Our Team

Our Team

 

Vinson Brod Profile Picture Vinson Brod Vice President Vinson Brod is a Vice President at Mayflower Advisors, LLC. His primary duties involve servicing our corporate retirement plans and working with participants. Vin holds Series 7 and Series 63 and 65 registrations.

Vin started his career in financial services over 15 years ago as a financial consultant for Oppenheimer & Company and Baron Chase Securities. He then became a Senior Sales Associate with New England Securities before joining H.C. Wainwright & Company in 1999 to manage its mutual fund and 529 plan research efforts. He later became a Retail Product Analyst at Winslow Crocker & Evans, before reuniting with the Principals at Mayflower Advisors in 2004.

Vin holds a B.S. in Economics from Northeastern University and has been nominated as Associate of the Year at Wells Fargo Advisors Financial Network.

Vin is an avid runner and "sports parent" to his two young sons.

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Lou Chong Profile Picture Lou Chong, CFP® Senior Vice President Lou Chong is a Senior Vice President at Mayflower Advisors, LLC. His primary focus is on advising companies and non-profit organizations on how to structure cost efficient and regulatory compliant retirement plans which are customized to the unique needs of the organization, and help maximize retirement outcomes for employees. He has his CERTIFIED FINANCIAL PLANNER™ (CFP®) certification, as well as Chartered Retirement Planning Counselor (CRPC®) and Accredited Investment Fiduciary® (AIF®) designations.

Lou has over 25 years of experience in the retirement plan and institutional investment industry, with a particular focus on helping plan sponsors meet their fiduciary obligations, construct diversified investment line-ups, develop effective Investment Policy Statements and deploy education strategies for plan participants. Prior to joining Mayflower, Lou was Senior Vice President at Hartford Investment Management, managing business development of investment strategies for corporate and public pension funds. Prior to that, he was Senior Vice President and head of Defined Contribution Services for Franklin Templeton Investments, managing their 401(k) product and a team of wholesalers. Lou also spent nearly 10 years at Fidelity Investments in their Retirement Plans Division.

Lou is a graduate of Colby College where he received a B.A. He has Series 7, 26, and 63 Securities Licenses.

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Damien DePeter Profile Picture Damien DePeter Senior Vice President, Investments Damien DePeter is a Senior Vice President, Investments with over 20 years of experience in helping people and financial organizations plan their financial futures.

Damien has earned a reputation in dealing with complex financial decisions. He focuses on providing guidance to corporate employees with concentrated positions in company stock compensation programs, and business owners with questions about how to navigate their unique financial decisions.

Prior to Mayflower Advisors, Damien was a Partner and Financial Advisor at UBS, where he received their distinctive Wealth Advisor designation. Damien was a licensed Corporate Stock Benefit Consultant, and he was identified as a select advisor, capable of supporting their Corporate Executive Clients under that designation.

Damien has also been a Management Consultant and Business Strategy Consultant to Fortune 500 financial organizations prior to joining UBS.

Damien graduated from Connecticut College with Honors in Economics. He received the Brown Brooks Award for Outstanding Leadership/Scholarship in the graduating class. He was recognized as a scholastic All-American, as well as an athletic All-American in lacrosse. Damien lives with his wife and three daughters in Winchester, MA.

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Steven Dimitriou Profile Picture Steven Dimitriou Managing Partner Steven Dimitriou is a Managing Partner at Mayflower Advisors with over 25 years of retirement plan industry experience. He graduated from Colby College with a B.A. in both Honors Physics and Economics, and currently holds his Accredited Investment Fiduciary (AIF) and Certified 401(k) Professional (C(k)P) designations. Prior to founding Mayflower, Steve was a Managing Director at H. C. Wainwright & Co., a Vice President at BT Alex Brown, and one of the original members of the Retirement Sales Team at Massachusetts Financial Services (MFS).

In 2009, PLANSPONSOR Magazine named Steve "Retirement Plan Adviser of the Year," one of two major industry awards. In 2010, he became the only person to win that award and be named a Finalist for the second, the ASPPA-Morningstar Leadership Award. Steve has been named repeatedly to PlanAdviser Magazine's Top 100 Retirement Plan Advisors list and was inducted into the Magazine's inaugural Hall of Fame class. In 2010 & 2012, Steve was named one of the 50 Most Influential Advisors in Defined Contribution by The 401kWire.

In March 2014, Steve became President of the National Association of Plan Advisers (NAPA), the Nation's largest retirement plan advocacy group with over 7,500 members and a sister organization to ASPPA. The organization works directly with Congress and regulatory agencies to shape legislation and rule-making.

Steve has been recognized both locally and nationally for his knowledge, having appeared on CNBC, Fox Business, U.S. News and World Report, Kiplinger, Investment News, the Financial Times, and other publications.

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Plan Sponsor RPAY award criteria based on qualitative & quantitative factors, including input form clients. Nominations solicited from advisors, their employers, plan sponsors & working partners (investment vendors, pension administrators, accountants, attorneys, etc.) quantitative factors include ability to impact plan participation, cost savings & service enhancements. The Top 100 & Best of the Best Awards based solely on quantitative factors submitted during the same process. ASPAA-Morningstar Leadership Award Finalists selected from nominations by advisors, their employers, plan sponsors and other contributors to the retirement industry. Criteria considered were qualitative and quantitative factors including production and interviews. ASPPA membership was not required and ASPPA staff and management and Board members were ineligible to nominate. PLANADVISER Hall of fame inductees include recipients of the Plan Sponsor RPAY Award along with other important contributors to the retirement plan industry.
Jillian Duddy Profile Picture Jillian Duddy Senior Associate Jillian Duddy joined Mayflower Advisors in 2012 as a Senior Associate, bringing with her an extensive background in client service and relationship management.

She assists with advanced wealth planning strategies to individuals and families. Jillian works with our clients to gain insight into their needs and ambitions to help us formulate a process that is customized. She works diligently to provide an exemplary experience for all of our clients, whether it's in person or on the phone.

Jillian utilizes a dynamic team approach to grant clients access to high quality strategies for any financial challenge. She liaises with experienced professionals in various investment and planning fields, as well as clients' other trusted advisors, such as attorneys and CPAs. Jillian was awarded "Mayflower Advisors - Employee of the Year" in recognition of her outstanding and dedicated client service.

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“Ryan Ryan Foley Portfolio Strategist Ryan Foley joined Mayflower Advisors in January 2018 as a registered Portfolio Specialist, bringing several years of experience in planning, insurance, and client service management.

Ryan graduated from Saint Anselm College with a Bachelor of Arts in Business and holds Series 7, 65, and 63 registrations and insurance licenses.

Ryan currently resides in Boston with his wife, Lannon. Outside of the office, Ryan enjoys spending time with family and friends, going to the beach, and playing golf.

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Craig Fuglestad Profile Picture Craig Fuglestad Operations Associate Craig Fuglestad joined Mayflower Advisors in June 2014 as an Operations Associate. He graduated from the Isenberg School of Management at the University of Massachusetts - Amherst in 2014. When not in the office, Craig enjoys skiing, golfing, and vacationing in New Hampshire.

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Lloyd Glazer Profile Picture Lloyd Glazer Managing Partner Lloyd Glazer is a Managing Partner at Mayflower Advisors, LLC. He is responsible for developing, executing and monitoring investment strategies for the practice's individual and trust clients. Lloyd has nearly four decades of industry experience.

Prior to forming Mayflower Advisors, Lloyd was a Managing Director and Branch Manager at H.C. Wainwright & Co., Inc. in Boston. Between 1975 and 1994, Lloyd served as Managing Director at Bear Stearns, where he helped to establish the firm's presence in Boston. Prior to that, he was the New England Regional Options Advisor for Bache Securities, subsequently acquired by Prudential.

Lloyd has been a Registered Options Principal for over three decades, and he has also served as a Member and Panelist of the New York Stock Exchange Hearing Board. In addition, Lloyd has served on the Board of Directors for Memorial Hospital of Boston and Insight Health, a NASDAQ company subsequently acquired by The Carlyle Group and General Electric. He was also elected to and served eight years as Town Meeting Member for the town of Brookline, MA. Lloyd has been featured in numerous publications and on national television for his investment expertise.

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Lawrence Glazer Profile Picture Lawrence Glazer Managing Partner Larry Glazer is Co-Founder and Managing Partner of Mayflower Advisors. Larry's passion for investing began at age seven, when he first studied the Wall Street Journal After a life of family financial dinner-table conversations, he partnered with his father, Lloyd, to create Mayflower. Larry was Senior Vice President at Advest. He helps individuals, companies and non-profit organizations navigate through a complex financial world to achieve their financial goals by providing independent, full-service financial consulting and comprehensive, customized wealth management solutions.

Larry regularly shares his knowledge on national news television shows such as CNBC, CNN, MSNBC and Fox News, and his ideas are featured in publications such as The Wall Street Journal, USA Today, The New York Times, and Bloomberg Business Week.

Larry has been recognized as an industry and community leader, being named Financial Planning Magazine’s “Pro Bono Planner of the Year”, honored by by Invest in Others Community Leadership Awards (1, 2), awarded Worth Magazine’s “Top 250 Wealth Advisors” (3), and Forbes 2018 top advisor in the state of Massachusetts (4). He serves as the volunteer Chairman of the Massachusetts Jump$tart Coalition for Personal Financial Literacy, a coalition of diverse financial education stakeholders that prepare the nation’s youth for life-long financial success. Larry was a member of the Massachusetts State Treasurer’s Financial Literacy Task Force. He is a graduate of Duke University and was President of the Rivers School Alumni Association. He obtained the Accredited Asset Management Specialist designation and holds Series 7, 63 and 65 securities registrations. Larry lives in Newton, MA with his wife and their three children.

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(1) 2014 Pro Bono Planner of the Year is presented to a financial advisor who has made a leadership contribution to a nonprofit organization by arranging for the group to receive dedicated professional financial services, including pro bono advice and financial life skills.
(2) Invest in Others Charitable Foundation and InvestmentNews eighth annual Community Leadership Awards recognize the philanthropic work financial advisers perform in their communities and around the world.
(3) Worth Magazine's Top-250 Wealth Advisors list was compiled from nominations from readers, private banks, wealth management and investment firms and industry associations. Selection criteria was based primarily on Worth's Magazine's subjective analysis of each candidate's ability to "intelligently discuss" the current investment climate, the markets and their strategies, although, consideration was also given to the advisors' account of their educational and professional credentials, work history, compensation structure, client retention rate, areas of expertise, approaches to working with new clients, and strategies for serving affluent clients. The weighing of the various criteria may change annually in response to market shifts or economic activity.
(4) The Forbes 2018 Best-In-State Wealth Advisor ranking algorithm is based on industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK Research, LLC, which does not receive compensation from the advisors or their firms in exchange for placement on a ranking. Investment performance is not a criterion.
Bradley Gorney Profile Picture Bradley A. Gorney Senior Financial Advisor Bradley Gorney's focus as a Senior Financial Advisor is to simplify and organize the financial lives of clients, allowing them the time and freedom to pursue their life passions. Taking a deep personal interest in their future, he helps clients define and ultimately develop their personal long-term vision and investment objectives. Utilizing a well-defined process, a clear picture is created to plan for retirement income, education and intergenerational wealth transfer. Bradley's ultimate responsibility to clients is to help them build a solid foundation on which to make financial decisions with confidence.

Bradley joined Mayflower Advisors in 2013 and holds a Chartered Retirement Planning Counselor (CRPC®) designation from the College of Financial Planning. Brad is a board member of the Collage New Music Foundation and an instructor with Junior Achievement New England.

He resides in Framingham with his wife, Rebekah, and children, Madelyn and Daniel. In his free time, he enjoys coaching his kids' sports teams, basketball, golf, and spending time on, in, or near the ocean.

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Joe Kendall Profile Picture Joe Kendall Senior Plan Consultant Joe Kendall joined Mayflower Advisors, LLC in 2014 as a Senior Plan Consultant on the Retirement Team. Joe's primary responsibilities revolve around working with the sponsors and participants of corporate retirement plans. For sponsors, he assists in the design, implementation, and ongoing improvement of their plans, with special attention to fiduciary liability and operational efficiency. For participants, he focuses on retirement plan and financial education to help ensure they may have the best chance to reach their retirement goals.

Previously, Joe worked in the Retirement Services Group of Goldman Sachs helping financial advisors find unique investment solutions to the challenges 401(k) plans face. His experience is focused on helping 401(k) plans battle inflation, protect against rising interest rates, and condense fund menus without sacrificing diversification.

Joe received both his undergraduate and graduate degrees from Northwestern University in Evanston, IL. He holds the Accredited Investment Fiduciary (AIF®) designation, as well as the Series 7 and 65 registrations. Joe is an avid runner and reader, and lives in Canton, MA with his wife, Trish, and their two children, Lilly and Sam.
Justin Londergan Profile Picture Justin Londergan Senior Vice President As an Accredited Investment Fiduciary®, Justin's work with 403(b) and 401(k) plans centers around the implementation of fiduciary best practices that seek to minimize risk, reduce employer and employee costs and drive positive retirement outcomes. He is an advocate of transparency and is highly effective at mitigating plan fees. Justin drives retirement plan committee process around all aspects of plan management, and was named to the National Association of the Plan Advisors (NAPA) 2017 Top Retirement Plan Advisors Under 40.

Justin was raised by educators and has extensive personal and professional experience with mission-driven organizations. He brings this unique understanding of non-profit culture to his retirement plan work. Justin earned a B.A. from Hobart College, and holds Series 7 and 66 securities registrations through Wells Fargo Financial Network, LLC. He lives with his wife and three sons in Newbury, MA, but can often be found at his family's home in Camden, ME, or on the ocean in his boat.

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(1) Nominations were solicited and voted on by NAPA members. Criteria included current and new defined contribution assets under management and the number of defined contribution plans for the past 12 and 24 months. Investment performance is not an explicit component.
John Longo Profile Picture John Longo Financial Advisor John Longo joined Mayflower Advisors, LLC in August of 2010, after a successful decade with Wells Fargo Advisors. An experienced financial advisor, John has been involved in finance since 1986, shortly after his graduation from Assumption College.

John currently is a candidate for the CERTIFIED FINANCIAL PLANNER™ certification. He is a former Board Member of the Blackstone Valley Chamber of Commerce, a position that has given him insight into the needs and concerns of local economies and small businesses.

He resides in Sutton, MA with his wife, Karen, and their daughter, Christina.

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Lowell Lyon Profile Picture Lowell Lyon Wealth Advisor Lowell Lyon joined Mayflower Advisors, LLC in 2013 as a Wealth Advisor. Lowell helps individuals, businesses, foundations, and endowments achieve their financial goals through transparent, customized, and comprehensive wealth management solutions. Other than his sense of humor, Lowell’s clients enjoy working with him because of his efficient, detail-oriented, problem solving capabilities.

He is a graduate of the University of Massachusetts at Amherst with a B.B.A. in Finance. Lowell began his career as an analyst for a mid-size asset management group in Concord, MA, where his responsibilities consisted of researching and recommending equities and fixed income securities to the managing partner. This experience has been instrumental in tailored portfolio construction for his clients and has led him to become a valued member of the Investment Committee at Mayflower Advisors.

At a young age, Lowell grew to understand the nuances of running a family-owned business through his involvement with his family’s 75-year-old real estate firm. This exposure has been extremely beneficial regarding working with multiple generations of clients and being able to put himself in clients’ shoes.

Lowell lives in Lexington, MA with his wife and daughter. When he is not spending time with family and friends, Lowell is either playing soccer or helping coach the Fenn School Varsity soccer team.

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Michael McCarthy Profile Picture Michael McCarthy Senior Financial Advisor Michael McCarthy is a Senior Financial Advisor with over 15 years of experience in the financial services industry. He works with families to ensure they can achieve financial goals and plan for a comfortable retirement. By listening to his clients, Michael develops a keen understanding of their appetite for investment risk, allowing him to focus on helping them to achieve short-, medium- and long-term goals. Michael also helps professional practices and small business owners limit tax liabilities, build a retirement nest egg, and protect assets from creditors.

Michael offers a great deal of personalized financial strategies, including asset management, retirement planning, education planning, defined benefit cash balance plans, insurance and risk management planning, estate planning strategies, and net-worth projections. Michael graduated with his BS from Boston College. In addition, he earned the Chartered Retirement Planning Counselor (CRPC®) designation, and holds the FINRA Series 7, 63, and 66 registrations.

Michael and his wife, Michelle, live in Canton, MA, with their son and daughter. He enjoys spending time with his family and is an active member of the Boston Junior Terries Hockey Club and Canton Little League Baseball. When he is not spending time helping clients achieve their financial goals, Michael likes to challenge himself physically. A former Beanpot Champion who still likes to play hockey, Michael has completed five marathons and enjoys hiking 4,000-foot mountains in New Hampshire.

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Jason McLoy Profile Picture Jason McLoy Financial Advisor Jason is a Financial Advisor with over 20 years of experience in the financial services industry. Jason provides financial, investment and retirement planning for individuals and families. Prior to joining Mayflower in 2013, Jason worked as a Director of Investments for CIBC World Markets and Oppenheimer & Co. for more than 10 years. He began his financial career at Merrill Lynch in 1993.

Jason received a Bachelor of Arts degree from the University of Vermont in 1993 after graduating from The Governor's Academy. Jason lives in Hingham, MA with his wife, Kara, and their two children. In his free time, Jason enjoys coaching youth lacrosse, fishing, and boating.

Jason holds Series 7, Series 63, Series 65 registrations, and insurance licenses.

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Jeff Mehne Profile Picture Jeff Mehne Senior Plan Consultant Jeff Mehne has spent over a decade focusing on the corporate retirement plan market space. Jeff utilizes his background in investments and 401(k) to ensure the delivery of high quality services to Mayflower retirement plan clients and their participants alike. Prior to his arrival at Mayflower Advisors, Jeff worked in a variety of retirement plan roles at Fidelity Investments, ADP Retirement Services, & Natixis Global Asset Management. Jeff has BA with a concentration in Finance from Babson College. He and his wife, Kim, reside in Franklin, MA with their four young sons. In his free time, Jeff enjoys coaching his kids' teams, golfing, and cooking.

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“Jonida Jonida Papajani, CFA® Senior Portfolio Manager Jona possesses over a decade of experience as an investment analyst and mutual fund specialist. She leads the firm’s investment and portfolio analytics and is directly responsible for research and portfolio design. Jona coordinates our ongoing investment due diligence and oversees the construction of our quarterly monitoring reports and manager searches. She earned a Bachelor of Arts in Finance from University of Tirana and a Master of Science in Investment Management from Boston University, both with High Honors. Jona holds the CFA Charter from CFA Institute and the FINRA 65 registration. She is a member of the CFA Institute and the CFA Society Boston. Prior to joining Mayflower, Jona worked with Bank of America, State Street Corporation and H&H Investment Advisors gaining experience in both the retirement plan and wealth management industries.
Michael Robbins Profile Picture Michael Robbins Senior Financial Advisor Michael Robbins is a Senior Financial Advisor with over 55 years of industry experience. Michael has spent the vast majority of his career at Advest, Inc., where he was a Partner before it became a public company. Michael was also Partner and Director at Burgess & Leith. Michael, who has been active over the years in Investment Banking in the Banking/Financial sector, brings a nearly unparalleled wealth of experience to his client relationships.

Michael received his B.A. in Economics and Political Science from Williams College and is currently a Senior Member of the Brookline Town Meeting. He is politically active and holds junior and senior local positions in one of the major political parties. Michael has also been a member of the Winter Place Associates investment club since the 1960s. On a personal note, Michael is still an outdoors enthusiast and can boast of climbing the Himalayas.

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Susan Schoenig Profile Picture Susan Schoenig Client Associate Susan is a Client Associate and joined Mayflower Advisors in 2013, bringing with her considerable experience in client service and relationship management support. Susan's priorities are to help ensure our clients receive exceptional service and attain their financial goals. When she is not enjoying her passion for running road races, Susan devotes time with her family in Maine.

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Pamela Shea Profile Picture Pamela Shea Administrative Manager Pamela Shea serves as the Administrative Manager in Mayflower's new Westborough office, where she is responsible for overseeing the operations of client administration and office management. Originally from Massachusetts, she spent many years in California before returning to her home state. Her philosophy is to treat people the way you'd like them to treat you, so feel free to give her a call with any questions or concerns. She's always happy to help.

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Philip Stathos Profile Picture Philip Stathos Partner Philip Stathos, a Partner at Mayflower Advisors, helps coordinate the investment and financial needs of his clients to assist them in achieving life goals with their money, including retirement, education, and wealth transfer strategies. His goal is to position his clients to support their life goals to allow them to focus on other aspects of their busy lives.

Prior to joining Mayflower Advisors in September of 2012, Phil was a Senior Vice-President at Wells Fargo Advisors, which acquired A. G. Edwards, where Phil began his advisory career in 1998.

Phil has been recognized nationally by the media for his views on the investment markets. Prior to his work in private wealth management, Phil worked in institutional equity sales for Keefe Bruyette and Woods, and then Fidelity and Scudder Kemper Investments, where he worked in strategic marketing.

Phil is a graduate of Bowdoin College in 1987, where he was captain of the sailing team and the Olin Graduate School of Business at Babson College, where he obtained an MBA in 1993. In addition, Phil holds a Diploma in Financial Planning from Boston University, which he received in 2002.

Outside of the workplace Phil is active as a member of the Board of the Courageous Sailing Center, and he is involved in charitable programs associated with the schools he has attended. Phil and his, wife Alice, stay busy with their three young and active boys, Nic, Cam, and Alexander. The family can be found sailing, skiing, and finding outdoor adventures throughout New England.

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John Wilcox Profile Picture John Wilcox, CFP® Vice President John Wilcox has dedicated his career as a leader to helping businesses, families and individuals plan for their financial, retirement and investment goals. John joined Mayflower Advisors in August of 2010 to help open the Westborough Office, bringing a solid financial services background and more than 18 years of experience in helping to build and preserve wealth for his clients. He also has proven experience in directing companies to manage their retirement plans. In 2011, John was selected as one of the 300 Most Influential Advisors of 2011 by 401kWire.com and included in PLANADVISOR Magazine’s Top 100 Advisors for 2011.

Previously employed by Wells Fargo Advisors, John earned his AAMS® (Accredited Asset Management SpecialistSM) designation in 2003 and the CERTIFIED FINANCIAL PLANNER™ certification in 2009 and AIF® (Accredited Investment FiduciarySM) designation in 2013. In addition, he has obtained the Series 6, 7, 63 and 66 securities registrations, as well as life and disability insurance licenses. John has also been named to Wells Fargo Advisors Premier Advisors in 2011, 2012 and 2015.1 In 2015 and 2018, John was awarded the Five Star Wealth Manager Award, which recognizes the top 4% of 19,400 licensed wealth managers in Massachusetts based on 10 objective screening criteria.

Before his work in wealth management, John spent several years in the Corporate Retirement Plan Market in Communications with Fidelity Investments and as an AVP of Marketing at Scudder Retirement Services. There he managed relationships with Fortune 500 companies and improved their communications and education programs for the plans and their participants.

John serves on Blackstone Valley Education Foundation Board, was past President and Board Member of the Worcester Tennis Club, and is currently involved on the National Association of Plan Advisors’ Government Action Committee. Additionally, John is a member of Corridor 9 Chambers of Commerce, and a Director Consultant for Business Networking International (BNI), leading chapters and their growth. He is also an avid competitive tennis player and a member of the U.S. Professional Tennis Association and U.S. Tennis Association, and he carries high local, national, and international rankings as of 2018. Consistently he donates tennis lessons to a variety of different charities that are near and dear to him. John earned a BA in Advertising from San Jose State University in California. He and his wife, Jacqueline, live in Upton, Mass., where they are active members of their community.

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1 The Premier Advisors designation is held by a select group of Financial Advisors within Wells Fargo Advisors Financial Network as measured by business production, completion of educational components and professionalism.

The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process*); 4. Fulfilled their firm review based on internal standards. ; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 2819 Boston wealth managers were considered for the award; 532 (19% of candidates) were named Five Star Wealth Managers. *To qualify as having a favorable regulatory and complaint history, the person cannot have: 1. been subject to a regulatory action that resulted in a suspended or revoked license, or payment of a fine, 2. had more than three customer complaints filed against them (settled or pending) with any regulatory authority of Five Star Professional’s consumer complaint process, 3. individually contributed to a financial settlement of a customer complaint filed with a regulatory authority, 4. filed for bankruptcy, or 5. been convicted of a felony.

300 Most Influential Advisors of 2011 were selected from an on-line survey of retirement plan industry insiders by The401kWire.

PlanAdviser Top 100 Award is based on nominations from retirement plan advisors, their employers and/or broker/dealers, and plan sponsors. Criteria based on quantitative factors including qualified plan assets under management and number of plans advised. Investment performance is not an explicit component.