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Find Best Financial Advisors in California

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A densely populated state like California has different types of experienced & certified financial advisors such as fiduciary financial advisors and fee only financial planners making it challenging for you to choose the one that may perfectly meet your financial situation and needs. WiserAdvisor has pre-qualified and selected some of the top qualified financial advisors, independent certified financial planners, financial advisory firms & associations in California and has listed them below with their details such as qualifications, service offerings, and other important information that you could use while searching for financial advisors to best suit your financial and investment goals. Please note that the list of financial advisors mentioned below does not include all vetted advisors as some have not been listed as per their request. They may be available when you use our free match tool to compare up-to 3 financial advisors if they match your specific requirements and preferences.

Finding the Top Financial Advisor in California
Last Updated - 23-Nov-2022

California has 51 WiserAdvisor vetted Financial Planners and Advisors for you to choose from and 5573 non-vetted advisors in your local area. These financial advisors in California have an average of 17 years of experience.

NOTE: The list of financial advisors in California mentioned below do not include all the advisors in our network due to their compliance listing restrictions. More vetted advisors may be available when you use our free match service to compare financial advisors near you in California.

List of Qualified Financial Advisors in California
Financial Advisor Experience AUM Minimum Assets Fee Structure
Aleksandar Raskovic
WESTPAC WEALTH PARTNERS
5280 Carroll Canyon Rd, Suite 300,
San Diego, CA 92121
22 $45,000,000 $50,000 Fee-Based
Brian Malkinson
HBW ADVISORY SERVICES
3017 Douglas Blvd,
Ste 100,
Roseville, CA 95661
10 Not Specified $250,000 Fee-Only
Bryan Foronjy
CFP®
FORONJY FINANCIAL
401 Chapala St #105,
Santa Barbara, CA 93101
956 Walnut St,
San Luis Obispo, CA 93401
14 $135000000 $250000 Fee-Based
David Bobrowsky
CFP®, Chartered SRI Counselor, ChFC®
GATEWAY FINANCIAL ADVISORS, INC.
1261 Locust St.,
Suite #60,
Walnut Creek, CA 94596
21 Not Specified Not Specified Fee-Based
Ira Zito
CFP®, ChFC®
FINANCIAL PEAK
5850 Canoga Ave., Suite 400,
Suite 400,
Woodland Hills, CA 91367
24 Not Specified $50,000 Fee-Based
Jarret Rodriguez-Conklin
CIMA®, ChFC®
HOMESTEAD WEALTH MANAGEMENT, CORP
413 East Foothill Boulevard, Suite 100,
San Dimas, CA 91773
16 $62,000,000 Not Specified Fee-Based
Jerry Slusiewicz
PACIFIC FINANCIAL PLANNERS
30131 Town Center Drive, Suite 105,
Laguna Niguel, CA 92677
31 Not Specified $100000 Not Specified
John E. Meinert
AAMS®
MEINERT WEALTH MANAGEMENT LLC
5000 E. Spring St., Suite 340,
Long Beach, CA 90815
25 Not Specified $500,000 Not Specified
Mark Pietrofesa
CFP®
SUMMIT FINANCIAL ADVISORS, LLC
109 Baldwin Ave,
San Mateo, CA 94401
32 Not Specified $100,000 Fee-Based
Michael Geitner
CFP®
VINTAGE WEALTH ADVISORS
700 Main St,
Suite 305,
Napa, CA 94559
13 Not Specified Not Specified Fee-Based
Mike Mess
VERACITY CAPITAL, LLC
4100 Newport Place Dr.,
Ste 255,
Newport Beach, CA 92660
16 $100,000,000 $1,000,000 Fee-Only
R.J. Kelly
CEPA®, MSFS, RICP®, AEP®, CLU®, ChFC®
WEALTH LEGACY GROUP, INC.
4540 Kearny Villa Road,
Suite 114,
San Diego, CA 92123
35 $75,000,000 $1,000,000 Fee-Based
Rick Martinez
CFP®
RDM FINANCIAL
1425 W Foothill Blvd.,
Suite 125,
Upland, CA 91786
11 Not Specified $100,000 Fee-Based
Ryan K. Gunn
CFP®
GUNN FINANCIAL ASSOCIATES/ROYAL ALLIANCE ASSOCIATES
616 S El Camino Real, Suite H,
San Clemente, CA 92672
17 $125,000,000+ $1,000,000 Fee-Based
Simon Reeves
TIDEROCK FINANCIAL
9900 Research Drive,
Irvine, CA 92618
25 Not Specified $500,000 Fee-Based
Alano Massi
CFP®
PALM CAPITAL MANAGEMENT
23622 Calabasas Road, Suite 102,
Calabasas, CA 91302
16 $150mm Not Specified Fee-Based
Andrew Eddy
CFP®, CLU®, AIF®, ChFC®
EDDY FINANCIAL, LLC
100 Wilshire Blvd,
Suite 700,
Santa Monica, CA 90401
Not Disclosed Not Specified Not Specified Not Specified
Janet Wan
CFP®, CPFA
SIERRA PACIFIC FINANCIAL ADVISORS
7077 Koll Center Parkway,
Suite 120,
Pleasanton, CA 94566
Not Disclosed Not Specified Not Specified Fee-Only
Jeff Halbert
WESTMOUNT ASSET MANAGEMENT
620 Newport Center Drive,
Suite 1100,
Newport Beach, CA 92660
10 $3,800,000,000 $2,000,000 Fee-Only
Michael Cannone
WESTMOUNT ASSET MANAGEMENT
2049 Century Park East,
Suite 2500,
Los Angeles, CA 90067
22 Not Specified Not Specified Fee-Only
Michael Jensen
CFP®
FALCON WEALTH PLANNING, INC.
2030 Main St,
13th Floor,
Irvine, CA 92614
10 $75,000,000 $250,000 Fee-Only
Allegra Swan
CFP®
ALLWORTH FINANCIAL
644 North Santa Cruz Ave Suite 4,
Los Gatos, CA 95030
Not Disclosed Not Specified Not Specified Fee-Based
Andrew Chabot
MBA, CFP®
RANCHO WEALTH MANAGEMENT
4225 Executive Square Suite 600,
La Jolla, CA 92037
15 Not Specified Not Specified Fee-Based
Andrew Kessler
CFP®
ALLWORTH FINANCIAL
1550 The Alameda, Suite 125,
San Jose, CA 95126
Not Disclosed Not Specified Not Specified Fee-Based
Benjamin Bowen
CFP®, Certificate in Blockchain and Digital Assets
EDELMAN FINANCIAL ENGINES, LLC
3570 Carmel Mountain Road,
Suite 450,
San Diego, CA 92130
20 Not Specified Not Specified Fee-Based
Corey Fast
CFP®
EDELMAN FINANCIAL ENGINES, LLC
2400 E. Katella Ave.,
Suite 410,
Anaheim, CA 92806
14 Not Specified Not Specified Fee-Based
Cynthia Leal
Certificate in Blockchain and Digital Assets, CRPC®
EDELMAN FINANCIAL ENGINES, LLC
3950 Civic Center Drive,,
Suite 315,
San Rafael, CA 94903
17 Not Specified Not Specified Fee-Based
David Roggenkamp
ChFC®
COMMONWEALTH FINANCIAL NETWORK
700 Larkspur Landing Circle, Suite 199,
Larkspur, CA 94939
31 Not Specified Not Specified Fee-Based
Eddie Lee
EDELMAN FINANCIAL ENGINES, LLC
3945 Freedom Circle, Suite 950,
Santa Clara, CA 95054
16 Not Specified Not Specified Fee-Based
Ken Sakamoto
CRPC®
EDELMAN FINANCIAL ENGINES, LLC
2175 North California Boulevard,
Suite 800,
Walnut Creek, CA 94596
4301 Hacienda Drive, Suite 100,
Pleasanton, CA 94588
16 Not Specified Not Specified Fee-Based
Kevin Duffy
CFP®, MSF
ALLWORTH FINANCIAL
8775 Folsom Blvd Suite 100,
Sacramento, CA 95826
Not Disclosed Not Specified Not Specified Fee-Based
Lance Blount
CFP®
EDELMAN FINANCIAL ENGINES, LLC
600 Anton Blvd,
Suite 1750,
Costa Mesa, CA 92626
19 Not Specified Not Specified Fee-Based
Matthew Pixa
MY PORTFOLIO GUIDE
3020 Old Ranch Parkway,
Suite 300,
Seal Beach, CA 90740
22 $100,000,000 Not Specified Fee-Only
Michael Harris
CFP®, CFA®
TRIVANT CUSTOM PORTFOLIO GROUP, LLC
600 West Broadway, Suite 225,
San Diego, CA 92101
Not Disclosed Not Specified $200,000 Fee-Only
Sasha Shteyn
CFP®
EDELMAN FINANCIAL ENGINES, LLC
225 South Lake Avenue,
Suite 1185,
Pasadena, CA 91101
20 Not Specified Not Specified Fee-Based
Tad Doughty
ChFC®, CFS®
ALLWORTH FINANCIAL
3017 Douglas Blvd,
Roseville, CA 95661
Not Disclosed Not Specified Not Specified Fee-Based
Ted Smalling
MBA, CFP®
ALLWORTH FINANCIAL
8775 Folsom Blvd Suite 100,
Sacramento, CA 95826
Not Disclosed Not Specified Not Specified Fee-Based
Zach Lindemann
CFP®
EDELMAN FINANCIAL ENGINES, LLC
2901 Douglas Blvd Suite 250,
Sacramento I - Roseville (East),
Roseville, CA 95661
8 Not Specified Not Specified Fee-Based
James Peters
ChFC®
CENTAURUS FINANCIAL
18662 Macarthur Blvd,
Suite 200,
Irvine, CA 92612
21 20,000,000 25,000 Fee-Based
Value Monitoring Inc.
VALUE MONITORING INC.
250 Oak Grove Ave,
2nd Floor Suite A,
Menlo Park, CA 94025
17 $100,000,000 100,000 Fee-Only
Andrew Selu
EDELMAN FINANCIAL ENGINES, LLC
21550 Oxnard Street,
Suite 950,
Woodland Hills, CA 91367
5 Not Specified Not Specified Fee-Based
The AdvisoryOne Group
THE ADVISORYONE GROUP
Grover Beach,
Grover Beach, CA 93433
6 $450,000,000 $10,000 Fee-Based
Dash Investments
CFP®, ChFC®
DASH INVESTMENTS
21600 Oxnard Street Ste 1755,
Woodland Hills, CA 91367
15 370000000 Not Specified Fee-Only
Pure Financial Advisors, LLC
CFP®, AIF®
PURE FINANCIAL ADVISORS, LLC
3131 Camino del Rio N,
Suite 1550,
San Diego, CA 92108
Not Disclosed $4.08M Not Specified Fee-Only
Personal Capital
PERSONAL CAPITAL
250 Montgomery Street,
Suite 700,
San Francisco, CA 94104
3 Lagoon Drive,
Redwood City, CA 94065
---,
Los Angeles, CA 90012
11 $22,400,000,000 $100,000 Fee-Based
Vision Capital Investment Management
VISION CAPITAL INVESTMENT MANAGEMENT
3450 Geary Blvd, Ste 203,
San Francisco, CA 94118
Not Disclosed Not Specified $250,000 approx Not Specified

Information on Qualified Financial Advisors in California

Qualifications CRD# 6995589
Firm CRD# 46173
Series 7, 66

Compensation/Fee Fee-Based, Flat Fee, Based on Assets


Office Location 5280 Carroll Canyon Rd, Suite 300,
San Diego,
CA
92121
Phone Number 619-354-0609

It is a privilege and an honor to serve the San Diego community as a financial advisor. I love what I do because I have an opportunity to help people like you improve your life and take care of your families and your employees. What's important to you is most important to me. My wife, Hanna, and I have been married for 15 years, and we have two young children. We love spending time together at the beach, swimming in the ocean, traveling, hiking, dancing and meeting with our friends. - Proud member of the Alzheimer's Association, Pedal the Cause, San Diego Regional Chamber of Commerce, Business Network International (BNI) and La Jolla Village Merchants Association. - Undergraduate degree in international relations and business. Graduate degree in Master of Business Administration. Over 22 years of experience in finance. We provide Personal Strategies like financial organization, multi-generational wealth transfer, future tax strategies, estate planning, savings rate optimization, insurance optimization, wealth management, accumulation, and distribution, debt restructuring and efficiency. For Business Owners, we work on business exit planning coordination, tax strategies (present and future), tax efficiency (retirement plan optimization), business succession planning, buy-sell agreement and pension design & administration, to name a few. I will help you create a strategy for a successful financial future for you and your family. Feel free to contact me at (619) 354-0609 for a no obligation and 100% confidential consultation to discuss your situation and options. Sincerely yours, Aleksandar Registered Representative and Financial Advisor of Park Avenue Securities LLC (PAS). Securities products and advisory services offered through PAS, member FINRA, SIPC. Financial Representative of The Guardian Life Insurance Company of America® (Guardian), New York, NY. PAS is a wholly owned subsidiary of Guardian. WestPac Wealth Partners LLC is not an affiliate or subsidiary of PAS or Guardian. Insurance products offered through WestPac Wealth Partners and Insurance Services, LLC, a DBA of WestPac Wealth Partners, LLC. CA Insurance License #0M94213. 2022-146170 Exp. 11/24

About WestPac Wealth Partners

Our WestPac teams consist of experienced professionals with a "hands on" approach to financial guidance. Not only will you find our team members knowledgeable, but you will also discover that our staff truly cares about helping you build financial confidence. As your Financial Professionals, we will do everything in our power to keep you focused on where you want to go, advise you on how to get there, and continually remind you of the importance of maintaining a disciplined approach to meet your goals and objectives. We offer both personal strategies and business owner strategies to our clients.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts, Insurance Products & Annuities


Qualifications CRD# 6952754
Firm CRD# 143665
Series 65

Compensation/Fee Fee-Only, Based on Assets


Office Location 3017 Douglas Blvd,
Ste 100,
Roseville,
CA
95661
Phone Number 916-509-3231

Brian's devotion to helping people is what has driven him throughout his career. A career with more than a decade of experience in financial advisement, planning, and management. It is his diversified experience that has shaped Brian's approach to wealth management, asset management, and retirement planning. This knowledge along with his commitment to understanding every client's needs ensures a unique experience for both clients and businesses looking to plan for their future. The advisor to client relationship is extremely important for Brian's business as he believes investment decisions should be driven by more than just risk tolerance or suitability but by a sound financial plan that is specific to each client's goals and values. Outside of his career as a financial advisor with HBW, Brian has owned multiple businesses as both a sole proprietor and corporate executive. As a former educator, Brian has taught at multiple universities and developed certification programs for multiple organizations. A father of four children, Brian understands the importance of planning for the future and protecting what matters most.

About HBW Advisory Services

HBW has been a family-owned business since its founding in 1991. The financial world has changed a lot since then. But since our first day we have tried to treat every client as part of the family. That has not changed. HBW's most basic belief and guiding principle is in providing our advisors and clients the tools they need to stay the course, to stick to their financial plans, to seek control of the factors that form the basis of all other investment success: saving, asset protection through insurance, and tax planning. We also believe our clients relationship with their advisor is among their most important assets when times are challenging. Quite simply, we believe advice from most independent financial advisors will be better than advice from anywhere else. Our view is that products are products. Real solutions are based on values and goals, not hypothetical investment returns, fear-based sales tactics or big company guarantees crippled by the fine print. Why deal with some firm's inherent conflict of interest if you do not have to? We are committed to people and families: committed to helping our clients fulfill hopes, accomplish goals, and realize dreams. HBW Advisory Services LLC, is a Registered Investment Advisory Services Company entrusted with over $1 billion in client assets under management.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts, Insurance Products & Annuities


Qualifications CRD# 4978922
Firm CRD# 283824
Series 7, 10, 66

Compensation/Fee Fee-Based


Office Location 401 Chapala St #105,
Santa Barbara,
CA
93101
Phone Number 805-880-9444

Office Location 956 Walnut St,
Suite 200,
San Luis Obispo,CA 93401
Phone Number 805-600-1600

As the Principal Wealth Manager and founder of Foronjy Financial, Bryan created a practice for clients that truly appreciate a personal relationship with a seasoned practitioner who intends to stick with them for the long term. As a seasoned financial professional, Bryan helps clients design a customized vision for retirement by listening, asking insightful questions, and offering sensible advice drawing from over a decade of professional experience. Bryan graduated with a Bachelor of Science degree in Finance with a emphasis in Personal Financial Planning from San Diego State University. Before founding Foronjy Financial in 2015, Bryan worked for a decade as a Senior Account Executive at Fidelity Investments in Santa Barbara, CA. While not in the office, Bryan keeps a healthy work-life balance by exercising regularly, enjoying a game of chess, or spending time outdoors with his wife and three children.

About Foronjy Financial

Foronjy Financial was created with the intention of providing clients with sensible investment advice and personalized service. We help our clients chart a course toward retirement using professional experience coupled with sophisticated software. At Foronjy Financial we make financial planning personal again.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Insurance Products & Annuities


Qualifications CRD# 4261724
Firm CRD# 39543
Series 7, 66

Compensation/Fee Fee-Based, Hourly, Commissions, Based on Assets


Office Location 1261 Locust St.,
Suite #60,
Walnut Creek,
CA
94596
Phone Number 925-322-0799

David has been directly advising clients as a financial planner for 21 years. David joined Gateway Financial Advisors, Inc. and became affiliated with Cambridge Investment Research, Inc. as a Registered Representative and Investment Advisor Representative in 2014 in order to be able to offer completely independent advice to his clients. David has been a Certified Financial Planner practitioner since 2004. He earned the Chartered Life Underwriter® designation in 2005 and the Chartered Financial Consultant® designation in 2010, both through the American College of Bryn Mawr, PA. Recently, David completed additional training in 2020 to become a Chartered Socially Responsible Investing Counselor (CSRIC") to better serve the needs of my clients desiring to incorporate their values in their portfolios with sustainable, responsible, and impact investments.David is a member of the Financial Planning Association and the Northern California Planned Giving Council. David is a graduate of UCLA with a B.A. in Political Science, and also holds a M.A. and M.Phil. in Politics from NYU, where he pursued and published doctoral research on the causes and impact of the social investing movement.

About Gateway Financial Advisors, Inc.

David specializes in helping successful professionals review their current tax and investment situations to plan for retirement and help efficiently transfer their assets to their children, grandchildren and charitable beneficiaries. Helping others get the unbiased information they need to make sense of their options, designing a roadmap that reflects the specific concerns he hears from his clients, and supporting them to make tough but educated decisions to help gain control over their financial lives has been David's mission since he began his career in financial planning in 2000. As a Certified Financial Planner (TM) professional, David develops comprehensive financial planning strategies to help address client goals, and then help clients implement those strategies, often in coordination with clients' other professional advisors. To learn more about David's fee based financial planning process, call to set up a complimentary initial consultation.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities


Qualifications CRD# 2621037
Firm CRD# 318061
Series 7, 9, 10, 63, 66

Compensation/Fee Fee-Based, Flat Fee, Based on Assets


Office Location 5850 Canoga Ave., Suite 400,
Suite 400,
Woodland Hills,
CA
91367
Phone Number 818-639-9278

Originally from Long Island, Ira put himself through college earning a Master of Business Administration from Long Island University, Bachelor of Science in Economics and Accounting from State University of New York at Oneonta and through the Specialized College education for Financial Planning mastered the courses to obtain the CERTIFIED FINANCIAL PLANNER Professional designation - CFP® and the Chartered Financial Consultant - ChFC®. He is a member of the Financial Planning Association and the Financial Services Institute.

About Financial Peak

As a financial advisor, I play a role in your life's most meaningful moments. You trust me to assess your needs, understand your concerns, and offer the most relevant recommendations to address your unique situation. I do not take your trust lightly and strive to earn it every day. I am supported by a network of premier partners, who bring strength, stability and security to strategies that are designed to work for today and tomorrow. All with one goal in mind - your success. I think it is important that I introduce them to you. I am affiliated with SagePoint Financial, an independent wealth management firm that provides me with back office, technology, regulatory and operational support. Founded in 1970, SagePoint Financial is driven by a strong philosophy that independence is key to fulfilling sound investment decisions. My affiliation with the firm empowers me to put your interests first with objective, carefully considered offerings - with no obligation to promote any particular investment. SagePoint Financial is part of Advisor Group, one of the largest networks of independent wealth management firms in the country.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts, Insurance Products & Annuities


Qualifications CRD# 4977996
Firm CRD# 6413
Series 7, 63, 66

Compensation/Fee Fee-Based, Hourly, Flat Fee, Based on Assets


Office Location 413 East Foothill Boulevard, Suite 100,
San Dimas,
CA
91773
Phone Number 909-667-0587

My reason for becoming an independent Financial Advisor is deeply personal. I have a passion to be of service to those who need our help and offer them the highest level of care and comprehensive services. At Homestead Wealth Management, we refuse to treat people like numbers; kindness and respect are the foundation of all our client relationships. Over the years I repeatedly saw many friends and family struggling to find the help they needed to map out their financial future. I am confident that with my understanding of personal finance, coupled with my training as a financial professional, I can help people better prepare for the future. After years in the business, I have developed a reputation for educating individuals in an easy-to-understand manner so they can grasp personal finance and use those concepts to pursue their financial objectives. I feel a commitment to our community and take a holistic approach to serving clients. I currently hold the Chartered Financial Consultant® (ChFC®) designation, which was obtained and taught by The American College of Financial Services. Also, I hold the Certified Investment Management Analyst® (or CIMA®) designation, administered by Investment Management Consultants Association®, and taught by Yale School of Management. As a comprehensive Financial Advisor, I can help in the following areas. General principles of financial strategies (for example, personal financial statements, net worth statements) Insurance planning and risk management Investment planning Income tax planning strategies Retirement planning Estate planning strategies . Homestead Wealth Management and LPL Financial do not provide legal advice or tax services. Please consult your legal advisor or tax advisor regarding your specific situation. Investing involves risk, including possible loss of principal.

About Homestead Wealth Management, Corp

In today's busy world, clients are looking for different ways to engage with financial professionals. Some clients would like help with investment management, while others are focused on financial planning questions. When should I file for social security benefits, manage my 401k, what benefits package should I choose. These are a few of the questions that individuals have. We can simplify what seems complex by offering clients options on how they work with us at Homestead Wealth Management. As an independent boutique wealth management firm, we offer a personalized experience for those looking to develop a trusted relationship. Our clients will never feel as if they are small fish in a big pond.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Risk Management, Financial Advice & Consulting, Investment Advice & Management


Qualifications CRD# 1739938
Series 7, 63, 65


Office Location 30131 Town Center Drive, Suite 105,
Laguna Niguel,
CA
92677
Phone Number 949-219-0692

Jerry Slusiewicz is a veteran in the industry, with more than 31 years of professional investment experience. He has worked with both individuals and institutions to manage money for safety, growth, and income. His extensive experience throughout various stock and bond market cycles enables him to offer a unique blend of professional investment counsel. His personal service includes frequent contact through his weekly email newsletters and radio programs. This allows clients and prospects an opportunity to understand Jerry's philosophy and current perspective on market conditions. Jerry began his professional career as an advisor in 1987. He worked with various Wall Street firms before establishing Pacific Financial Planners, LLC. in 2004. This independent channel allows Jerry more flexibility to create a "client first" approach to portfolio management. Jerry has had his own radio show "Your Money Talks" for 16 years where listeners ask on-air questions about their investment needs. He also discusses life issues including: retirement, estate planning, portfolio management, life insurance, annuities, and long-term care. Jerry can also be seen as a regular guest on the TV show Politics & Profits with Rick Amato. Very active in his community, Jerry also served as The Mayor and a Council Member of the City of Laguna Niguel. Jerry has been a contributing writer to such prestigious websites such as The Street, Seeking Alpha, Minyanville and investment professionals seek him out for advice - now you should too.

About Pacific Financial Planners

Our primary service is to meet your needs through professional money management. We use stocks, bonds, mutual funds and ETF's to create growth and income portfolios. We utilize laddered bond strategies, using taxable or tax free instruments for our income clients. PFP works solely to identify your objectives and creates prudent investment plans to achieve your financial goals. We also offer retirement plan solutions including the use of annuities, life insurance and long-term care. Creating the Income, Growth and Safety you desire through: Portfolio Management & Capital Preservation Cost and Risk Control Establishing Long-Term Relationships Integrity - Service - Financial Solutions

Advisory Services Provided:

Portfolio Management, Wealth Management, Money Management, Financial Advice & Consulting, Financial Planning for Individuals


Qualifications CRD# 2849825
Firm CRD# 6413
Series 7, 24, 63, 66

Compensation/Fee Hourly, Commissions, Based on Assets


Office Location 5000 E. Spring St., Suite 340,
Long Beach,
CA
90815
Phone Number 562-474-1717

John is a 25-year veteran of the investment and financial services industry. John spent 15 years at Edward Jones, opening and building the Cerritos branch office. In 2011 he made the decision to take his practice independent, to build a less sales and transaction based business, and to focus more on the advisory/fiduciary relationship of investment planning and wealth management for clients who are serious about addressing their important financial goals. John is the Managing Member of Meinert Wealth Management LLC and is a Principal/Office of Supervisory Jurisdiction (OSJ) for other LPL financial advisor(s). John has been active in his community over the years serving on the boards of the South East Los Angeles County Workforce Investment Board (past-chair), Community Family Guidance Center and the Cerritos Regional Chamber of Commerce (past-president, Business of the Year). John and his wife, Maria, work together to serve the needs of the families and business owners they work with. John is also a military veteran, having served in the U.S. Army.

About Meinert Wealth Management LLC

We provide planning, investment strategies and risk management to families and business owners from all walks of life who are serious about addressing their important financial goals. We do so through long-term relationships and through conservative financial principles of investing and wealth preservation. Let us help you with your important financial goals today!!

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Investment Advice & Management, Insurance Products & Annuities


Qualifications CRD# 1788669
Firm CRD# 6413
Series 7, 24, 65

Compensation/Fee Fee-Based, Flat Fee, Based on Assets


Office Location 109 Baldwin Ave,
San Mateo,
CA
94401
Phone Number 650-357-9410

Mark is the Co-Founder and an Investment Advisor Representative. He holds a B.S. from The University of Minnesota, has earned the Certified Financial Planner (CFP®) designation and is a member of the Financial Planning Association (FPA). He brings more than 25 years of experience to his clients and his prior affiliations include Raymond James and American Express.

About Summit Financial Advisors, LLC

Our mission is to be the single resource for comprehensive financial advice and wealth management for successful executives, business owners and affluent individuals by completely serving their unique financial needs. Our clients rely on us to integrate and organize every aspect of their financial lives, eliminating the need to assemble multiple advisors on their own. Every client benefits from the advice of both partners and a dedicated service specialist.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Investment Advice & Management, Insurance Products & Annuities


Qualifications CRD# 5092216
Firm CRD# 151298
Series 6, 7, 63, 65

Compensation/Fee Fee-Based


Office Location 700 Main St,
Suite 305,
Napa,
CA
94559
Phone Number 707-492-5100

Michael Geitner is a Wealth Advisor at Vintage Wealth Advisors. He primarily handles business client's retirement plans such as 401ks and SIMPLE IRAs. Michael also specializes in employee equity compensation including Qualified and Non-Qualified Stock Options, Employee Stock Purchase Plans, 10b5-1 Plans, and Restricted Stock Units. With over 10 years' experience, he looks to enhance the client experience and add additional value to the clients of Vintage Wealth through the financial planning process. Michael is a CFP® professional, A CERTIFIED FINANCIAL PLANNER" is a formal recognition of experience in the areas of financial planning, taxes, insurance, estate planning, and retirement planning. Owned and awarded by the Certified Financial Planning Board of Standards, Inc. the designation is awarded to individuals who successfully complete the CFP Board's rigorous exam, have a college degree, complete a College Level Financial Planning Course, and have passed background checks and continue ongoing annual education programs to sustain their skills and certification. Michael completed his Certificate in Financial Planning from the University of Miami. Michael has his Bachelor of Science degree with a major in Management from Menlo College. He holds his Series 6,7 and 63 through LPL Financial and his Series 65 through Financial Advocates Investment Management. Michael also has his California Life & Health Insurance License #0F17714. Michael is a Calistoga native. He is a member of Kiwanis Club of Napa. When not at Vintage Wealth, you can find him and his wife active at their church, maybe on the golf course, perhaps even fishing or hunting or perfecting his culinary skills on the barbeque at home with family, friends and their two cats, Pinky & Rajah.

About Vintage Wealth Advisors

Vintage Wealth Advisors is an independent, full-service financial planning firm committed to supporting the goals of individuals and business owners in the Napa Valley. As registered representatives of LPL Financial and Investment Advisor Representatives of Financial Advocates Investment Management, the team at Vintage Wealth Advisors provides fee-based advice and a wide array of services that include: comprehensive financial planning, proactive investment management, customized retirement strategies, estate planning, and insurance and annuities.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Insurance Products & Annuities


Qualifications CRD# 5332104
Firm CRD# 304272
Series 7, 66

Compensation/Fee Fee-Only, Flat Fee, Based on Assets


Office Location 4100 Newport Place Dr.,
Ste 255,
Newport Beach,
CA
92660
Phone Number 949-345-1954

Mike's mission is to support and advise his clients on reaching their financial goals. Mike generally works with clients who are corporate executives, small business owners, or are transitioning through a life event (retirement, divorce, inheritance, etc.). From spedning over a decade at a large global bank to founding Veracity Capital, Mike is keenly aware of the risks, rewards, and complexities that his clients face. Mike sees the client and advisor relationship similar to a partnership, where communication, transparency, and preparation are crucial to success. He believes that no two clients have the same financial goals, so no two clients should have the same plan. Because of this, Mike works with a lower number of clients and selectively focuses on those that can benefit from his skill set. As a founding partner of Veracity Capital, Mike also enjoys developing other advisors in the firm and helping them grow. Mike also serves the finance function as CFO of Veracity Capital. Prior to Veracity Capital, Mike spent 11 years working at Goldman Sachs, in the AYCO division where he advised his clients. Mike earned a Bachelor of Science in Business from California State University, Northridge, and an MBA from Chapman University. Outside the office, Mike, his wife Keegan, and two sons, Macklyn and Hendrix, can be found outdoors, playing sports, and traveling.

About Veracity Capital, LLC

Veracity Capital is a wealth management firm that provides customized investment solutions and comprehensive financial planning to business owners, equity-based compensation employees, and individuals transitioning to retirement. Veracity's proprietary financial planning process drives investment decisions aimed to achieve client specific goals. Veracity's depth and breadth of experience allow them to maintain and grow financial and psychological wealth responsibly, focusing on maximizing value and minimizing taxes.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities


Qualifications CRD# 1080259
Firm CRD# 145705
Series 63, 65

Compensation/Fee Fee-Based, Hourly, Commissions, Flat Fee, Based on Assets


Office Location 4540 Kearny Villa Road,
Suite 114,
San Diego,
CA
92123
Phone Number 858-569-0633

R. J. Kelly is Founder and Chief Visionary Officer of Wealth Legacy Group®, Inc. Located in San Diego, CA, WLG has clients in nineteen states and growing. Creator of the proprietary Critical Actions Roadmap, R. J. and the WLG team develop comprehensive plans that maximize investment and asset growth, reduce taxes, mitigate risk, create clarity in family legacy & issues of philanthropy, and facilitate business succession and exit strategies. He has been repeatedly called upon as an expert witness and is skilled in handling delicate interpersonal matters and facilitating family communication. R. J. is a frequent speaker and author. The San Diego Union Tribune, L.A. Times, Yahoo Finance, San Diego Magazine have run feature articles on R. J. or published articles by him, to name just a few. Speaking audiences are many and include: Vistage International Conference and numerous local chapters; Strazzeri/Mancini Gathering; main platform speaker for various national conferences including: Advisors in Philanthropy, Nothing Bundt Cakes, Million Dollar Round Table, NAIFA, and many others. Additionally, R. J. was featured on the PBS series - The Financial Advisors. Read More: https://wealthlegacygroup.com/team/r-j-kelly-financial-advisor-san-diego/ Professional Credentials Explained: https://wealthlegacygroup.com/wp-content/uploads/2021/06/Professional-Credentials-rev-06-01-2021.pdf

About Wealth Legacy Group, Inc.

Our Vision We believe that successful business owners, executives and professionals want and need a comprehensive planning process to ensure the eventual transition and legacy of their business and/or their wealth. Unfortunately, most individuals are too busy running their hectic day-to-day lives and don't take the time to put an integrated and comprehensive plan in place. Our vision is to provide a roadmap to ensure that wealth (which includes: financial, relational, mental, emotional, physical, family, and spiritual wealth) is protected through all stages of the financial life cycle. We bring a unique perspective forged over decades of experience as a multi-disciplinary group. Using our proprietary process built upon trust and clear communication, our perspective encompasses: Asset & risk management - Estate & business transition planning - Retirement & wealth management - Family & employee relationships - Philanthropic & legacy goals Mission Statement We provide a unique and multi-disciplinary planning experience to exceptional entrepreneurs, professionals, executives, and their families using a comprehensive team approach. Value Statement We are committed to being the nation's premier organization for assisting clients in successfully navigating significant business, life, and legacy issues, while creating long-standing and mutually profitable relationships. Our Values Are To ... Provide a warm and welcoming professional experience - Treat our clients, staff and strategic partners with integrity and respect - Develop lasting relationships to help our clients reach their long-term goals - Apply our expert skills, knowledge, and creativity to develop unique and comprehensive solutions - Encourage our clients to make wise philanthropic decisions - Respect our clients privacy by safeguarding personal information - Encourage feedback and initiate positive change - Serve our greater community by engaging in meaningful non-profit activities - Enjoy our team, clients and work environment and have fun in the process! Visit us at: https://wealthlegacygroup.com/

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts, Insurance Products & Annuities


Qualifications CRD# 6524415
Firm CRD# 310341
Series 7, 63, 65

Compensation/Fee Fee-Based, Commissions, Flat Fee


Office Location 1425 W Foothill Blvd.,
Suite 125,
Upland,
CA
91786
Phone Number 909-261-2749

Rick Martinez CFP® is a Passionate and highly experienced Retirement Wealth & Tax Strategist. His goal is always to help his pre-retirees and retirees experience financial peace of mind. Rick works closely with a collaborative team of CPA's, Estate Attorney's, and other Certified Financial Planners with RDM Financial Group. Using the powerful approach of The "Retirement Wealth Maximizer System", He has been able to help his retirees enjoy a comfortable retirement where they are positioned to never run out of money and are also able to leave tax-efficient and tax-free money to their kids, grandkids, and other love ones. Because Rick is passionate about his career, he continues to seek higher education through the University of California, Irvine, and has attained the designation of CERTIFIED FINANCIAL PLANNER. He maintains qualifying state licensing, quality strategic coaching from other experts in the industry, and ongoing training on new laws affecting taxes and retirement investments. Rick is a life-long Californian. He is happily married to his wife Gracie of 25 years and is the proud father of two wonderful daughters Sarah and Chelsee. Rick enjoys family weekend trips to the river and walking his dog's Candy and Max.

About RDM Financial

We understand how important it is for you to be able to trust your Financial and Tax planning team - particularly in the wake of recent, highly publicized corporate failures and investment management misdeeds. Regardless of the direction the stock market and interest rates take in the future, it's important to have a trusted advisory team you can count on to give you the news straight and look after your best interests.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Insurance Products & Annuities


Qualifications CRD# 5326196
Firm CRD# 23131
Series 7, 66

Compensation/Fee Fee-Based, Flat Fee, Based on Assets


Office Location 616 S El Camino Real, Suite H,
San Clemente,
CA
92672
Phone Number 888-902-5999

Ryan is a CERTIFIED FINANCIAL PLANNER (TM) and partner at Gunn Financial Associates since 2008. Ryan holds series 7 & 66 registrations as a registered representative and investment advisor for Royal Alliance Associates, Inc. He is a licensed insurance agent with experience in life, disability and long term care. Ryan graduated in Finance from the David Eccles School of Business at the University of Utah and completed his CFP(R) education through Boston University. Ryan and his firm provide comprehensive wealth planning services to protect and maximize his client's financial resources.

About Gunn Financial Associates/Royal Alliance Associates

Gunn Financial Associates is a financial planning firm providing financial, retirement and investment services to high net worth individuals, families and small business owners. Our firm has over 40 years of experience in financial planning and its elements of accounting, taxes, investments and insurance. We assist clients with analysis and decisions regarding their financial goals and build and preserve their wealth. Financial Planning & Investment services include: Management of retirement & non-retirement investments, retirement income planning, tax planning to reduce income taxes, planning to preserve your assets and income.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts, Insurance Products & Annuities


Qualifications CRD# 2835991
Firm CRD# 155622
Series 65

Compensation/Fee Fee-Based, Hourly, Flat Fee, Based on Assets


Office Location 9900 Research Drive,
Irvine,
CA
92618
Phone Number 877-433-3665

Simon brings 20 years of investment experience to his role as Founder and Chief Executive Officer of TideRock Financial. He specializes in advising wealthy families and high-net worth individuals to help them achieve their long-term investment goals, including estate and heritage planning. As a former Wall Street trader, Simon utilizes his unique investment insight to create globally diversified, tax-efficient portfolios based on solid academic research and an in-depth analysis of economic, political, and social developments around the world. His clients include current and former professionals at the top of their respective fields, including CEOs, entrepreneurs, hedge fund managers, and attorneys. Simon currently serves on the Board of Directors of Saddleback Memorial Foundation. As a member of the Board's Investment Committee, he helps one of Orange County's leading non-profit hospital systems to invest its substantial portfolio and further its mission. Prior to becoming an independent wealth manager, Simon was the Founder and President of his own options trading company on the floor of the American Stock Exchange in New York. There he generated significant profits utilizing risk-averse trading strategies, eventually expanding his company to include traders on the floors of the American Stock Exchange, Chicago Board of Trade and Philadelphia Stock Exchange. Born and raised in New York City, Simon holds a B.A. degree from the University of Michigan with an emphasis on global economics.

About TideRock Financial

TideRock Financial is an independent investment firm providing comprehensive wealth management services to high-net-worth individuals and families, as well as investment management for qualified company 401(k) plans.
Our mission is to give our clients the kind of financial peace of mind that can only come with a strong long-term plan and a trusted advisor. We help our clients find ways to minimize the time they spend on financial and tax matters so they can focus on the things that matter most in their lives.
TideRock Financial is differentiated from other investment advisory firms in its fee-based approach that puts its clients' interests in the forefront of every investment decision. We act as your fiduciary, which means we do not receive any incentives to invest in one financial product or fund over another. Our investment strategy is founded on more than 20 years of trading and investment experience. By accessing institutional-level funds and alternative investment vehicles that are not available to the general public, TideRock Financial creates highly-customized portfolios that are designed to minimize risk and maximize cash flow.

Advisory Services Provided:

Portfolio Management, 401K Rollovers, Wealth Management, Estate Planning & Trusts


Qualifications CRD# 6259423
Firm CRD# 151367
Series 65

Compensation/Fee Fee-Based


Office Location 23622 Calabasas Road, Suite 102,
Calabasas,
CA
91302
Phone Number 805-727-2700

Alano became a financial planner to combine his love of economics with a commitment to help individuals and families grow and preserve their wealth. As Managing Director at Palm Capital Management based in Calabasas, CA, Alano assists many individuals and families living across the United States with their financial planning and investment management. Alano is a CERTIFIED FINANCIAL PLANNER" practitioner, holds a Bachelor of Arts in Communication Studies from the University of San Diego, a Master of Business Administration in Finance from Pepperdine University, a Series 65 securities license, a certification for life, accident and health insurance, and is a member of the Financial Planning Association®. Alano has contributed to the following prominent financial publications: Fox Business News, Forbes, Investopedia, Yahoo Finance, TD Ameritrade's TickerTape, LendingTree, and BankRate. Individuals that Alano services primarily include business owners, retirees, engineers, physicians, real estate professionals, divorcees, and young professionals. Alano also provides strategic advice in alternative investments including real estate, hedge funds, private equity, structured products, and derivatives for qualified clients. Alano strongly believes in investing alongside his clients, and his success is determined by the performance of his clients portfolios. Alano charges a competitive flat annual fee for his services and does not receive any commissions for security trade executions.

About Palm Capital Management

Palm Capital Management is a financial planning and investment advisory firm (a d/b/a of Dynamic Wealth Advisors CRD #151367). Our firm specializes in the management of investment accounts for individuals, families, and small businesses. We are independent fiduciary financial advisors, therefore legally obligated to act in the best interests of our Clients at all times.

Advisory Services Provided:

Financial Advice & Consulting


Qualifications CRD# 3000011
Firm CRD# 290208


Office Location 100 Wilshire Blvd,
Suite 700,
Santa Monica,
CA
90401
Phone Number 310-451-3339

I've always had a passion for managing the details.Having been an executive with large multinational corporations as well as small tech startups, I understand the complexity of stock options, deferred compensation packages, and many other financial issues that confront executives. Being a parent, I understand the issues around education funding for my kids as well as funding my own retirement. Being a son and grandson, I understand the challenges with managing required retirement distributions from qualified retirement vehicles by my parents and grandparents. To read my full bio, click here. Call (310) 451-3339 or click here to schedule a complimentary consultation with Andrew.

About Eddy Financial, LLC

Eddy Financial is a wealth management advisory firm based in Santa Monica, CA. As a boutique firm, we provide tailored comprehensive investment services to individuals and businesses across the country. One of our top tier providers is available to less than 2% of investment professionals. They are a pioneer of quantitatively oriented investment philosophy rooted in rigorous academic research that pursue returns through advanced portfolio design, management, and trading. We have worked with this partner for over a decade. We believe this partnership is indicative of the top flight providers we seek out and collaborate with to provide best in class solutions for our clients.


Qualifications CRD# 4537792
Firm CRD# 131738
Series 65

Compensation/Fee Fee-Only, Flat Fee, Based on Assets


Office Location 7077 Koll Center Parkway,
Suite 120,
Pleasanton,
CA
94566
Phone Number 925-223-8868

Janet is the founder and the president of Sierra Pacific Financial Advisors, LLC (SPFA), an independent fee-only Register Investment Advisory (RIA) that focuses on financial planning, wealth management and corporate retirement planning. Janet oversees operations, client relations, business development and strategic planning for SPFA. She leads the investment committee at SPFA to define comprehensive planning strategies and sophisticated investment solutions for clients. She is also responsible for advanced employer retirement planning for small-to-mid size companies.

About Sierra Pacific Financial Advisors

Sierra Pacific Financial Advisors, LLC (SPFA) is an independent, SEC- Registered Investment Advisory (RIA) firm with offices in Pleasanton, Cupertino and Oakland, California. We are fee-only financial advisors with over 110 years of experience helping clients navigate the complexities of managing their finances. We offer financial planning, investment and corporate retirement planning for individuals, families and corporate clients. At SPFA, we take time to listen carefully and identify your life goals, needs and priorities. We then develop a comprehensive financial plan that helps you address your important objectives for retirement, college planning, investment, tax minimization, equity reward strategies, wealth transfer, and other financial objectives. We provide recommendations for plan implementation, continuously work with our clients to identify gaps in the plan as their lives evolve. We demonstrate our distinct expertise in the following areas: " Retirement Distribution Planning with Tax Optimization Strategies for Pre-and-Post Retirees " Tax-aware Strategies of Diversifying Concentrated Stock Positions for Corporate Executives " Core-and-Satellite Investment Strategy for High-Net-Worth Individuals " Tax-advantaged Corporate Retirement Planning for Business Owners and Doctors with Private Practices Serving as fiduciaries, SPFA provides unbiased financial advice with a singular focus on serving clients best interests. Our mission is clear: guide clients to live the life of their dreams through prudent planning and management of their financial resources.


Qualifications CRD# 5750237
Firm CRD# 158857
Series 65, 66

Compensation/Fee Fee-Only, Based on Assets


Office Location 620 Newport Center Drive,
Suite 1100,
Newport Beach,
CA
92660
Phone Number 949-674-5190

Born in Atlanta and raised in Orlando, Jeff comes from a very close-knit family, where he was the youngest of four children. As an undergrad, he majored in economics at Rollins College, where he also played baseball and later completed his MBA in finance and management. Prior to joining Westmount, Jeff was a financial advisor at Raymond James before eventually relocating to Laguna Beach to serve as vice president at Telos Capital Management. Today, as a senior advisor at Westmount, Jeff applies his sharp investing skills to help clients reach their financial goals, working closely with the rest of our advisory team to develop highly personalized plans that bring clarity to his clients' lives. Outside the office, Jeff likes to travel, spend time outdoors and play tennis in Laguna Beach, where he lives with his wife and two children.

About Westmount Asset Management

Based in Los Angeles, Westmount Asset Management is an independent investment advisory firm that helps individuals, families, foundations and endowments manage, protect and grow their wealth. Westmount excels in identifying compelling alternative investment opportunities that complement more traditional asset classes. Coupled with personalized financial planning tools and strategies, Westmount clients benefit from our team's depth of experience, conflict-free advice and 30-year investment track record. As one of LA's oldest registered investment advisors, Westmount and its professionals have repeatedly been recognized in various local and national publications, including Barron's, the Financial Times, InvestmentNews and more.

Advisory Services Provided:

Financial Planning, Portfolio Management, Portfolio Management, Retirement Planning, Retirement Planning, 401K Rollovers, Wealth Management, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management


Qualifications CRD# 4857126
Firm CRD# 158857
Series 65

Compensation/Fee Fee-Only, Based on Assets


Office Location 2049 Century Park East,
Suite 2500,
Los Angeles,
CA
90067
Phone Number 310-556-2502

Michael was born in Santa Monica and raised outside Philadelphia. At Georgetown, he double-majored in finance and small business management. Somehow, he found time to play varsity baseball, too. After college he worked for Vanguard, improving their mutual fund accounting programs. Then he moved to California, joined Alliance Bernstein, and participated in one of the industry's most esteemed advisor training programs.
After earning his MBA at UCLA, Michael joined Westmount in 2011, attracted by a culture of people "humble and intellectually curious, yet courageous enough to blaze a new independent trail in our industry." He credits his grandfather, who emigrated from Italy as a young man and opened a shoemaking business in Elizabeth, New Jersey, for inspiring many of the personal financial principles he still operates by today.

About Westmount Asset Management

Established in 1990, Westmount Asset Management is a fee-only investment advisory firm blending institutional portfolio management strategies with a wide range of consulting and planning services. Our diversified investment approach manages risk while seeking superior returns across global financial markets. Our clients include high net-worth individuals, pension plans, foundations and endowments. Westmount has repeatedly been named by one of the top wealth advisors in the country by Barron's and Financial Times magazine.

Advisory Services Provided:

Financial Planning, Portfolio Management, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management


Qualifications CRD# 5848722
Firm CRD# 174092
Series 7, 66

Compensation/Fee Fee-Only, Flat Fee, Based on Assets


Office Location 2030 Main St,
13th Floor,
Irvine,
CA
92614
Phone Number 855-963-2526

Michael Jensen has been helping individuals and families meet their financial goals for 10 years. He is the Managing Director of Falcon Wealth Planning where he works directly with clients and leads the team in Falcon's Irvine offices. Michael aligns his clients' life and wealth by helping them navigate all critical financial events to make informed financial decisions to live the life they want. As a CFP®, he aims to take the mystery out of retirement by answering questions with a direct, personalized approach. Prior to joining Falcon Wealth Planning, Michael served as a Wealth Advisor for a national financial planning firm. He began working as an advisor for Merrill Lynch after graduating from the University of Southern California (USC) Marshall School of Business. Michael takes on pro bono financial planning engagements aimed to help people who are behind on retirement savings or burdened by debt to improve their quality of life and put them on a path towards financial independence. Outside of work he is an avid sports fan, enjoys playing golf and spending time with friends and family. Michael lives in Laguna Niguel, California with his wife Brooke and goldendoodle Kaia.

About Falcon Wealth Planning, Inc.

Raise Your Expectations Falcon Wealth Planning specializes in providing objective financial planning to help clients build, manage, grow, and protect their assets through life's transitions. Falcon Wealth is a NAPFA-Registered Financial Firm and are CERTIFIED FINANCIAL PLANNER Professionals who help clients across the country. ABOUT FALCON WEALTH Most people do not know what to do with their money. They don't want to make risky decisions, pay high fees, or invest in products that are not tax beneficial. The financial planning industry doesn't make it easy. It is fraught with distrust and far too often clients are sold products and services by brokers trying to land a sale. Falcon Wealth Planning is different. WE DON'T TRY TO SELL YOU ANYTHING OR CHARGE HIDDEN FEES. TRUST. TRANSPARENCY. These values are integral to providing comprehensive services to help you achieve your goals. They are values we live by here at Falcon Wealth Planning. With more than 30 years of experience, we dedicate our services to prepare creative solutions tailored specifically to you.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts


Qualifications CRD# 5910316
Firm CRD# 111167

Compensation/Fee Fee-Based


Office Location 644 North Santa Cruz Ave Suite 4,
Los Gatos,
CA
95030
Phone Number 888-242-6766

Allegra Swan, CFP®, is an advisor in Allworth’s Los Gatos office. Raised in nearby Saratoga, California, Allegra is a CERTIFIED FINANCIAL PLANNER™ professional who graduated from the University of California, Santa Barbara. Allegra’s primary role involves developing, implementing, and reviewing clients’ financial plans and investment strategies. In her spare time, Allegra enjoys mountain biking and hiking, and has long served as a mentor with Big Brothers and Big Sisters of America for the Santa Cruz County chapter.

About Allworth Financial

Based out of Sacramento, California, Allworth Financial is an independent financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement. The firm, which was founded in 1993, has grown to serve more than 12,000 clients and manages over $10 billion in client assets.

Advisory Services Provided:

Retirement Planning, Tax Advice and Services, Estate Planning & Trusts


Qualifications CRD# 4622383
Firm CRD# 10205
Series 6, 7, 24, 26, 63, 65

Compensation/Fee Fee-Based, Hourly, Commissions, Flat Fee, Based on Assets


Office Location 4225 Executive Square Suite 600,
La Jolla,
CA
92037
Phone Number 858-784-1513

Andrew Chabot has been in the financial services industry for over 15 years. Andrew is a CERTIFIED FINANCIAL PLANNER professional and takes pride in helping his clients pursue their goals in life. He specializes in growing and preserving his client's wealth and helps his clients make better decisions. Andrew earned his BA in Marketing and has also earned an MBA. He currently holds FINRA Series 6, 7, 24, 26, 63 and 65 FINRA registration as well as Life / Health / Property and Casualty Insurance licenses.

About Rancho Wealth Management

I am a local, independent, CERTIFIED FINANCIAL PLANNER and specialize in growing and more importantly preserving wealth for my clients. As a long-term investor, you are faced with a wide array of financial considerations. You may need to provide financial assistance for a child's college education or help support a loved one. In addition, you must prepare for your own retirement as well as consider what's to be done with your estate after you are gone. You are confronted with a growing number of investment and insurance products and services. Should you invest in mutual funds, annuities, individual securities, or a comprehensive asset management program. Add up all of these important considerations and your need for competent, objective financial guidance has never been greater. This is where I come in. I help you make better decisions.


Qualifications CRD# 6211526
Firm CRD# 111167

Compensation/Fee Fee-Based


Office Location 1550 The Alameda, Suite 125,
San Jose,
CA
95126
Phone Number 888-242-6766

Andrew Kessler is a CERTIFIED FINANCIAL PLANNER™ professional, who pursued a career in financial planning as a result of his passion for helping others. He aspires to share his knowledge, create plans for the future and ease financial anxieties for all the clients he serves. Andrew is a graduate of the University of Massachusetts, and proud to be part of the Allworth Financial team. He lives in the East Bay with his wife Whitney and foster dogs.

About Allworth Financial

Based out of Sacramento, California, Allworth Financial is an independent financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement. The firm, which was founded in 1993, has grown to serve more than 12,000 clients and manages over $10 billion in client assets.

Advisory Services Provided:

Retirement Planning, Tax Advice and Services, Estate Planning & Trusts


Qualifications CRD# 5847634
Firm CRD# 104510
Series 66

Compensation/Fee Fee-Based


Office Location 3570 Carmel Mountain Road,
Suite 450,
San Diego,
CA
92130
Phone Number 858-345-4254

In my career to this point, I have worked with thousands of families to help them create plans designed to simplify and improve their financial lives. In my time away from work, I love to play sports and spend time at the beach with my wife and two boys.

About Edelman Financial Engines, LLC

Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.


Qualifications CRD# 4866465
Firm CRD# 104510
Series 65

Compensation/Fee Fee-Based


Office Location 2400 E. Katella Ave.,
Suite 410,
Anaheim,
CA
92806
Phone Number 714-841-0982

Joined Edelman Financial Engines in 2015. Began his career in the financial services industry in 2005. Successfully completed the Series 6, 7, 63, 65 and 66 examination(s) administered by FINRA. Earned the Certified Financial Planner (CFP®) certification(s). Bachelor of Science in Technology, Bowling Green State University.

About Edelman Financial Engines, LLC

Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.


Qualifications CRD# 4816123
Firm CRD# 104510
Series 66

Compensation/Fee Fee-Based


Office Location 3950 Civic Center Drive,,
Suite 315,
San Rafael,
CA
94903
Phone Number 415-941-4905

I've been a financial planner since 2005, and in that time, I've helped countless clients think through their lifelong goals and enable them to follow a smart and well-developed plan to achieve their financial milestones. Outside of work, I'm either spending time with my family, walking my dogs, hiking, traveling, watching movies, reading a book, gardening, or working on a DIY project at home.

About Edelman Financial Engines, LLC

Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.


Qualifications CRD# 1934091
Firm CRD# 8032
Series 7, 63

Compensation/Fee Fee-Based, Hourly, Commissions, Flat Fee, Based on Assets


Office Location 700 Larkspur Landing Circle, Suite 199,
Larkspur,
CA
94939
Phone Number 415-785-4540

David Roggenkamp has been in the investment advisory business for 31 years. His practice is focused on investment management for individuals and small businesses, including retirement plans. David also provides fee-based consulting guidance on retirement plan investments, education, fiduciary obligations for various types of trusts and qualified plans. He holds FINRA Series 7, 63 securities registrations through Commonwealth Financial Network® and is a certified Chartered Financial Consultant (ChfC). David was appointed Chartered Financial Consultant® (ChFC®) in 2000 from the American College in Bryn Mawr, Pennsylvania. The ChFC certification is a nationally recognized accreditation, demonstrating proficiency eight key areas of practice: investment analysis, capital markets, retirement planning, financial planning, investment risk management and succession planning for business owners and professionals, income tax law, and estate planning. The certification is a recognized standard for investment proficiency and fiduciary ethics in financial planning.David is involved in on-going education to affirm his ChFC certification as well as broker/dealer and regulatory agency education requirements. His immediate prior affiliations include: John Hancock Inc., Transamerica Investment Advisors Inc. David is a 1987 graduate of Kenyon College. David works and lives in Marin County, California, and has resided with his family in the San Francisco Bay area since 1988. References furnished upon request.

About Commonwealth Financial Network

Commonwealth wants you to succeed! Working with us will help you achieve financial independence. Together, we'll implement and monitor a comprehensive process for managing assets and can advise you on most other aspects of your financial life. We typically establish lifelong client relationships. Client references furnished upon request. https://www.davidroggenkamp.com/


Qualifications CRD# 6711825
Firm CRD# 104510
Series 66

Compensation/Fee Fee-Based


Office Location 3945 Freedom Circle, Suite 950,
Santa Clara,
CA
95054
Phone Number 408-565-8572

As a financial planner, I have the privilege of helping individuals and families achieve their personal and financial goals. By addressing your concerns and understanding what is most important to you, I will develop a comprehensive financial plan to help guide you through every stage of life. Outside of work, my wife, Kathy, and I spend a lot of time cooking, working out, and searching for our next dog to adopt (Boston terrier or Saint Bernard or both).

About Edelman Financial Engines, LLC

Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.


Qualifications CRD# 1095790
Firm CRD# 104510
Series 65

Compensation/Fee Fee-Based


Office Location 2175 North California Boulevard,
Suite 800,
Walnut Creek,
CA
94596
Phone Number 925-660-4720

Office Location 4301 Hacienda Drive, Suite 100,
Pleasanton,CA 94588
Phone Number 925-660-4720

I work with my clients in crafting a roadmap that helps them create, grow, protect and distribute their wealth in a tax-advantaged manner so they can achieve their financial goals. As a fiduciary, I provide my clients with unconflicted advice and strategies that are in their best interests. And as their lives change, my responsibility is to look at their situations, goals, and futures and help them take the necessary steps so they and their families have a greater sense of security and peace of mind. I grew up in Hawaii in a blue-collar family, and like most people, they lacked financial literacy. My purpose and passion are to help my clients avoid some of the common mistakes that my parents made in planning.

About Edelman Financial Engines, LLC

Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.


Qualifications CRD# 2673236
Firm CRD# 111167

Compensation/Fee Fee-Based


Office Location 8775 Folsom Blvd Suite 100,
Sacramento,
CA
95826
Phone Number 888-242-6766

Kevin Duffy is a CERTIFIED FINANCIAL PLANNERprofessional with over 25 years of financial sector and advisory experience. He holds a Master of Science degree in Finance from George Washington University in Washington, DC. In his spare time, Kevin skis, plays the violin, and volunteers in the Sacramento region at various community organizations.

About Allworth Financial

Based out of Sacramento, California, Allworth Financial is an independent financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement. The firm, which was founded in 1993, has grown to serve more than 12,000 clients and manages over $10 billion in client assets.

Advisory Services Provided:

Retirement Planning, Tax Advice and Services, Estate Planning & Trusts


Qualifications CRD# 4625718
Firm CRD# 104510
Series 66

Compensation/Fee Fee-Based


Office Location 600 Anton Blvd,
Suite 1750,
Costa Mesa,
CA
92626
Phone Number 657-212-3060

With a lifelong curiosity about financial markets and a love of people, being a financial planner has been the perfect calling for me. I get satisfaction from helping my clients achieve their life dreams and create financial security. In my free time, I'm constantly on the go, spending time with family, exploring the outdoors, enjoying live music and cooking.

About Edelman Financial Engines, LLC

Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.


Qualifications CRD# 2484827
Firm CRD# 153188
Series 65

Compensation/Fee Fee-Only


Office Location 3020 Old Ranch Parkway,
Suite 300,
Seal Beach,
CA
90740
Phone Number 562-799-5595

Matthew V. Pixa is the President and founder of My Portfolio Guide, LLC. Matt Pixa grew up in the San Francisco Bay Area and at a very young age learned from a World War II Veteran father who grew up in the Great Depression that money and resources are to be managed prudently. Matt's curiosity and passion for investing was further sparked during the stock market crash of 1987. Being a new investor without any guidance and coupled with the dramatic events of that period, an interest and passion for becoming a student of the markets was born. Matt studied Economics and earned a Bachelor's degree while also competing as a student-athlete for California State University Long Beach. After advancing his career for 12 years he decided to return to graduate school and further his business and finance education by earning an MBA from the W.P. Carey School of Business at Arizona State University. Matt Pixa lives in Seal Beach, CA with his wife Cecilia, daughter Isabel, and son Lance. As a family the Pixas are involved in several Orange County charities, through their church at Saint Joseph, and with several non-profits such as Care for the Poor and Taller San Jose. Matt enjoys coaching youth sports for his children's teams and also competes in Ironman triathlons as a way to stay fit, disciplined, and blow off any left over energy.

About My Portfolio Guide

Every financial advisor should differentiate itself from the competition but how many truly do? As mentioned on our Welcome page, My Portfolio Guide promises to improve your current portfolio and how it's being managed. Any prudent consumer should shop around and we actually encourage you to do so. What you'll find is that no other financial services firm can beat the combination of our ethics, portfolio discipline, and fee structure. If you find one, tell us! Along with this promise to you, here is what sets us apart: NO HIDDEN COMMISSIONS OR FEES (FEE-ONLY COMPENSATION) A FIDUCIARY OBLIGATION PUTTING THE CLIENTS INTERESTS FIRST (ask your current advisor to provide this in writing... we will!) INDEPENDENCE FROM ANY WALL STREET FIRM, INSURANCE, OR INVESTMENT COMPANY FULL DISCLOSURE ENSURING ZERO CONFLICT OF INTEREST LOWEST FEE SCHEDULE FOR CUSTOMIZED INVESTMENT GUIDANCE ONE POINT OF CONTACT YET SUPPORTED BY A WORLD CLASS INSTITUTIONAL SERVICE TEAM ACCESS AND DELIVERY OF UNBIASED RESEARCH COUPLED WITH A CUTTING EDGE TECHNOLOGY PLATFORM A WRITTEN AND PERSONALIZED INVESTMENT POLICY STATEMENT FOR EACH CLIENT PERSONALIZED PORTFOLIO MODELS ENGINEERED AROUND YOUR RISK TOLERANCE AND GOALS INVESTMENT AND RISK MANAGEMENT DECISIONS DRIVEN BY STRATEGIC AND TACTICAL ASSET ALLOCATION CUSTOMIZED INVESTMENT GUIDANCE; NO PASSIVE? BUY AND FORGET? OR BOILERPLATE SOLUTIONS PERIODIC INVESTOR EDUCATION SERIES FOR EXTENDED FAMILY, FRIENDS, AND COLLEAGUES ULTRA RESPONSIVE, SEAMLESS, ONE-STOP WORLD CLASS SERVICE So... Why My Portfolio Guide? Ask yourself if your current advisor addresses and meets ALL of the above criteria?


Qualifications CRD# 4699319
Firm CRD# 129803
Series 65

Compensation/Fee Fee-Only, Based on Assets


Office Location 600 West Broadway, Suite 225,
San Diego,
CA
92101
Phone Number 619-286-3930

Michael has over two decades of experience in investment management. Prior to joining TriVant, Michael worked as a trader, research analyst and portfolio manager at two Southern California-based high net worth investment firms. Michael has been a San Diego resident for his entire life. He earned his undergraduate degree from the University of California, Los Angeles and his MBA from San Diego State University. He holds the Chartered Financial Analyst (CFA) designation and is a member of the CFA Institute and the CFA Society of San Diego. He also has a CFP certification from the Certified Financial Planner Board of Standards. Michael lives in La Mesa with his wife, Cindi, and has two grown children who live in Southern California as well. Michael is very active in the San Diego community. He is currently serving on the Home of Guiding Hands Board of Directors as the Treasurer. He previously served on the board of directors for Sports 4 Exceptional Athletes and as a governing board member for Helix Charter High School.

About TriVant Custom Portfolio Group, LLC

We are long-term investors that have a record of providing a good return and good service to our clients. We are transparent in how we serve our clients. We make understandable investments in publicly- traded assets. We never tie your money up in illiquid assets, annuities or private equity. You always have access to your money when you need it. Our clients have security in knowing their assets are held at Charles Schwab where they can review their accounts at any time. Our statements clearly show your investments, their values and your performance. By operating transparently, we give our clients peace-of-mind showing them that we invest in a straight-forward manner and that we are advising in their best interest.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Education Funding and Planning, Financial Planning for Individuals, Investment Advice & Management, Estate Planning & Trusts


Qualifications CRD# 4453802
Firm CRD# 104510
Series 65

Compensation/Fee Fee-Based


Office Location 225 South Lake Avenue,
Suite 1185,
Pasadena,
CA
91101
Phone Number 626-768-2972

As a financial planning professional, I recognize that my role is not only that of an advisor, but also a coach, confidante and friend. My goal is to improve my clients' financial well-being and help them to achieve quality of life now and in retirement by tailoring meaningful solutions to their unique situations. Outside of work, I enjoy spending time with my husband, son and daughter. We love to travel, explore new places, read, learn, stay active and spend time outdoors.

About Edelman Financial Engines, LLC

Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.


Qualifications CRD# 4890912
Firm CRD# 111167

Compensation/Fee Fee-Based


Office Location 3017 Douglas Blvd,
Roseville,
CA
95661
Phone Number 888-242-6766

Tad Doughty holds the Certified Fund Specialist (CFS) and Chartered Financial Consultant (ChFC) designations, and has been with Allworth Financial for 15 years. A native of Sacramento, CA, he is a direct descendant of Declaration of Independence signee, John Hart. Tad lives with his wife Stephanie in Sacramento, California.

About Allworth Financial

Based out of Sacramento, California, Allworth Financial is an independent financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement. The firm, which was founded in 1993, has grown to serve more than 12,000 clients and manages over $10 billion in client assets.

Advisory Services Provided:

Retirement Planning, Tax Advice and Services, Estate Planning & Trusts


Qualifications CRD# 5981078
Firm CRD# 111167

Compensation/Fee Fee-Based


Office Location 8775 Folsom Blvd Suite 100,
Sacramento,
CA
95826
Phone Number 888-242-6766

Ted Smalling is a CERTIFIED FINANCIAL PLANNER™ professional, and holds an MBA from the Keller Graduate School of Management. A native of Sacramento, CA, before embarking on an advisory career, Ted spent 25 years as a small business owner. An avid golfer, Ted lives with his family in Elk Grove, California.

About Allworth Financial

Based out of Sacramento, California, Allworth Financial is an independent financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement. The firm, which was founded in 1993, has grown to serve more than 12,000 clients and manages over $10 billion in client assets.

Advisory Services Provided:

Retirement Planning, Tax Advice and Services, Estate Planning & Trusts


Qualifications CRD# 6154134
Firm CRD# 104510
Series 66

Compensation/Fee Fee-Based


Office Location 2901 Douglas Blvd Suite 250,
Sacramento I - Roseville (East),
Roseville,
CA
95661
Phone Number 916-462-5220

I'm a dedicated financial planner who loves to educate my clients and help them achieve their financial goals. My entire family lives in Northern California, and even though I've lived and worked in California and Arizona, Northern California has always been my home. I'm happily married to my wife, Belinda, and we welcomed our first child, Lukas, in 2021.

About Edelman Financial Engines, LLC

Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.


Qualifications CRD# 2665577
Firm CRD# 30833
Series 6, 7, 63

Compensation/Fee Fee-Based, Hourly, Flat Fee, Based on Assets


Office Location 18662 Macarthur Blvd,
Suite 200,
Irvine,
CA
92612
Phone Number 949-631-3840

About Centaurus Financial

We help our clients accomplish their financial goals. We customize our clients investments and financial plans to to help them meet their individual needs. The real benefit of using our firm is that our clients feel their financial dreams will be accomplished and that we are there to provide service as their needs change.


Qualifications Firm CRD# 106056

Compensation/Fee Fee-Only


Office Location 250 Oak Grove Ave,
2nd Floor Suite A,
Menlo Park,
CA
94025
Phone Number 650-451-3410

Value Monitoring Inc (VMI) is a family run financial planning and investment management firm. Dave and Mark Levenson are the company's owners and principal financial advisors. VMI was started by their father in the 80's, and they have worked together as a family since the early 2000s. Over the years, VMI has developed a broad range of financial products and strategies for use in investment portfolio construction, tax planning, and retirement and estate plan designs. Dave is a CERTIFIED FINANCIAL PLANNER™. Mark has a series 7 and is licensed to sell insurance, though VMI only consults on insurance products, we do not sell them. VMI works closely with clients to generate customized financial plans and to help find or create the right investment vehicles, insurance products, and other financial tools to fulfill those plans. At VMI we are not money managers who do financial planning, we are financial planners who manage money. Figuring out how to make our clients' lives better, smoother, and easier is at the center of everything we do.

About Value Monitoring Inc.

Deep Relationships built on mutual trust and respect are key to success. Those who work with us will tell you that we are responsive as well as proactive, and that we communicate honestly. Our team is passionate and thorough in how we assess our clients' financial goals.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts, Insurance Products & Annuities


Qualifications CRD# 6281487
Firm CRD# 104510
Series 66

Compensation/Fee Fee-Based


Office Location 21550 Oxnard Street,
Suite 950,
Woodland Hills,
CA
91367
Phone Number 818-450-8186

Achieving results and exceeding expectations with a competent, solutions-oriented approach has been an anchor of my success in financial planning. I have a passion for helping others that has driven my career choices from a degree in law enforcement, professional experience as a corrections officer, and eventually, leading to a career shift to financial planning.

About Edelman Financial Engines, LLC

Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.


Qualifications CRD# 6808832
Firm CRD# 6413
Series 7, 66

Compensation/Fee Fee-Based, Commissions, Flat Fee, Based on Assets


Office Location Grover Beach,
Grover Beach,
CA
93433
Phone Number 312-819-2408

About The AdvisoryOne Group

The AdvisoryOne Group is an experienced financial planning organization focused on goal pursuit through concierge services for an engaged clientele. We accomplish our vision by remaining true to our values. We strive to make the ideal real, while recognizing the certainty of change in the lifetimes of our clients, ourselves, and our firm.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts, Insurance Products & Annuities


Qualifications CRD# 5741663
Firm CRD# 135281
Series 63, 65

Compensation/Fee Fee-Only


Office Location 21600 Oxnard Street Ste 1755,
Woodland Hills,
CA
91367
Phone Number 818-309-4065

About Dash Investments

The Retirement Planning Experts for Over 20 Years. Dash Investments offers Comprehensive Financial Planning, Retirement Planning, and Investment Management services. Dash is a fee-only Independent Fiduciary Investment firm recently featured by "Money Magazine" as one of the top advisors in the country and has also been featured in Forbes, Wall Street Journal, and numerous other publications. Client portfolios are personally overseen by our Executive Investment Committee, a team with over 50 years of combined experience. Heading the committee is Founder & Chief Investment Officer Jonathan Dash. Mr. Dash graduated from the University of Southern California in Finance and has also completed numerous Executive Programs at both Harvard Business School and Columbia Business School covering Corporate Restructuring, Financial Analysis, and Valuation. Our Philosophy is that each client deserves individual attention and proactive service. We want to be a partner in your success. Now also welcoming investors to our newest location at 4849 Greenville Avenue Ste 100, Dallas, TX 75206.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Estate Planning & Trusts


Qualifications Firm CRD# 144316

Compensation/Fee Fee-Only, Flat Fee, Based on Assets


Office Location 3131 Camino del Rio N,
Suite 1550,
San Diego,
CA
92108
Phone Number 619-814-4100

About Pure Financial Advisors, LLC

Pure Financial Advisors, LLC is a fee-only Registered Investment Advisor providing comprehensive retirement planning services and tax-optimized investment management. A pure business model was the vision, and Pure Financial Advisors became the reality. Doors opened for business in 2007 with no clients, negative revenue, and zero assets under management. Within just fifteen years of the firm's opening, Pure Financial surpassed $4.08 billion in client assets under management (as of February 22, 2022) and is currently helping over 3,400 clients plan for their future. The foundation of Pure's planning is rooted in decades of time-tested research. Pure Financial looks to financial science as the guiding light to form our strategies, gaining insights and inspiration from the work of Nobel laureates. As the world continues to evolve, Pure continues to learn. Pure Financial puts education at the core of everything we do. We strive to be a financial resource that people can turn to when they need a helping hand. Pure Financial collaborates with leading academics to provide education on financial strategies that work in the real world. Join us at our next educational event or talk to an advisor today to find out how we can help you reach your financial goals.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management


Qualifications Firm CRD# 155172

Compensation/Fee Fee-Based


Office Location 250 Montgomery Street,
Suite 700,
San Francisco,
CA
94104
Phone Number 650-556-1310

Office Location 3 Lagoon Drive,
Suite 200,
Redwood City,CA 94065
Phone Number 650-556-1310

Office Location ---,
Los Angeles,CA 90012
Phone Number 650-556-1310

Office Location 250 Montgomery Street,
Suite 700,
San Francisco,CA 94104
Phone Number 855-855-8005

About Personal Capital

Ready to take control of your finances? Personal Capital is here to help. We have objective fiduciary advisors ready to analyze your financial situation, and help you build a personalized, holistic plan.

The holistic financial plan recommendation is yours to keep, no strings attached.

There's never been a better time to get a second opinion on your financial future. Schedule a call with Personal Capital today.

WHY USE PERSONAL CAPITAL

Personal Capital provides a unique combination of award-winning financial tools and personalized, human advice.

Work with our team of licensed fiduciary advisors to build a free Personalized Plan that's yours to keep. You and your advisor will use our comprehensive array of free money management tools to identify and alert you to opportunities for investment management, retirement planning, and cash flow.

Setting up your dashboard will make your discussion with an advisor -- whether ours or a competitor's -- more productive. And it's completely free to get started:

  1. Customization begins by learning about your entire financial situation and goals. Use our free dashboard to get a 360-degree view of your money and see all your accounts in one place, including your investments. And go deeper with our planning and analytics tools.
  2. Our team of licensed fiduciary advisors understands that every investor is unique. With the dynamic tools, work with your advisor to build a complimentary Personalized Plan that is yours to keep, whether you decide to work with us or not.
  3. Get Wealth Management custom-tailored to your unique situation. Together, we design a portfolio that's based on your preferences, and what stage you are in your life. We charge one all-inclusive management fee at a fraction of the cost of traditional financial institutions. There are no hidden fees, no trailing fees and no trade commissions.

Personal Capital Advisors Corporation ("PCAC") compensates WiserAdvisor ("Company") for new leads. ("Company") is not an investment client of PCAC.

Advisory Services Provided:

Portfolio Management, Wealth Management


Qualifications Firm CRD# 136806


Office Location 3450 Geary Blvd, Ste 203,
San Francisco,
CA
94118
Phone Number 800-366-8700

About Vision Capital Investment Management

Vision Capital Investment Management is a Registered Investment Advisor that has been providing investment advice and management services for over fifteen years. We serve investors all over the country; however, most of clients come from the San Francisco Bay Area, California and the west coast. We manage investment portfolios of individuals, families, non-profits, and businesses in a customized way that takes into account each client's financial needs and goals, risk tolerance levels, and life-value goals. We work with clients to incorporate financial planning into the overall mix of the investment management plan. Our focus is to provide a highly competitive financial return, help clients achieve financial goals, practice with a high standard of ethics that inspires trust, and provide a high quality personalized customer relationships. We use a disciplined approach to investing with a style that blends value and growth. We focus on research and portfolio management, risk management to reduce risk, understanding of each client's specific situation and needs, and communicating with clients in a regular and highly personalized way. We also have years of experience working with clients who want to practice socially responsible investing to fit their values, whether for environmental-sustainability or corporate governance reasons.


Top Financial Advisor Firms in California (Ranked by AUM)

Firm Name AUM No. of Clients Fee Structure
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC
650 Newport Center Drive,
Newport Beach, CA 92660
$2,615,063,433,625 2527 A percentage of AUM
Performance Based
WILSHIRE ADVISORS LLC
1299 Ocean Avenue Suite 700,
Santa Monica, CA 90401-1085
$96,494,557,024 574123 A percentage of AUM
Fixed fees
Performance Based
Other (FEE BASED ON NUMBER OF PLAN PARTICIPANTS; REVENUE SHARE)
BRANDES INVESTMENT PARTNERS, LP
4275 Executive Square, 5th Floor,
La Jolla, CA 92037
$20,199,234,840 4692 A percentage of AUM
Fixed fees
Performance Based
FLAHERTY & CRUMRINE INCORPORATED
301 E Colorado Blvd , Suite 800,
Pasadena, CA 91101-1911
$4,862,553,227 18 A percentage of AUM
UNIONBANC INVESTMENT SERVICES, LLC
800 N. Brand Boulevard , 16th Floor,
Glendale, CA 91203
$1,907,750,574 5203 A percentage of AUM
THE PATTERSON CAPITAL CORPORATION
11100 Santa Monica Blvd , Suite 1950,
Los Angeles, CA 90025
$1,244,627,751 12 A percentage of AUM
B.B. GRAHAM & COMPANY, INC.
1700 W. Katella Ave.,
Orange, CA 92867
$322,028,638 740 A percentage of AUM
Hourly charges
Fixed fees
HOERTKORN RICHARD CHARLES
1112 Sir Francis Drake Blvd.,
Kentfield, CA 94904-1419
$265,639,800 204 A percentage of AUM
Hourly charges
FELL CAPITAL MANAGEMENT
1001 Dove Street, Suite 230,
Newport Beach, CA 92660
$165,000,000 256 A percentage of AUM
Hourly charges
Fixed fees
Performance Based
G.W. SHERWOLD ASSOCIATES, INC.
22994 El Toro Rd,
Lake Forest, CA 92630
$155,652,602 991 A percentage of AUM
Hourly charges
PAINTER, SMITH AND AMBERG INC.
1200 California Street , Suite 220,
Redlands, CA 92374-2948
$134,958,931 420 A percentage of AUM
SPECTRUM CAPITAL MANAGEMENT
13620 Lincoln Way , Suite 290,
Auburn, CA 95603-3264
$128,113,002 63 A percentage of AUM
WULFF, HANSEN & CO.
100 Smith Ranch Road , Suite 330,
San Rafael, CA 94903
$125,907,535 132 A percentage of AUM
Hourly charges
Fixed fees
ALPHA & OMEGA
8580 La Mesa Blvd Ste 100,
La Mesa, CA 91942
$19,239,924 227 A percentage of AUM
Hourly charges
Fixed fees
PORTFOLIO MANAGEMENT TECHNOLOGY
4630 Geary Blvd #304,
San Francisco, CA 94118
$0 0 Hourly charges
Fixed fees

    List of Additional Advisors in California*

    * Additional advisors listing is provided in partnership with Yext

    Financial Advisor Office Location Phone Number
    2E Wealth Management
    Inquire with 2E
    140 South Chaparral Court, Suite 130, Anaheim, CA  92808 714-998-8200
    Alice Larisa Wilms
    Inquire with Alice
    2882 Sand Hill Rd, Ste 200, Menlo Park, CA  94025 650-234-5106
    401K Engineers
    Inquire with 401K
    1227 Pleasant Grove Boulevard, Suite 200, Roseville, CA  95678 916-297-6394
    Andrew T Dunnigan
    Inquire with Andrew
    2365 Iron Point Road, Ste 235, Folsom, CA  95630 916-984-3322
    Bill Bastien
    Inquire with Bill
    100 Wilshire Blvd, Ste 1900, Santa Monica, CA  90401 310-319-5242
    Andy Lee
    Inquire with Andy
    555 California Street, 14th, Fl, San Francisco, CA  94104 650-234-5938
    Andrew Basch
    Inquire with Andrew
    10960 Wilshire Blvd, Ste 2000, Los Angeles, CA  90024 310-443-0538
    Alex Pulido
    Inquire with Alex
    101 California St 23rd, Fl, San Francisco, CA  94111 415-693-6067
    Bruce Denker
    Inquire with Bruce
    750 Lindaro St, Suite 300, San Rafael, CA  94901 415-451-1437
    American Wealth Management
    Inquire with American
    765 Baywood Dr., Ste. 225, Peteluma, CA  94954 707-763-1330
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      Financial advisors help their client by providing financial advice and strategy to build wealth and eliminate risk. They assess the client's risk appetite, their unique needs and requirements, their short-term and long-term goals and guide them towards adopting the right financial plan, retirement plan, estate plan or education plan etc. as necessary. Learn more about the roles & benefits of a financial advisor.

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