research | PLANADVISER October/November 2012

PLANADVISER’s 2013 Top 100 Retirement Plan Advisers

The PLANADVISER Top 100 Advisers is a listing of the advisers and adviser teams competing for the annual PLANSPONSOR Retirement Plan Adviser and Adviser Team of the Year awards who stand out in terms of a series of quantitative measures.

By PLANADVISER Staff | October/November 2012
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Zara Picken

For the 2013 list, we added a new category alongside the individual and team categories: multi-office team. As for how they are defined: An individual adviser is a single adviser with one group of clients; a team is a group of two or more advisers in one office location who collectively serve one group of clients, sharing relationships and sales and using the same client support team; a multioffice team is a group of two or more advisers across multiple office locations who share support staff and follow the same guidelines and procedures to serve clients. 

In the pages that follow, we highlight the quantitative standouts, in terms of dollar value of qualified plan assets under advisement as well as number of plans under advisement by individuals, teams and multioffice teams. We also draw attention to those who have a demonstrable presence, defined as having more than 20% of their practice (up from 15% or more last year) focused on 403(b) plans, 457 plans, defined benefit (DB) plans or nonqualified plans. 

Just how successful are these Top 100 Advisers? Collectively, the 32 individual advisers represent about 1,985 plans and $44 billion in retirement plan assets, while the 52 adviser teams on the list collectively serve approximately 3,670 plans and $113 billion in plan assets. Although there are only 16 multioffice teams, their client lists total 2,645 plans and $91 billion in retirement plan assets. 


Methodology: The advisers listed here are taken from entries for the 2013 PLANSPONSOR Retirement Plan Adviser and Adviser Team of the Year awards. To enter the awards process, nominees must complete a form providing various details of their practice. The PLANADVISER Top 100 is based solely on quantitative factors.
Multioffice Team: 
Team and Individuals With: