Tax Consultants Phoenixville, Pa. 15 Julia Brufke Wenger 55,000,000 Falco Financial Services Inc. Scottsbluff, Neb. 6 Fred Lockwood 54,686,400 Milinovich & Co. Inc. † Waynesburg, Pa. 1 Thomas Milinovich 51,699,898 Financial Life Advisors San Antonio 3 Jim Oliver

48,694,103 Michelle Miller CPA CFP Austin, Texas Michelle Miller 48,609,320 Focus Asset Management Co. Virginia Beach, Va. Gene McNiff 48,000,000 Gregory M. Doherty CPA/CFP † Dedham, Mass. 1 Gregory Doherty 46,714,163 Strategic Investment Advisors Ltd. Cape Girardeau, Mo. James Hillin 46,443,669 Forest Asset Management Berwyn, Ill. JoAnn May 45,000,000 Portland Fixed Income Specialists Beaverton, Ore. 1 Russell Francis 42,516,069 Focused Financial Management Baton Rouge, La. Brent Salter 41,099,690 Madison Wealth Advisors Lee’s Summit, Mo. Doug Clark 40,518,188 LGC&D Wealth Management Providence, R.I. Jerrold Dorfman 40,062,655 CLM Capital Management Sanford, Maine Bruce McNamee 39,000,000 William MacDonald CPA CFP Portsmouth, N.H. 2 William MacDonald 37,911,212 Fortress Financial Group Ashland, Ore. 3 Jack Gibbs 37,571,147 Mark L. Westerman CPA † Victoria, Texas 1 Mark Westerman 37,406,965 Capital WealthCare Advisors Wichita, Kansas Kedre Mellor 37,400,000 Squar Milner Financial Services † Newport Beach, Calif. 3 Alec Abbott 37,272,102 HBE Investment Advisors Lincoln, Neb. Scott Becker 37,000,000 CDS Financial Services Willmar, Minn. 2 Chance Hooper 36,087,815 Pile Wealth Management Indianapolis Neal Clements 35,608,180 Peak Investment Solutions Roseville, Calif. Ken Pope 34,983,443 Clarity Wealth Management Irvine, Calif. Gina Chironis 33,640,775 Riverstone Asset Management Louisville, Ky. J. Ringstaff / E. Johnson 33,361,000 Moss & Co. Maitland, Fla. 1 Jeffrey Moss 33,113,668 Lake Mary Wealth Management Lake Mary, Fla. Paula Taylor 33,000,000 Dental Retirement Strategies Inc. Roswell, Ga. Rick Willeford 32,704,764 Naarden Financial Group Inc. Pocatello, Idaho Alan Van Orden 32,300,000 Steele Financial Services Inc. Bellingham, Wash. 2 Rick Steele 31,900,000 CPA Group Investment Management † Panama City, Fla. 5 David Tipton 31,250,000 The Advisory Board Overland Park, Kansas 2 Daniel Hutchins 31,000,000 Innovative Financial Lakewood, Colo. 4 DeDe Jones


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97,125,140 PKS Investment Advisors Ocean City, Md. Winn Booth 92,991,110 Millares Asset Management Coral Gables, Fla. Ruben Millares 87,449,315 Siena Wealth Advisors Grand Ledge, Mich. R. Millbrook / S. Hicks 85,000,000 WeiserMazars Wealth Advisors New York City 5 Douglas Phillips 76,178,113 Green Wealth Management Salem, Ore. Phil Green 76,036,119 Waypoint Wealth Management Hunt Valley, Md. G. Palmer / D. Callan 76,000,000 Carey & Hanna | Tax & Wealth Planners Ventura, Calif. 8 R. Carey / T. Hanna / D. Carey 76,000,000 Gallagher Flynn Financial Advisors South Burlington, Vt. 3 M. Keller / G. Bourgea 71,621,630 JMF Capstone Tuscaloosa, Ala. Joel Lake 71,206,591 Poinciana Advisors Group Palm Beach, Fla. Karyl Neal 71,070,000 Scafa Financial Services Pennington, N.J. 4 Elizabeth Scafa 70,000,000 The Whitlock Company Springfield, Mo. 34 Joe Page 68,948,964 Shoreline Asset Management New Castle, Ind. Marion Shore 68,224,000 Dexter Ward & Associates Denison, Texas 3 Dexter Ward 67,500,000 Coventry Financial Group Quitman, Texas 5 NA 66,068,389 CTM Financial Knoxville, Tenn. Pat Taylor 64,272,542 Cornerstone Wealth Advisors Overland Park, Kansas David Imhoff 61,565,000 TDC Capital Advisors Inc. Bryan, Texas 3 Ronnie Craig 60,787,811 Klane Wealth Management St. Paul, Minn. Steve Klane 60,500,000 Schmidt Wealth Management Fargo, N.D. 3 Jim Schmidt 59,475,000 Christakos Financial Group Westfield, N.J. 2 P. Jeffrey Christakos 59,442,302 Vantage Point Advisors Salt Lake City Barbara Ray 59,000,000 Tette & Ingersoll CPAs Victor, New York 18 Thomas Tette 58,430,048 Maze Financial Planning Chapel Hill, N.C. Bill Bunch 57,890,581 Neuenschwander Asset Management McFarland, Wis. Roy Neuenschwander 57,700,180 Sensiba San Filippo Financial Advisers † San Mateo, Calif. 3 John Sensiba 57,643,922 Financial Advocates Costa Mesa, Calif. James Pickett 55,000,000 Phoenix Tax Consultants Phoenixville, Pa. 15 Julia Brufke Wenger 55,000,000 Falco Financial Services Inc. Scottsbluff, Neb. 6 Fred Lockwood 54,686,400 Milinovich & Co. Inc. † Waynesburg, Pa. 1 Thomas Milinovich 51,699,898 Financial Life Advisors San Antonio 3 Jim Oliver

48,694,103 Michelle Miller CPA CFP Austin, Texas Michelle Miller 48,609,320 Focus Asset Management Co. Virginia Beach, Va. Gene McNiff 48,000,000 Gregory M. Doherty CPA/CFP † Dedham, Mass. 1 Gregory Doherty 46,714,163 Strategic Investment Advisors Ltd. Cape Girardeau, Mo. James Hillin 46,443,669 Forest Asset Management Berwyn, Ill. JoAnn May 45,000,000 Portland Fixed Income Specialists Beaverton, Ore. 1 Russell Francis 42,516,069 Focused Financial Management Baton Rouge, La. Brent Salter 41,099,690 Madison Wealth Advisors Lee’s Summit, Mo. Doug Clark 40,518,188 LGC&D Wealth Management Providence, R.I. Jerrold Dorfman 40,062,655 CLM Capital Management Sanford, Maine Bruce McNamee 39,000,000 William MacDonald CPA CFP Portsmouth, N.H. 2 William MacDonald 37,911,212 Fortress Financial Group Ashland, Ore. 3 Jack Gibbs 37,571,147 Mark L. Westerman CPA † Victoria, Texas 1 Mark Westerman 37,406,965 Capital WealthCare Advisors Wichita, Kansas Kedre Mellor 37,400,000 Squar Milner Financial Services † Newport Beach, Calif. 3 Alec Abbott 37,272,102 HBE Investment Advisors Lincoln, Neb. Scott Becker 37,000,000 CDS Financial Services Willmar, Minn. 2 Chance Hooper 36,087,815 Pile Wealth Management Indianapolis Neal Clements 35,608,180 Peak Investment Solutions Roseville, Calif. Ken Pope 34,983,443 Clarity Wealth Management Irvine, Calif. Gina Chironis 33,640,775 Riverstone Asset Management Louisville, Ky. J. Ringstaff / E. Johnson 33,361,000 Moss & Co. Maitland, Fla. 1 Jeffrey Moss 33,113,668 Lake Mary Wealth Management Lake Mary, Fla. Paula Taylor 33,000,000 Dental Retirement Strategies Inc. Roswell, Ga. Rick Willeford 32,704,764 Naarden Financial Group Inc. Pocatello, Idaho Alan Van Orden 32,300,000 Steele Financial Services Inc. Bellingham, Wash. 2 Rick Steele 31,900,000 CPA Group Investment Management † Panama City, Fla. 5 David Tipton 31,250,000 The Advisory Board Overland Park, Kansas 2 Daniel Hutchins 31,000,000 Innovative Financial Lakewood, Colo. 4 DeDe Jones


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