PLANADVISER's 2012 Top 100 Retirement Plan Advisers
Last year, we introduced the PLANADVISER Top 100 Advisers, a listing of the advisers and adviser teams competing for the annual PLANSPONSOR’s Retirement Plan Adviser and Adviser Team of the Year awards that stand out in terms of a series of quantitative measures.
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, and we also draw attention to those who have a demonstrable presence, defined as having more than 15% of their practice focused on 403(b) plans, defined benefit plans, nonqualified plans, or 457 plans.
This year’s Top 100 comprises 40 advisers and 60 adviser teams, which represents the approximate ratio of adviser and team entries for the 2012 PLANSPONSOR’s Retirement Plan Adviser and Adviser Team of the Year awards.
Just how successful are these Top 100 Advisers? Collectively, the individual advisers represent about $33 billion in retirement plan assets (almost double last year), while the teams on the list collectively serve just shy of $150 billion in plan assets (a 30% increase over last year’s teams).
Among the specific product segments, 19 advisers or adviser teams say that 15% or more of their practice is focused on 403(b) plans, 29 have that kind of presence with defined benefit plans, six can make that claim with nonqualified programs, and just two say the same about 457 plans.
Skilled retirement plan advisers have been indispensable resources to their plan sponsor clients. Size isn’t everything, of course—but it is an objective measure of success, and one well worth acknowledging.
2012 PA Top 100 Index
Teams with $1B and More in AUA
Individuals with $150M or more in AUA
Individuals with 50 or more plans
Teams and Individuals with:
15% or more in nonqualified plans
15% or more in defined benefit plans
Teams with $1B and More in AUA
More than $5B
Graystone Consulting – Parks Consulting Group
Thomas Parks, David Lownik, Bruce Lanser, Bernadette Lanser
Milwaukee, WI
Institutional Investment Consulting
Michael Kozemchak, Tony Ciocca, Greg Cimmino, Barry Stoey, Paul Stephens
Bloomfield Hills, MI
Pensionmark Retirement Group
Troy Hammond, Mike Woods, Devyn Duex, Krista Hauser, Laura Battle, Deanna Bamford, Tony Winkeljohn, Michele Lantz, Jeffrey Seymour, Ted Steinkamp, Janice Brewer, Bryant Strickland, Ed Jaeger, Michael Devlin, Craig Christo, Christine Powell, Blanton Garnett, Sean O’Flaherty, Daniel Shapiro, Andre Kaluna
Santa Barbara, CA
Plan Sponsor Advisors, LLC
Donald Stone, Jennifer Flodin, Angelo Auriemma, Preet Prashar, Kevin Donahue, Rhonda Berg, Chris Murphy, Kathryn Jandeska
Chicago, IL
Retirement Benefits Group
Larry Deatherage, Anthony Franchimone,Darrell Alford, Lisa Jungers, Sean Ciemiewicz, David Utter, Gary Josephs, Michael Castner, Tom Alford, Fred Amberg, Darren Burke, Salvatore Danna, Dan Dubois, Lloyd Engleman, George Fraser, Bill George, Troy Haugen, Saleah Hewitt, David Morehead, Ketih Robertson, Joel Shomaker, Ernie Tolentino, Darin Wassmann
Irvine, CA
SageView Advisory Group
Irvine, CA
Teams with $1B and More in AUA
>$3B to $5B
Cammack LaRhette Consulting – Wellesley Office
Rob Corlito, Jennifer Stevens
Wellesley, MA
Capital Strategies Investment Group LLC
Oakbrook Terrace, IL
Francis Investment Counsel LLC
Michael Francis, Kelli Send, Joseph Topp, Cliff Dunteman, Ed McIlveen, Kevin Roloff, Patty Dirksmeyer, Meredith Ehn, Tim Shirk, Art Harris, Matthew Vandre
Pewaukee, WI
The Gsell Group
Bruce Gsell, Goran Bojovski
Edison, NJ
Lockton Dallas Retirement Practice
Lucas M. Barton,David W. Altimont, Glenn Able, Jon Banister, Scott Andricks, Erika Chavez, Kim Pacheco
Dallas, TX
Wile Consulting Group
Edward Wile, Harris Gignilliat, Laura Wellon
Atlanta, GA
Teams with $1B and More in AUA
>$2B to $3B
Associated Trust Company
Laura Grass, Beth Kohlman, Ray Gardner, Denis Burgess, Jeff Marwitz, Nick Megurdichian, Jan Sharp
Manitowoc, WI
The Brice Group
Bloomfield Hills, MI
Cornerstone Advisors Asset Management, Inc.
Thomas J. Scalici, Malcolm L. Cowen, II, Kevin Karpuk, Sean Lyons, Chris Lakatosh, Tiffany Gilbert
Bethlehem, PA
The FDG Group
Phil Fiore, Stephen DesRochers, Jeff Farrar, Dean Gaugler, Lou Gloria, Thomas Gahan, Mayanne Moxie
Stamford, CT
Graystone Consulting – Danvers
Danvers, MA
Precept Advisory Group
Linda Bright, Doug Igel
Irvine, CA
Ward Financial Advisory Group of Wells Fargo Advisors
Brian Ward, Jim Aid, Will Konves, Brandon Sullivan, Jerry Castle, Roger Sheaves, Kimberly Kump, Kasey Prince, Chad Copland, Dianne Elder
Brentwood, TN
Teams with $1B and More in AUA
>$1.5B to $2B
Cammack LaRhette Consulting
Farhad Mirzada, Jeffrey Levy, Paula Kennedy
New York, NY
Graystone Consulting Cincinnati/Kenwood
Bill Talmage, Joel Handorf, Chris Vordemesche, Todd Washburn, Kelly Kelp, Mike Kleinfelder
Cincinnati, OH
Graystone Consulting, Potomac Maryland
Potomac, MD
Moreton Retirement Partners
Chad J. Larsen, Kirk Welch, Corey Whitehead, Paul Lamb, Kimber DeLoia
Denver, CO
PearlStreet Investment Management of Oppenheimer & Co. Inc.
Grand Rapids, MI
White Oak Advisors
James Robison, John Masterson
Indianapolis, IN
Teams with $1B and More in AUA
$1B to $1.5B
Barney and Barney Retirement Services
William Peartree, Ryan Stover, Gary Gunning
San Diego, CA
Bukaty Companies Retirement Plan Services
Leawood, KS
The Catanella Institutional Consulting Group
Philadelphia, PA
The Kelliher Corbett Group at MSSB
Stephen P. Kelliher, Jack Corbett, Joseph McLaughlin, Bennett White, William Slimbaugh, Bruce Henderson, Robet Leibowitz
Norwell, MA
Kass / Freeman Group
New York, NY
The Mahoney Group
Chris Mahoney, Mark Marotta, Kristen Koluch, Phil Murphy, Kevin Mahoney, Chris Jakovcic
West Nyack, NY
The Myers Wolfe Myers Group
Marshall Myers, Noel J. Wolfe, Scott Myers
Jenkintown, PA
The Prince Group of Stifel Nicolaus & Company Incorporated
Douglas Prince, Brea Dantin, Deana Harmon, Jillian Grimm, Ben Donathen, Jeff Prince & Joe Copeland
Indianapolis, IN
Retirement & Benefit Partners – National Retirement Partners Member Firm
Mark Temple,Alana Jennings, Mark Noble, Brian McGuiness, Tom Curtin, Matt Monroe, Chris Moak, Matt Smith
Slingerlands, NY
Sheridan Road Financial
Jim O’Shaughnessy, Daniel Bryant, Chris Karam, Chuck Williams, Lory Merritt, Jay Warren, Pete Hass, Steve Kellar, Alona Anspach
Northbrook, IL
Individuals with $150M or more in AUA
>$2B
Domenic DiPiero, III
Newport Capital Group
Red Bank, NJ
Mike Falcone
401(k) Advisors
West Chester, PA
Glenn Phillips
Prudential Retirement
Yonkers, NY
John A. Pickett
CAPTRUST Financial Advisors
Dallas, TX
Attila Toth
Portfolio Evaluations
Warren, NJ
Individuals with $150M or more in AUA
>$1BM to $2B
Sandra Cunningham
UBS Financial Services Inc.
Washington, DC
James E. (Jeb) Graham
CapTrust Advisors, LLC
Tampa, FL
Gary Handler
UBS Financial Services
Encino, CA
Individuals with $150M or more in AUA
>$450M to $1B
Steven Glasgow
Avondale Partners, LLC
Nashville, TN
Stace Hilbrant
401k Advisors Chicago
Wilmette, IL
Ellen Lander
Renaissance Benefit Advisors
Jamison, PA
Philip Steele
Pension Architects
Malibu, CA
Individuals with $150M or more in AUA
>$250M to $450M
Joseph F. DeNoyior
Washington Financial Group
McLean, VA
Emmett Dupas
Northwestern Mutual Investment Services
Metairie, LA
Tony Madera
Gallagher Retirement Services
Clarks Summit, PA
Angela Marsengill
Mercer
Atlanta, GA
Mark Ray
Praxis Consulting
Sacramento, CA
Randall E. Riggins
First Financial Resources
Charlotte, NC
Brian K. Speers
Merrill Lynch Wealth Management
Oak Brook, IL
Individuals with $150M or more in AUA
$150M to $250M
Anthony Cristiano
Morgan Stanley Smith Barney
New York, NY
Howard H. Daher
Daher Capital Group, LLC
Wellington, FL
Charles Drew
Merrill Lynch
Washington, DC
Robert C. Lawton
Graystone Consulting
Madison, WI
Ian McDade
Merrill Lynch
Roanoke, VA
Kenneth J. Nersesian
Merrill Lynch
New York, NY
Thom Shumosic
Retirement Planning Specialists
Wilmington, DE
Erik K. Tappin
Morgan Stanley Smith Barney
Carlsbad, CA
Andrew R. Wilshinsky
Morgan Stanley Smith Barney
New York, NY
Edward “Ken” Winslow
Morgan Stanley Smith Barney
Silverdale, WA
Teams with 150 or more plans
More than 250
Associated Trust Company
Laura Grass, Beth Kohlman, Ray Gardner, Denis Burgess, Jeff Marwitz, Nick Megurdichian, Jan Sharp
Manitowoc, WI
Pensionmark Retirement Group
Troy Hammond, Mike Woods, Devyn Duex, Krista Hauser, Laura Battle, Deanna Bamford, Tony Winkeljohn, Michele Lantz, Jeffrey Seymour, Ted Steinkamp, Janice Brewer, Bryant Strickland, Ed Jaeger, Michael Devlin, Craig Christo, Christine Powell, Blanton Garnett, Sean O’Flaherty, Daniel Shapiro, Andre Kaluna
Santa Barbara, CA
SageView Advisory Group
Irvine, CA
Teams with 150 or more plans
201 to 250
Baystate Financial Services
Wakefield, MA
J&R Group
James Radler, Timothy Jenkins, Joel Gershon, Mike Ribich
Chicago, IL
Retirement Benefits Group
Larry Deatherage, Anthony Franchimone,Darrell Alford, Lisa Jungers, Sean Ciemiewicz, David Utter, Gary Josephs, Michael Castner, Tom Alford, Fred Amberg, Darren Burke, Salvatore Danna, Dan Dubois, Lloyd Engleman, George Fraser, Bill George, Troy Haugen, Saleah Hewitt, David Morehead, Ketih Robertson, Joel Shomaker, Ernie Tolentino, Darin Wassmann
Irvine, CA
The Schwamb O’Day Group
Richard Schwamb, John O’Day, Phil Jacobson
Garden City, NY
Siegel, Martin & Associates
Mark Siegel and Patrick Martin
Washington, DC
Teams with 150 or more plans
150 to 200
Barney and Barney Retirement Services
William Peartree, Ryan Stover, Gary Gunning
San Diego, CA
Bukaty Companies Retirement Plan Services
Leawood, KS
Henderson Brothers Retirement Plan Services
Pittsburgh, PA
Individuals with 50 or more plans
More than 100
Joseph F. DeNoyior
Washington Financial Group
McLean, VA
Emmett Dupas
Northwestern Mutual Investment Services
Metairie, LA
Randall E. Riggins, CEP, CSA, RFC, AIF, PRP
First Financial Resources
Charlotte, NC
Individuals with 50 or more plans
71 to 100
Ryan Bryte
American Trust & Savings Bank
Dubuque, IA
Domenic DiPiero, III
Newport Capital Group
Red Bank, NJ
Benedict A. Mitchell Jr.
Florida Benefit Specialists
Ft. Lauderdale, FL
Thom Shumosic
Retirement Planning Specialists
Wilmington, DE
Philip Steele
Pension Architects
Malibu, CA
Andrew R. Wilshinsky
Morgan Stanley Smith Barney
New York, NY
Individuals with 50 or more plans
50 to 70
Tom Anthony
McKinley Carter Wealth Services, Inc.
Wheeling, WV
Steven Hocking
UBS
Irvine, CA
Gary Handler
UBS Financial Services
Encino, CA
Tuyen Pham
Tutton Financial
Santa Ana, CA
Jim Sampson
Cornerstone Retirement Advisors
Warwick, RI
Teams and Individuals with:
15% or more in 403(b) plans
Baystate Financial Services
Wakefield, MA
Cammack LaRhette Consulting
Farhad Mirzada, Jeffrey Levy, Paula Kennedy
New York, NY
Cammack LaRhette Consulting – Wellesley Office
Rob Corlito, Jennifer Stevens
Wellesley, MA
Joseph Derickson
Retirement Wealth Management, LLC
Dunwoody, GA
Domenic DiPiero, III
Newport Capital Group
Red Bank, NJ
The Dubie Group
Christopher Dubie, Julie Braun
South Burlington, VT
Eric Dyson
Gallagher Retirement Services
Dallas, TX
The FDG Group
Phil Fiore, Stephen DesRochers, Jeff Farrar, Dean Gaugler, Lou Gloria, Thomas Gahan, Mayanne Moxie
Stamford, CT
James E. (Jeb) Graham
CapTrust Advisors, LLC
Tampa, FL
Graystone Consulting – Danvers
Danvers, MA
Graystone Consulting – Parks Consulting Group
Thomas Parks, David Lownik, Bruce Lanser, Bernadette Lanser
Milwaukee, WI
Henderson Brothers Retirement Plan Services
Pittsburgh, PA
The Liedman Group at Gallagher Retirement Services
Steve Liedman, Gregg Fine, Mark Levitats, and Darin Schatzman
Miami, FL
Tony Madera
Gallagher Retirement Services
Clarks Summit, PA
Plan Sponsor Advisors, LLC
Donald Stone, Jennifer Flodin, Angelo Auriemma, Preet Prashar, Kevin Donahue, Rhonda Berg, Chris Murphy, Kathryn Jandeska
Chicago, IL
Retirement Resources
Jim Phillips, Patrick McGinn
Peabody, MA
SageView Advisory Group
Irvine, CA
Jonathon Schultheiss
Oak Ridge Wealth Management
Greensboro, NC
White Oak Advisors
James Robison, John Masterson
Indianapolis, IN
Teams and Individuals with:
15% or more in 457 plans
Barney and Barney Retirement Services
William Peartree, Ryan Stover, Gary Gunning
San Diego, CA
Cammack LaRhette Consulting – Wellesley Office
Rob Corlito, Jennifer Stevens
Wellesley, MA
Glenn Phillips
Prudential Retirement
Yonkers, NY
Teams and Individuals with:
15% or more in nonqualified plans
The Catanella Institutional Consulting Group
Philadelphia, PA
Cate Burton Group
Matt Burton, Eric Brunton, Daniel Houchens
Indianapolis, IN
Devenir Corporate Services
Eric Remjeske, Lori Hansen, Jon Robb
Minneapolis, MN
Kass / Freeman Group
New York, NY
The Kieckhefer Group
Rob Kieckhefer, Janet Ganong
Milwaukee, WI
The Liedman Group at Gallagher Retirement Services
Steve Liedman, Gregg Fine, Mark Levitats, and Darin Schatzman
Miami, FL
Teams and Individuals with:
15% or more in defined benefit plans
The Brice Group
Bloomfield Hills, MI
Capital Strategies Investment Group LLC
Oakbrook Terrace, IL
Cornerstone Advisors Asset Management, Inc.
Thomas J. Scalici, Malcolm L. Cowen, II, Kevin Karpuk, Sean Lyons, Chris Lakatosh, Tiffany Gilbert
Bethlehem, PA
The Corpening Group
Charles Corpening, Rick Simpson
Winston-Salem, NC
Curtis Group
Mark Curtis
Palo Alto, CA
Francis Investment Counsel LLC
Michael Francis, Kelli Send, Joseph Topp, Cliff Dunteman, Ed McIlveen, Kevin Roloff, Patty Dirksmeyer, Meredith Ehn, Tim Shirk, Art Harris, Matthew Vandre
Pewaukee, WI
Granite Group Advisors
Wilton, CT
Steven Glasgow
Avondale Partners, LLC
Nashville, TN
Graystone Consulting – Parks Consulting Group
Thomas Parks, David Lownik, Bruce Lanser, Bernadette Lanser
Milwaukee, WI
Graystone Consulting, Potomac Maryland
Potomac, MD
The Howell & Sharp Group at Merrill Lynch
Brett Howell, Craig Sharp, Joel Barrett, Steve Jones, Jim Harding
Grand Rapids, MI
Institutional Investment Consulting
Michael Kozemchak, Tony Ciocca, Greg Cimmino, Barry Stoey, Paul Stephens
Bloomfield Hills, MI
Luppino / Eschenauer Group
Anthony W. Luppino, Eric G. Eschenauer
New York, NY
The Napolitano Group
David Napolitano, Keith Dressel, Ralph Pagan
Paramus, NJ
The OAC Group
Robert O’Brien, Mikael Anderson, Seamus Carney, Rondell Richardson
Chicago, IL
Michael C. Perry
Retirement Advisors, LLC
Dallas, TX
John A. Pickett
CAPTRUST Financial Advisors
Dallas, TX
The Mahoney Group
Chris Mahoney, Mark Marotta, Kristen Koluch, Phil Murphy, Kevin Mahoney, Chris Jakovcic
West Nyack, NY
Retirement & Benefit Partners – National Retirement Partners Member Firm
Mark Temple,Alana Jennings, Mark Noble, Brian McGuiness, Tom Curtin, Matt Monroe, Chris Moak, Matt Smith
Slingerlands, NY
Randall E. Riggins
First Financial Resources
Charlotte, NC
The Ratay Group
Mark Ratay, Dan Peluse
Lisle, IL
The Robertson Group
Tom Robertson, Ann Messana, Luke Costello, Jeremy Ohlinger, Angie Wright, Tom Robertson Sr
Columbus, OH
Sheridan Road Financial
Jim O’Shaughnessy, Daniel Bryant, Chris Karam, Chuck Williams, Lory Merritt, Jay Warren, Pete Hass, Steve Kellar, Alona Anspach
Northbrook, IL
Brian K. Speers
Merrill Lynch Wealth Management
Oak Brook, IL
Tsukazaki & Associates, LLC
Peter Tsukazaki, Roy Murai
Honolulu, HI
Vanerian Group
Marie Vanerian and Michael Muirhead
Troy, MI
White Oak Advisors
James Robison, John Masterson
Indianapolis, IN
Wile Consulting Group
Edward Wile, Harris Gignilliat, Laura Wellon
Atlanta, GA
The Willhite Institutional Consulting Group
Jon Willhite, Robert Vaughan, Armando Wood
The Woodlands, TX