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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

NameCompanyCityMegaplans ($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.CAPTRUSTBirminghamXXXX
Williams, RennJSL Retirement Services GroupBirmingham XXX
ARIZONA
Batt, Paul K.Phocus Retirement ServicesMesa XX
DiGrazia, MichaelUBS Financial Services Inc.Phoenix XX
Hacker, ChristopherThe Hacker Group, LLCScottsdale XX
ARKANSAS
McDonald, Don R.Merrill Lynch Wealth ManagementFort SmithXXXX
Thorpe, James R.Qualified Plan AdvisorsLittle Rock XXX
CALIFORNIA
Bonvechio, BrianMerrill Lynch Wealth ManagementLos Angeles XXX
Bryson, TrentBryson Wealth Management/LPL FinancialLong Beach XX
Casillas, KarenCAPTRUSTWestlake VillageXXXX
Chambers, Jon C.SageView Advisory GroupOrindaXXXX
Chang, Kevin A.Genovese Burford & BrothersSacramento XX
Clark, John M.Heffernan Retirement Services/LPL FinancialWalnut CreekXXXX
Delp, MarkYour Wealth EffectIrvine XX
Farrell, Curtis S.Financial Management NetworkMission Viejo XX
Freismuth, ThomHUB InternationalSan Diego XXX
Garcia, Rob A.Garcia Wealth Management GroupTempleton XX
Gregory III, Paul N.Merrill Lynch Wealth ManagementCarmel XX
Gunn, James D.Morgan Stanley Wealth ManagementSan Jose XXX
Gwilliam, Austin D.GRP FinancialSan Juan Capistrano XXX
Hall, Erin M.Strategic Retirement PartnersPalos Verdes XX
Handler, GaryRaymond James & AssociatesBeverly HillsXXXX
Hocking, Steven J.UBS Financial Services Inc.Irvine XX
Igel, DouglasBeacon Pointe AdvisorsNewport Beach XXX
Ketchum, DanielRaymond James Financial ServicesSanta Ana XXX
Laughton, MarkQuintesSalinas XX
Ma, Marlynn (Yuxia)Merrill Lynch Wealth ManagementPasadena XXX
Mammini, MikeMammini CompanySan DiegoXXXX
McCrary, JamieSageView Advisory GroupIrvineXXXX
Palladino, John K.401(k) & 403(b) Fiduciary Advisors, Inc.San Mateo XXX
Patrick, Jason ColinFiduciary Advisors, LLCNewport Beach XXX
Patton, RobertSageView Advisory GroupWoodsideXXXX
Raney, KrisWells Fargo AdvisorsEl Segundo XX
Roggenkamp, MarcGraystone ConsultingBeverly HillsXXX
Soto, ChristopherWells Fargo AdvisorsIrvine XX
Spinner, Harlan B.UBS Private Wealth ManagementLos AngelesXX
Stover, RyanMarsh & McLennan AgencySan Diego XXX
Stowell, Race K.Merrill Lynch Wealth ManagementMill Valley XXX
Tappin, Erik K.Morgan Stanley Wealth ManagementCarlsbadXXXX
Thibault, BlakeHeffernan Financial Services/LPL FinancialWalnut CreekXXXX
Wagner, Edward A.SageView Advisory GroupIrvineXXXX
Werner, Marte R.NWK Group, Inc.San FranciscoXXXX
White, NateTeros AdvisorsLafayette XXX
Wiese, BrianMorgan Stanley Wealth ManagementLos Angeles XX
Wilkinson, StevenMonarch Plan AdvisorsSimi Valley XX
COLORADO
Andrew, RobLockton Retirement ServicesDenverXXXX
Gutrich, Mark M.Fi401k Advisors, LLCGreenwood Village XX
Larsen, Chad J.MRPDenverXXXX
McKinlay, Patterson J.Achieve Retirement/LPL FinancialDenver XX
Nemmers, Daniel J.Lockton Retirement ServicesDenverXXXX
Price, Kevin L.Insight Financial Solutions/LPL FinancialGrand Junction XX
Roth, Wayne H.SageView Advisory GroupLouisville XXX
CONNECTICUT
Angelone, ElizabethMerrill Lynch Wealth ManagementGreenwich XX
Baroncini, Jr., EdwardExcel Wealth Management/LPL FinancialRocky Hill XX
Berkman, Brett S.Merrill Lynch Wealth ManagementGreenwich XX
Brown, Dennis M.Merrill Lynch Wealth ManagementFairfield XXX
Burns, Timothy C.SageView Advisory GroupWest HartfordXXXX
Fitzsimmons, PaulMorgan Stanley Wealth ManagementStamford XXX
Guth, Kevin W.Snowden Lane PartnersNew HavenX XX
Jermine, RobertUBS Financial Services Inc.HartfordXXXX
Kral, Christopher J.Merrill Lynch Wealth ManagementFairfield XXX
Lasko, MatthewUBS Private Wealth ManagementStamfordXXXX
Leone, Gregory J.Georgetown Financial Group, Inc./Cetera Advisor NetworksGeorgetown XXX
Mendoza, Greg F.UBS Financial Services Inc.HartfordXXXX
DELAWARE
Pressler, Eric C.Newton One AdvisorsNewark XXX
Shumosic, ThomMidAtlantic Retirement Planning SpecialistsWilmington XX
DISTRICT OF COLUMBIA
Clark, Jr., TomLockton Retirement ServicesWashingtonXXXX
Drew, CharlesMerrill Lynch Wealth ManagementWashington XX
Forrester, Mary AnneJanney Montgomery ScottWashington XXX
FLORIDA
Bailey, Eric W.CAPTRUSTTampaXXX
Bastin, Thomas B.NFPWeston XXX
Brandwein, SamuelGraystone ConsultingBoca Raton XXX
Cammarata, RossUBS Financial Services Inc.Fort Lauderdale XX
Casanueva, Dominic J.Merrill Lynch Wealth ManagementLakewood RanchXXXX
DiGiacomo, DanCAPTRUSTLake MaryXXX
Elobt, Keola J.West Point Business GroupJacksonville XXX
Garnett, BlantonGarnett Retirement Group/LPL FinancialSt. Petersburg XX
Larsen, Bradley L.NFPStuart XXX
Letaw, Ronald A.MRPATampa XXX
Machlin, Roger S.Northwestern MutualTampa XX
Mitsis, John K.Merrill Lynch Wealth ManagementPonte Vedra Beach XX
Montgomery, David M.Fidelis Fiduciary ManagementTampa XXX
Montgomery, W. MichaelMontgomery Retirement Plan AdvisorsTampa XXX
Oser, Kevin M.Merrill Lynch Wealth ManagementWinter Park XXX
Parker Hopkins, Samantha A.UBS Financial Services Inc.Tampa XXX
Perry, C. ClaytonWest Point Business GroupJacksonville XXX
Petrone, JeffreySageView Advisory GroupWest Palm BeachXXXX
Senderowitz, Phillip N.Strategic Retirement PartnersMaitland XXX
Thagard, Steven M.Northwestern MutualOrlando XX
Weitz, PeterWeitz Financial GroupFort Lauderdale XX
Zimmerman, MarcMarsh & McLennan Agency – CenturionFort Lauderdale XXXX
Zito, Andrew S.LAMCO Advisory Services, Inc.Lake MaryXXXX
GEORGIA
Brinson, ClayNorthwestern MutualAtlantaXXXX
Gignilliat, Harris M.UBS Financial Services Inc.Atlanta XXX
Griffin, DavidAtlanta Retirement Partners/LPL FinancialAtlanta XXX
Hansen, Eric H.Hartmann Astor Investment Consulting/LPL FinancialSuwanee XXX
Harbour, AndrewGraystone ConsultingAtlantaXXXX
Howard, Deborah A.Merrill Lynch Wealth ManagementAtlantaXXX
Kane, Michael M.Plan Sponsor Consultants/LPL FinancialAlpharettaXXXX
Laschinger, JayAlliant Retirement Services/Cetera Advisor NetworksAlpharettaXXXX
Lusink, Brian M.Morgan Stanley Wealth ManagementAtlanta XXX
Melcher, EvanCAPTRUSTAtlantaXXX
Price, Vandyke G.UBS Private Wealth ManagementAtlantaXXX
St. Clair, JonathanSageView Advisory GroupAtlantaXXXX
Wallace, James E.Merrill Lynch Wealth ManagementAtlantaXXX
HAWAII
Lum, David W.SageView Advisory GroupHonolulu XXX
Tsukazaki, Peter M.Tsukazaki & Associates, LLCHonolulu XX
ILLINOIS
Babb, Kevin L.CIBC Corporate Retirement ServicesChicagoXXXX
Backe, NickBacke Page GroupCrystal Lake XX
Beer, MollyGallagherRolling Meadows XX
Coyner, Paul R.UBS Financial Services Inc.Naperville XXX
Embree, PaulEMBREE FINANCIAL GroupChicago XX
Fiumara, L. RitaUBS Financial Services Inc.Chicago XX
Gelb, Jordan M.Merrill Lynch Wealth ManagementNorthbrook XXX
Gershon, Joel A.Merrill Lynch Wealth ManagementChicago XXX
Heine, ClintonSageView Advisory GroupChicago XXX
Jenkins, TimothyMerrill Lynch Wealth ManagementChicago XXX
Jurik, John S.GallagherRolling MeadowsXXXX
Kopec, JoshConnor & Gallagher OneSource/LPL FinancialLisle XX
Kret, TomUBS Financial Services Inc.Barrington XXX
Mattia, Joseph M.RSM US Wealth Management LLCSchaumburg XX
McClain, Jonathan W.PNC Institutional Asset ManagementChicago XXX
Morris, DougLockton Retirement ServicesChicagoXXX
O'Brien, Robert D.Merrill Lynch Wealth ManagementChicago XXX
O'Shaughnessy, JimSheridan Road Financial, a division of HUB InternationalNorthbrookXXXX
Peluse, DanielWintrust Retirement Benefits AdvisorsChicagoXXXX
Radler, James R.Merrill Lynch Wealth ManagementChicago XXX
Ratay, MarkMorgan Stanley Wealth ManagementLisleX XX
Reagan, ChrisSageView Advisory GroupChicagoXXX
Ribich, Michael C.Merrill Lynch Wealth ManagementChicago XXX
Rist, BradleyCIBC Corporate Retirement ServicesChicago XX
Sherman, ScottGallagherChicagoXXXX
Smith, Michael K.Insight Financial Partners, LLC/LPL FinancialCrystal Lake XXX
Valeo, SamMorgan Stanley Wealth ManagementOak Brook XXX
Williams, CharlesFinspire LLCSchaumburg XXX
INDIANA
Baker, Kristi K.CSi Advisory Services, LLCIndianapolis XX
Brunton, Eric M.Merrill Lynch Wealth ManagementIndianapolisXXXX
Chillemi, DanielUBS Financial Services Inc.Indianapolis XX
Davis, KelliCSi Advisory Services, LLCIndianapolis XX
Denny, Andrew C.Shepherd FinancialCarmel XX
Drake, William BrianNorthwestern MutualGreenwood XX
Harbron, Brendon C.UBS Financial Services Inc.Indianapolis XX
Lauck, GeorgeLPL FinancialIndianapolis XXX
Ludwig, John M.LHD Retirement/LPL FinancialIndianapolis XX
Masterson, JohnLakeside Wealth Management/First Allied SecuritiesChesterton XX
Matis, Joseph M.Morgan Stanley Wealth ManagementIndianapolis XXX
Mayer, Thomas L.Shepherd FinancialCarmel XX
Moerchen, GregQBOX Fiduciary Solutions, LLCFort Wayne XX
Rice, TimothyLakeside Wealth Management/First Allied SecuritiesChesterton XXX
Robison, James D.Strategic Retirement PartnersIndianapolisXXXX
Stolle, MattMerrill Lynch Wealth ManagementIndianapolis XX
VerSchure, TimothyLakeside Wealth Management/First Allied SecuritiesChesterton XXX
Wylam, Steven M.Shepherd FinancialCarmel XX
IOWA
Duffy, JeanCAPTRUSTWest Des MoinesXXXX
Witzel, LarryStrategic Financial SolutionsCedar Rapids XXX
KANSAS
DiSette, Tim B.InfinitasOverland Park XXX
Morris, VinceBukaty Companies Financial ServicesOverland ParkXXXX
Pascuzzi, RobertCreative Planning Inc.Overland Park XX
Phillips, Darrell L.DPI BenefitsManhattan XX
Rink, RyanTwo West AdvisorsOverland Park XXX
Ungashick, MarkoTwo West AdvisorsOverland Park XXX
KENTUCKY
Backert, TonyHilliard Lyons, a Baird CompanyLouisville XXX
Mercer, Jr., Charles T.Merrill Lynch Wealth ManagementLouisville XXX
LOUISIANA
Bush, AndyHorizon Financial Group/Cetera AdvisorsBaton Rouge XX
MAINE
Breton, Jennifer L.Lebel & Harriman, LLPFalmouthXXXX
Carew, Stephen J.BGA Retirement AdvisorsLewiston XX
Pratico, Michael S.CAPTRUSTFalmouthXXX
Walker, A.J.Guidance Point Retirement ServicesPortland XXX
MARYLAND
Anderson, Therese H.Plan Sponsor Consultants/LPL FinancialOlney XX
Assaley III, Alexander G.AFS 401(k) Retirement Services, LLCBethesda XXX
Charkatz, Ross P.Graystone ConsultingPotomacXXX
Espinoza, JessicaNFPBethesdaXXXX
Gimenez, EduardoRaffa Retirement Services/LPL FinancialRockville XX
Halleron, J. ThomasHarbor Investment Advisory, LLCLutherville XX
Hoffman, Brett J.The Insurance Exchange, a division of HUB InternationalRockville XXX
Kotler, RobertRCM&DTowson XXX
Lizzi, Brian G.TriBridge Partners, LLCBethesda XXX
Lowy, JasonUBS Financial Services Inc.Hunt Valley XXX
O'Rear, DougOnTrack 401(k)Frederick XX
Prevost, Andrew H.NFPBethesdaXXXX
Soltoff, Howard M.TriBridge Partners, LLCBethesda XX
Stout, JaniaFiduciary Plan Advisors at HighTowerOwings MillsXXXX
Wilson, Chad J.Fiduciary Plan Advisors at HighTowerOwings Mills XX
MASSACHUSETTS
Bayliss, AndrewMarsh & McLennan AgencyBoston XXX
Bogosian, Wayne G.PFE Advisors, Inc., a Goldman Sachs CompanySouthboroughXXXX
Bonheur, Gregg E.Morgan Stanley Wealth ManagementMiddleton XXX
Butler, Kevin A.Morgan Stanley Wealth ManagementNorwell XXX
Campagna, RyanSentinel Pension AdvisorsWakefield XX
Ciovacco, PeterMorgan Stanley Wealth ManagementMiddletonXXX
Clayman, David M.Twelve Points Wealth ManagementConcord XXX
Cleary, Andrew C.SFP Wealth, LLCWellesley XX
Cunha, StephenBaystate FinancialWakefield XX
Devlin, MichaelBCG/LPL FinancialBraintree XXX
Dimitriou, StevenMayflower Advisors, LLCBostonXXXX
Entwistle, BertWebster Investments/LPL FinancialBoston XX
Federico, FrancescaTwelve Points Retirement AdvisorsConcord XXX
Foster, Mark M.SageView Advisory GroupBoston XXX
Gutner, Chad W.Samuel Financial LLCDedham XX
Hammond, AlfredGraystone ConsultingMiddletonXXX
Hoffman, Thomas E.KAF Financial Advisors, LLCBraintree XXX
Karelitz, Jonathan B.Morgan Stanley Wealth ManagementWellesley XX
Lopez, BrianBoston Private Wealth LLCBoston XX
McGarry, Sean C.Rockland TrustHanover XXX
McLaughlin, MatthewGraystone ConsultingMiddletonXXX
Moore, Jr., Richard T.CCR Wealth Management, LLC/Cetera AdvisorsWestborough XX
Navarro, JasonNew England Wealth Management, LLCDanvers XXX
Popper, Stephen R.SageView Advisory GroupBostonXXXX
Scott, Michael G.Morgan Stanley Wealth ManagementMiddleton XXX
Traino, Jason M.Morgan Stanley Wealth ManagementMiddleton XXX
Tremblay, NeilCoastal Capital Group, Inc./EBS Financial AdvisorsDanvers XXX
Tuxbury, ScottSapers & WallackNewton XXX
Vacheron, Peter D.IBG Financial Partners, LLCFoxboro XXX
Vierra, Jr., Roger F.UBS Financial Services Inc.RocklandXXXX
MICHIGAN
Agbay, Anthony D.The Agbay GroupTroy XXX
Burke, ChrisLoVasco Consulting GroupDetroit XX
Fitzgerald, JessicaMorgan Stanley Wealth ManagementRochester XXX
Hammond, Kimberly LynnMerrill Lynch Wealth ManagementMuskegon XXX
Hau, Errol A.CAPTRUSTClarkstonXXXX
Howell, BrettMerrill Lynch Wealth ManagementGrand Rapids XXX
Pinter, BradStonebridge Financial GroupGrand Rapids XXX
Shearon, Michael F.Flynn Benefits GroupTroy XXX
MINNESOTA
Adams, James K.Voya Financial AdvisorsBloomington XX
Ballin, Jessica401k Plan ProfessionalsEdina XXX
Connell, JoeSikich Retirement Plan ServicesMaple Grove XXX
Erpelding, Michael M.Northwestern MutualEdina XX
Jacobs, DavidJacobs FinancialSt. Cloud XX
McQuillan, JamesMarsh & McLennan AgencyMinneapolis XXX
Miley, JamesHays Financial Group/LPL FinancialMinneapolisXXXX
Mulheran, Jr., Daniel P.Abbey StreetEden Prairie XXX
Sturgis, Samuel L.Associated Financial GroupMinnetonka XXX
Thill, RickAssociated Financial GroupMinnetonka XX
NEBRASKA
Behlen, WadeWealthPLAN Partners - Feltz WealthPLANOmaha XX
NEVADA
Sarno, FreddieMorgan Stanley Wealth ManagementLas VegasXXXX
Segarra, David J.Latus Group, Ltd.Las Vegas XXX
NEW HAMPSHIRE
Pimental, DanAlignment Financial GroupPortsmouth XX
NEW JERSEY
Ablahani, Joseph C.Capital Benefits, LLCFairfield XX
Belluardo, CharlesMerrill Lynch Wealth ManagementRed Bank XX
Bojovski, GoranMerrill Lynch Wealth ManagementIselinXXXX
DiPiero III, Domenic M.Newport Capital GroupRed BankXXX
Goerner, Chad W.UBS Financial Services Inc.PrincetonXXXX
Greenleaf, Jamie D.Cafaro GreenleafRed BankXXXX
Gsell, BruceMerrill Lynch Wealth ManagementIselinXXXX
Gumina, RickMorgan Stanley Wealth ManagementShrewsbury XXX
Lembeck, John R.Merrill Lynch Wealth ManagementRed Bank XX
Marsh, Gregory J.Bridgehaven Fiduciary PartnersWarren XXX
Oliver, Stephen A.Manhattan Ridge Advisors/First Allied SecuritiesBedminster XX
Puckett, StevenGateway Retirement ConsultingWestfield XXX
Saxton, BrianWells Fargo AdvisorsMorristown XX
Scorzafava, ToddEagle Rock Wealth ManagementEast Hanover XXX
Shegoski, MarcUBS Financial Services Inc.PrincetonXXXX
Simchowitz, Stuart M.RMR Wealth Builders, Inc.Teaneck XX
Toth, Attila T.Portfolio Evaluations, Inc.WarrenXXX
NEW MEXICO
Famiglietta, KellyCharles Stephen and Company, Inc.Albuquerque XX
NEW YORK
Candella, Ted M.Merrill Lynch Wealth ManagementNew York XXX
Chasin, Gerald L.UBS Financial Services Inc.JerichoXXXX
Costello, Brian P.The Waterford Group, LLCRochester XX
D'Aiutolo, PaulUBS Financial Services Inc.Rochester XXX
Davenport, John R.CAPTRUSTNew York XXX
Delaney, BarbaraSS/RBAPearl RiverXXXX
Detterick, JimGraystone ConsultingNew YorkXXX
Etra, Paul H.PRB Wealth Management/LPL FinancialNew York XX
Guiffre, Frank T.Halliday FinancialClifton Park XXX
Gutkin, ToddMorgan Stanley Wealth ManagementNew York XXX
Hinderstein, David S.Strategic Retirement GroupWhite PlainsXXXX
Kalivas, EvaEPIC Retirement Services ConsultingNew YorkXXXX
Kass, Jonathan E.Merrill Lynch Wealth ManagementNew YorkXXXX
Kido, AkiraMorgan Stanley Wealth ManagementJericho XX
Lander, Ellen R.Renaissance Benefit Advisors Group, LLCNew York XXX
Mahoney, KevinThe Mahoney Group of Raymond JamesWest Nyack XXX
Merriman, Michael J.The Waterford Group, LLCRochester XX
Modico, LindaUBS Financial Services Inc.New York XXX
O'Toole III, Michael J.Merrill Lynch Wealth ManagementClifton Park XXX
Paris, MichaelParis InternationalGreat Neck XXX
Petronio, Lisa M.Strategic Retirement Partners/Walsh Duffield Retirement Plan SolutionsBuffalo XXX
Smith, Eric W.Morgan Stanley Wealth ManagementRochester XX
Tacktill, Daniel S.Oppenheimer & Co.Melville XXX
NORTH CAROLINA
Anderson, Mikael T.Merrill Lynch Wealth ManagementCharlotte XX
Eskamani, ShaunCAPTRUSTRaleighXXXX
Jones, Todd L.CAPTRUSTRaleighXXXX
Kelly, Kathleen A.Compass Financial Partners/LPL FinancialGreensboroXXXX
Keys, Walter B.CAPTRUSTRaleigh XX
Marlatt, Patrick K.CAPTRUSTRaleighXXXX
Rauwald, Timothy L.UBS Financial Services Inc.Chapel Hill XX
Schultheiss, JonathonGate City AdvisorsGreensboro XXX
Simonson, TomLockton Retirement ServicesCharlotteXXXX
Strodel, JamesCAPTRUSTCharlotteXXX
Timmerman, Todd E.Retirement Plan AnalyticsCharlotteXXXX
Wilson, Tim B.Merrill Lynch Wealth ManagementCary XXX
OHIO
Duggan, TonyMerrill Lynch Wealth ManagementCincinnatiXXXX
Edwards, BrianMorgan Stanley Wealth ManagementColumbus XX
Everhart, ScottEverhart AdvisorsDublin XX
Gaertner, DanielUBS Financial Services Inc.Westlake XX
Gheen, Michael J.Oswald Financial, Inc.Cleveland XX
Handorf, JoelGraystone ConsultingCincinnati XXX
Kreinest, Christa J.HAUSER Retirement SolutionsCincinnati XX
Kulchar, David M.Oswald Financial, Inc.Cleveland XXX
Morris, Michael E.Pensionmark Financial Group, LLCCincinnati XXX
Rinehart, Ken J.UBS Financial Services Inc.Cincinnati XXX
Robertson, Thomas G.Graystone ConsultingColumbusXXXX
Ryan, James S.First Ohio Planning, LLCColumbus XX
Stibich, Jr., Paul R.CAPTRUSTAkronXXXX
Vordemesche, ChrisMorgan Stanley Wealth ManagementCincinnati XXX
Wilt, StephenCAPTRUSTAkronXXXX
Wyatt, ThomasRetirement and Wealth PlanningColumbus XXX
OKLAHOMA
Forbes, Mark R.Strategic Retirement PartnersTulsa XX
OREGON
Buxton, DanBairdPortland XXX
Daley, ErikMultnomah Group, Inc.PortlandXXXX
Montanez, BrianMultnomah Group, Inc.PortlandXXXX
Ulmer, JoshuaGraystone ConsultingPortland XXX
Welle, Robert B.Ameriprise Financial Services, Inc.Salem XX
PENNSYLVANIA
Beale, William B.HB Retirement/LPL FinancialPittsburgh XXX
Capo, Mero J.Pensionmark Retirement GroupWexford XX
Catanella, Brian A.UBS Financial Services Inc.PhiladelphiaXXX
Dougherty, Timothy J.Financial Guide, LLCHorsham XXX
Edwards, JimCAPTRUSTAllentownXXX
Hageney, Sr., James G.Marsh & McLennan Agency- CenturionPlymouth MeetingXXX
Kline, JeffreyStonebridge Financial GroupWormleysburg XX
Kulick, Jr., Christopher D.CAPTRUSTDoylestownXXX
Lubrano, Anthony P.A.P. Lubrano & Company, Inc.Paoli XXX
Madera, TonyArthur J. GallagherClarks Green XXX
Mashack-Behney, Tara L.Conrad SiegelHarrisburgXXXX
Myers, Scott E.Morgan Stanley Wealth ManagementBlue Bell XXX
Rasheed, OmarMerrill Lynch Wealth ManagementYardley XXX
Schaffer, Paul H.CAPTRUSTDoylestownXXX
Sheehy, MichaelWealth Advisory Services, Inc. - Raymond JamesDoylestown XX
Stulb, StephenIronview Capital Management LLCKing of Prussia XX
Wertheim, Scott A.CAPTRUSTDoylestownXXX
Wolfe, Noel J.Morgan Stanley Wealth ManagementBlue Bell XXX
RHODE ISLAND
Worrell, James L.Strategic Retirement PartnersProvidenceXXXX
TENNESSEE
Boyd, Chris R.The Fowler Group of Raymond JamesNashville XX
Colburn, Todd M.Northwestern MutualNashville XX
Dickens, Brad S.Janney Montgomery ScottFranklinXXXX
Glasgow, Steven W.Janney Montgomery ScottFranklinXXXX
Grant, WalterAegis Retirement GroupMemphis XX
Lyday, James A.Pensionmark Financial Group, LLCBrentwoodXXXX
Webster, DougSageView Advisory GroupKnoxvilleXXXX
TEXAS
Able, GlennLockton Retirement ServicesDallasXXXX
Altimont, DavidLockton Retirement ServicesDallasXXXX
Bielik, DennisTCG Advisors, LPAustin XXX
Birkofer, JosephLegacy Asset ManagementHouston XX
Byrnes, DavidLevel Four Advisory Services/LPL FinancialPlano XXX
Clift, KevinRBC Wealth ManagementDallas XXX
Coelho, Michael A.SageView Advisory GroupAustinXXXX
Coughran, Sr., Joshua J.Invest TitanFulshear XX
Jamail, Christopher J.TCG Advisors, LPAustin XXX
Jerding, MickMerrill Lynch Wealth ManagementHouston XXX
Kading, ToddLeafHouse FinancialAustinXXXX
Kaylor-Flink, AllisonNFPAustin XXX
Lambert, Lindsay S.Morgan Stanley Wealth ManagementHouston XXX
Locke, Ramona Z.Merrill Lynch Wealth ManagementDallas XX
Matustik, DebbiePensionmark AustinAustin XXX
Moore, Janine J.Peak Financial Group, a division of HUB InternationalHouston XXX
Netoskie, Neil C.Keystone Retirement & Insurance Advisors/LPL FinancialHouston XX
Nietenhoefer, ChrisMerrill Lynch Wealth ManagementFort Worth XXX
O'Connor, Teresa A.Voya Financial AdvisorsThe Woodlands XX
Peterson, PeteVisionPoint Advisory Group/LPL FinancialDallas XXX
Pickett, John A.CAPTRUSTDallasXXX
Pottichen, AaronAlliant Retirement ConsultingAustin XX
Pruitt, KimberlyNFPHasletXXXX
Salyer III, W. DeanPensionmark Financial Group, LLCGarden Ridge XXX
Smith, Megan L.UBS Private Wealth ManagementDallasXXXX
Stack, JoePensionmark Financial Group, LLCDallas XXX
Vaughan, RobertUBS Financial Services Inc.The WoodlandsXXXX
Weaver, Neal M.LeafHouse FinancialAustinXXXX
Wenzel, Patricia S.Merrill Lynch Wealth ManagementHoustonXXXX
Whitten, TravisCAPTRUSTDallasXXXX
UTAH
Anderson, Kim D.Soltis Investment Advisors, LLCSt. GeorgeXXXX
Dall, Corby401k Advisors IntermountainSandyXXXX
Jensen, WesleyAlliance Benefit Group ConsultantsSalt Lake City XX
Moyes, James D.RedStone Advisors, LLC, a Pensionmark firmLehi XXX
Solomon, LarryABG Consultants, LLCSalt Lake City XX
Welch, Kirk W.MRPSandy XXX
VERMONT
Dubie, ChristopherMorgan Stanley Wealth ManagementColchester XXX
VIRGINIA
Alcaraz, Garret A.Wells Fargo AdvisorsVirginia BeachXXXX
Andraos, Khalil S.Merrill Lynch Wealth ManagementReston XX
Aylward, MichaelRBC Wealth ManagementMcLean XXX
Broaddus, Scott S.Virginia Asset Management, LLCMidlothian XXX
Clark, Colin M.Washington Financial Group/LPL FinancialMcLean XXX
DeNoyior, Joseph F.Washington Financial Group/LPL FinancialMcLean XXX
Hoffman, Lee H.Merrill Lynch Wealth ManagementVienna XXX
Keenan, John P.Signature Estate & Investment AdvisorsTysons Corner XX
Leonard, TrippVirginia Asset Management, LLCMidlothian XX
Maulfair, JimAHT Retirement ServicesLeesburgXXXX
Schmitt, Barry V.CAPTRUSTRichmondXXX
Shipley, CourtenayRetirement Planology, Inc.Alexandria XX
Stanley, CraigSummit Group of Virginia LLPVirginia Beach XXX
Vaughn, BruceVLP Financial Advisors/Cetera Advisor NetworksVienna XX
WASHINGTON
Bosch, JerryRBC Wealth ManagementSeattleXXXX
Brown, MichaelA. J. GallagherBellevue XXX
Fisher, NathanFisher Investments 401(k) SolutionsCamas XX
Raphael, Robert B.SCS Retirement/LPL FinancialBellevue XXX
Reinhart, Edward C.Capital Advisors Wealth ManagementYakima XX
Roland, Chad A.PacNorth Retirement Group/LPL FinancialSpokane Valley XXX
WISCONSIN
Berry, Keith A.M3 FinancialWauwatosa XXX
Cronin, William J.Integrity Wealth Management, Inc.Waukesha XX
Driscoll, MichaelSheridan Road Financial, a division of HUB InternationalMilwaukeeXXXX
Kieckhefer, Robert A.The Kieckhefer Group/LPL FinancialBrookfieldXXXX
Lanser, Bruce G.UBS Financial Services Inc.Milwaukee XXX
Parks, Thomas W.Graystone ConsultingMilwaukeeXXXX
Spaeth, Jerod T.Northwestern Mutual - Spaeth Barrett GroupMilwaukee XX
Wisialowski, TinaGraystone ConsultingMilwaukeeXXXX

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About this Special Report

In this report, we have the full listing of this year’s leading FT 401 advisers, state by state. Plus: why Americans face huge generational gap on retirement savings; millennials force industry to adapt new investment trends; SEC sparks debate over ‘ugly’ IRA rollovers; and top advisers squeeze smaller rivals

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