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Qualifications of Financial Advisor in California

Each and every financial advisor in our network from large Fortune 500 companies to small independent financial firms are pre-screened for industry experience, disclosures and registrations with SEC and FINRA. Collectively, our Pre-Screened advisors, serve thousands of happy clients, managing billions of dollars and providing financial freedom and security for families and individuals like you.

List of Financial Advisors in California
Financial Advisor Office Location Phone Number
David Kim,
Vision Capital Investment Management
3450 Geary Blvd, Ste 203,
San Francisco, CA  94118
(800) 366-8700
Eric Pritz, CFP®,
Signature Estate & Investment Advisors
1848 S. Elena Avenue,
Redondo Beach, CA  90277
(310) 712-2349
Jay Miars, CFP®,
AZCA Financial Group, LLC
2173 Salk Ave,,
Carlsbad, CA  92008
(760) 603-1212
Jennifer Davis, CFP®,
SkyOak Wealth Management, Inc.
201 Mission Street,
San Francisco, CA  94105
(800) 971-8070
John Borger,
Royal American Financial Advisors, LLC
27192 Newport Rd., Suite 4,
Menifee, CA  92584
(951) 679-2065
Matthew Pixa,
My Portfolio Guide, LLC
3020 Old Ranch Parkway,
Seal Beach, CA  90740
(888) 474-8433
Paul Taghibagi, CFP®,
Signature Estate & Investment Advisors, LLC
2121 Avenue of the Stars,
Los Angeles, CA  90067
(310) 712-2323
Theodore E. Saade CFP®, AIF®, CMFC,
Signature Estate & Investment Advisors, LLC
2121 Avenue of the Stars,
Los Angeles, CA  90067
(310) 712-2356
Zain Griffith,
Dash Investments
9701 Wilshire Blvd,
Beverly Hills, CA  90212
(415) 748-9181
(424) 333-6114
Dirk Gilliard,
Dan Goldie Financial Services, LLC
2409 Park Boulevard,
Palo Alto, CA  94306
(650) 566-1111
Steve Ethridge,
Guardian Investment Management, LLC
1120 Mar West St.,
Tiburon, CA  94920
(415) 765-0428
Simon Reeves,
TideRock Financial
30 Enterprise, Suite #190,
Aliso Viejo, CA  92656
(877) 433-3665
Shane Terry,
The Budin Group
1901 Camino Vida Roble,
Carlsbad, CA  92008
(760) 858-2080
Scott McClatchey, CFP®,
WWM Financial
2131 Palomar Airport Road,
Carlsbad, CA  92011
(760) 692-5196
Rodd Miller, CFP®,
Miller Wealth Management
1901 Camino Vida Roble,
Carlsbad, CA  92008
(760) 856-4428
Robert Chapman, AIF,
Pacific Crest Global Wealth Management
2131 Palomar Airport Rd.,
Carlsbad, CA  92011
(858) 755-9192
Rem Oculee,
Confidence Wealth Management
21250 Hawthorne Blvd,
Torrance, CA  90503
(310) 709-3655
Pete Woodring,
Cypress Partners
23 Ross Common 4B,
Ross, CA  94957
(415) 785-3635
Michael Harris,
TriVant Custom Portfolio Group, LLC
600 West Broadway, Suite 225,
San Diego, CA  92101
(619) 286-3930
Mallory Dinis,
Financial Engines Advisors, LLC
4301 Hacienda Drive, Suite 100,
Pleasanton, CA  94588
(925) 227-0555
Kirk Miller,
Western International Securities
21900 Burbank Boulevard,
Woodland Hills, CA  91367
(574) 261-0014
Ken Sakamoto,
Financial Engines Advisors, LLC
1050 Enterprise Way, 3rd Floor,
Sunnyvale, CA  94089
(408) 970-0555
Jennifer Staben,
Financial Engines Advisors, LLC
1112 Galleria Boulevard Suite 160,
Roseville, CA  95678
9245 Laguna Springs Drive Suite 200,
Elk Grove, CA  95758
(916) 780-5353
Anthony Masterson,
Financial Engines Advisors, LLC
12100 Wilsure Blvd.,
Los Angeles, CA  90025
(424) 365-6153
Rick Donnelly,
Financial Engines Advisors, LLC
2040 Main Street,
Irvine, CA  92614
(424) 365-6153
Brad Maurer,
Financial Engines Advisors, LLC
2400 E Katella Ave,
Anaheim, CA  92806
(949) 705-5960
Mark Higginbotham,
Financial Engines Advisors, LLC
21515 Hawthorne Blvd,
Torrance, CA  90503
(424) 365-6153
Michael Richardson,
Financial Engines Advisors, LLC
951 Mariners Island Blvd,
San Mateo, CA  94404
2100 Geng Road,
Palo Alto, CA  94303
(408) 970-0555
Richard Ramos,
Financial Engines Advisors, LLC
6023 Coffee Rd. Suite A,
Bakersfield, CA  93308
(661) 213-3543
Eric Pailing,
Financial Engines Advisors, LLC
222 N Garden St,
Visalia, CA  93291
9423 N. Fort Washington Rd. Suite 104,
Fresno, CA  93730
(559) 434-9800
Ken Sakamoto,
Financial Engines Advisors, LLC
4040 Civic Center Drive,
San Rafael, CA  94903
(925) 227-0555
Jim Young Managing Vice President,
LPL Financial
2601 Main Street #200,
Irvine, CA  92614
(949) 536-2096
Jim Dillon,
Dillon Financial Services
9700 Business Park Drive,
Sacramento, CA  95827
(916) 380-3164
Jerry Slusiewicz,
Pacific Financial Planners
30131 Town Center Drive, Suite 105,
Laguna Niguel, CA  92677
(949) 219-0692
Insight Wealth Strategies,
Insight Wealth Strategies
5000 Executive Parkway,
San Ramon, CA  94583
(925) 659-8020
Kurt Jackson, CFP®,C(k)P®,AIF®,CRPS®,
Central Coast Wealth Management
1104 Palm St,
San Luis Obispo, CA  93401
(805) 439-0371
Hans Reese,
New Stage Investment Group®
1900 S Norfolk St, Ste 350,
San Mateo, CA  94403
(650) 458-0312
Garrett Morgan,
Fountainhead Wealth Management
1451 River Park Drive,
Sacramento, CA  95815
(916) 431-0294
Fritz Miller,
Signature Estate & Investment Advisors, LLC (SEIA)
155 N. Lake Ave.,
Pasadena, CA  91101
(626) 795-2944
David Bobrowsky, CFP®,
David Bobrowsky, CFP®
1261 Locust St.,
Walnut Creek, CA  94596
(925) 322-0799
Cheri Franklin, CFP®, AIF®, CRPC®,
Clarity Capital Advisors
100 Spectrum Center Drive,
Irvine, CA  92618
(800) 345-4635
Brent Hanson CFP®,
Financial Life Plans
340 Rosewood Avenue,
Camarillo, CA  93010
(805) 445-1992
Alano Massi, MBA, CFP®,
Palm Capital Management
2945 Townsgate Road Suite 200,
Westlake Village, CA  91361
(805) 727-2000
Anthony A. Saccaro, ChFC,
Providence Financial & Insurance Services, Inc
20335 Ventura Boulevard, Suite 125,
Woodland Hills, CA  91364
(818) 887-6443
Alan Gelb, CFP®,
WESCAP Group
330 N. Brand Blvd.,
Glendale, CA  91203
(800) 820-2453
Rachel Vivian,
Edelman Financial Services, LLC
1960 E. Grand Ave.,
El Segundo, CA  90245
(888) 752-6742
Ryan Gunn, CFP®,
Gunn Financial Associates
2629 Townsgate Rd., Suite 245,
Westlake Village, CA  91361
(888) 902-5999Ext2

Information on Qualified Financial Advisors in California

Office Location 3450 Geary Blvd, Ste 203,
San Francisco,
CA 
94118

Phone Number (800) 3668700

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. David Kim, President, has been active in the investment management field since 1983, first as a founder of a mutual fund and then in starting this company. He is a graduate of the University of California at Berkeley with a BA and MBA degrees.



Qualifications CRD# 4865043
FirmCRD# 468
Series 7, 66

Compensation/Fee I am a fee-based financial professional, Based on Assets, Commissions, Flat Fee, Hourly


Office Location 1848 S. Elena Avenue,
Suite 100,
Redondo Beach,
CA 
90277

Phone Number (310) 7122349

About Signature Estate & Investment Advisors

Welcome to Signature Estate & Investment Advisors, LLC Signature Estate & Investment Advisors, LLC (SEIA®) is a Registered Investment Advisory firm offering Investment Management and Financial Planning Services tailored to meet the unique needs of affluent individuals, institutions, and corporations. SEIA's reputation is earned on a daily basis, in each client relationship and professional affiliation we maintain. Accordingly, these values shape our firm: SEIA mandates extensive and comprehensive requirements for all advisors in the areas of accredited degrees, professional designations, licensing, and ethics requirements Continuous enhanced education and experience enable our Certified Financial Planners (CFP®) and Chartered Financial Analysts (CFA®) to design individually tailored strategies and provide relationship-based financial advice meeting both the short and long term goals of each client Confidential, unbiased, high quality financial advice is the core of our wealth management strategies



Qualifications CRD# 1909437
FirmCRD# 29604
Series 7

Compensation/Fee I am a commission only financial professional, Based on Assets, Commissions, Flat Fee, Hourly


Office Location 2173 Salk Ave,,
Ste 250,
Carlsbad,
CA 
92008

Phone Number (760) 6031212

About AZCA Financial Group, LLC

Success for the long run requires the prudent combination of timely, appropriate wealth management strategies with a personal advisory relationship that stands the test of time. Wealth Advisors represents a new generation of financial services, offering complete integration of services for high-net-worth individuals through a single access point.




Qualifications CRD# 2481766
FirmCRD# 154248
Series 7, 63, 65, 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Hourly


Office Location 201 Mission Street,
Suite 1200,
San Francisco,
CA 
94105

Phone Number (800) 9718070

About SkyOak Wealth Management, Inc.

Independence allows us to provide the best solutions for our client's needs and deliver the best service. Many brokerage firms serve the masses as well as their stockholders. As such, the size of the assets they manage makes it difficult to access certain opportunities. Also, they serve their stockholders first. In other words, an affluent client's needs may be subordinated to the needs of the firm and its collective client base. Independence allows us the opportunity to serve the individual needs of the client. As an independent advisor, we are committed to delivering the standard of service only a boutique firm can offer.



Qualifications CRD# 2310995
FirmCRD# 111192
Series 7, 24, 63, 65

Compensation/Fee I am a Fee-Only financial professional, Based on Assets, Flat Fee, Hourly


Office Location 27192 Newport Rd., Suite 4,
Menifee,
CA 
92584

Phone Number (951) 6792065

About Royal American Financial Advisors, LLC

John believes that security comes from keeping his clients informed. In addition to reducing risk and optimizing performance, John has made his life long goal to help his clients prevent costly financial mistakes. John believes selecting quality investments and preventing unnecessary risks & losses is the mark of a good advisor. John and the other founders of Royal American want the focus to be on the client. They believe that if the focus is on the client by providing the best possible financial products and service available, the bottom line will take care of itself. John has chosen to work with a limited number of select clients to accomplish his goal of excellent service for his clients and to spend more quality family time with Cara, Tyler and Trevor.

Royal American Financial Advisors links our success to the success of our clients. Our clients interest always comes first. We have the ability to be objective about investments that suit our clients needs, style & goals.



Qualifications CRD# 153188
FirmCRD# 153188
Series 65

Compensation/Fee I am a Fee-Only financial professional, Based on Assets


Office Location 3020 Old Ranch Parkway,
Suite 300,
Seal Beach,
CA 
90740

Phone Number (888) 4748433

About My Portfolio Guide, LLC

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 advisor addresses and meets ALL of the above criteria?



Qualifications CRD# 2075689
FirmCRD# 468
Series 6, 7, 22, 24, 63

Compensation/Fee I am a fee-based financial professional, Based on Assets


Office Location 2121 Avenue of the Stars,
Suite 1600,
Los Angeles,
CA 
90067

Phone Number (310) 7122323

About Signature Estate & Investment Advisors, LLC

Welcome to Signature Estate & Investment Advisors, LLC Signature Estate & Investment Advisors, LLC (SEIA®) is a Registered Investment Advisory firm offering Investment Management and Financial Planning Services tailored to meet the unique needs of affluent individuals, institutions, and corporations. SEIA's reputation is earned on a daily basis, in each client relationship and professional affiliation we maintain. Accordingly, these values shape our firm: SEIA mandates extensive and comprehensive requirements for all advisors in the areas of accredited degrees, professional designations, licensing, and ethics requirements Continuous enhanced education and experience enable our Certified Financial Planners (CFP®) and Chartered Financial Analysts (CFA®) to design individually tailored strategies and provide relationship-based financial advice meeting both the short and long term goals of each client Confidential, unbiased, high quality financial advice is the core of our wealth management strategies




Qualifications CRD# 2650992
FirmCRD# 108163
Series 6, 7, 63, 65

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Hourly


Office Location 2121 Avenue of the Stars,
Suite 1600,
Los Angeles,
CA 
90067

Phone Number (310) 7122356

About Signature Estate & Investment Advisors, LLC

Welcome to Signature Estate & Investment Advisors, LLC Signature Estate & Investment Advisors, LLC (SEIA®) is a Registered Investment Advisory firm offering Investment Management and Financial Planning Services tailored to meet the unique needs of affluent individuals, institutions, and corporations. SEIA's reputation is earned on a daily basis, in each client relationship and professional affiliation we maintain. Accordingly, these values shape our firm: SEIA mandates extensive and comprehensive requirements for all advisors in the areas of accredited degrees, professional designations, licensing, and ethics requirements Continuous enhanced education and experience enable our Certified Financial Planners (CFP®) and Chartered Financial Analysts (CFA®) to design individually tailored strategies and provide relationship-based financial advice meeting both the short and long term goals of each client Confidential, unbiased, high quality financial advice is the core of our wealth management strategies



Qualifications CRD# 5741663
Series 63, 65

Compensation/Fee I am a Fee-Only financial professional, Based on Assets


Office Location 9701 Wilshire Blvd,
Suite 1000,
Beverly Hills,
CA 
90212


9701 Wilshire Blvd,
Suite 1000,
Beverly Hills,CA  90212

Phone Number (415) 7489181

(424) 3336114

About Dash Investments

Dash Investments is a fee-only independent investment firm recently ranked by "Money Magazine" as one of the top financial advisory firms in the country. We offer comprehensive financial planning, retirement planning and asset management services. Our firm is built on the philosophy that each client deserves individual attention and proactive service. We want to be a partner in your success.



Qualifications CRD# 2132341
FirmCRD# 149887

Compensation/Fee I am a fee-only financial professional, Based on Assets


Office Location 2409 Park Boulevard,
Palo Alto,
CA 
94306

Phone Number (650) 5661111

With a passion for helping people invest wisely, Dirk has dedicated himself to educating and advising individuals and families on the benefits of evidence-based asset class investing. Utilizing Dimensional Fund Advisors institutional based investment solutions, he builds custom risk-based portfolios to help his clients reach their goals. A graduate of the University of California at Berkeley, Dirk began his career in finance at the Pacific Coast Stock Exchange in San Francisco in 1991. For the next 14 years, Dirk developed his extensive investment knowledge and management expertise at SKBA Capital Management, Morgan Stanley, Emeritus Investment Management and Private Capital Management. In 2005, Dirk was introduced to Dimensional Fund Advisors (dfaus dot com) and their unique academic based approach to investing. Combining rigorous research, disciplined processes and time tested data, Dirk has utilized their no-load low-cost mutual funds to deliver an outstanding investment experience to each and every one of his clients. With the overwhelming success of his partner's book, The Investment Answer, and a shared investment philosophy and work ethic, Dirk joined Dan Goldie Financial Services in 2010; a firm consistently ranked as one of the top independent RIA's in the San Francisco Bay Area and one of the first to offer DFA Funds to their clients. Dirk devotes his spare time to his family, charitable causes and swimming with the Stanford Masters swim club.

About Dan Goldie Financial Services, LLC

With offices in San Jose and Palo Alto, DGFS is listed as one of Barron's Magazine and The Financial Times top wealth advisors in the U.S. DGFS is an independent financial advisor, financial planner, and investment advisor managing approximately $845 million for individuals and families. As a Registered Investment Adviser, we have a legal fiduciary obligation to our clients. We work hard to help simplify our clients' financial lives, optimize their investments, and organize their personal financial planning. We work closely with our clients using a consultative process to help them grow and protect their wealth, and achieve their most important financial goals with cost-efficiency and reliability. Our mission is to be the trusted advisor for all aspects of our clients' financial lives. To do this, we take the time to develop a detailed understanding of each client's individual circumstances, goals, and objectives. We help our clients make smart financial and investment decisions, and gain confidence in having a secure financial future. As a fully independent financial advisor, we work exclusively for the benefit of our clients. As a registered investment advisor, we have a legal fiduciary obligation to act in each client's best interests. We care deeply about helping our investors achieve their goals and objectives, and endeavor to provide them with the highest-quality service and guidance. We look forward to discussing with you how we can become your family's trusted financial advocate.




Qualifications CRD# 2703318
FirmCRD# 104935
Series 65

Compensation/Fee I am a Fee-Only financial professional, Based on Assets


Office Location 1120 Mar West St.,
Suite D,
Tiburon,
CA 
94920

Phone Number (415) 7650428

Stephen A. Ethridge  Steve  Prior to joining Guardian, Steve was a principal at the San Francisco-based Registered Investment Adviser Stewart and Patten Co., LLC for two decades. During his tenure at Stewart and Patten assets under management at the Firm rose from $265 million to $725 million. Before that he spent time at BTR Capital Management, Bank of California and helped to found Spare, Kaplan, Bischel and Associates (now SKBA Capital Management). He is a long time member of the CFA Society of San Francisco and the CFA Institute. He served 24 years as a U.S. Navy Supply Corps Officer  7 on active duty and 17 as a Selective Reservist. He retired in 2005 as a highly decorated Captain. He helped to found and served as the initial CFO of Military Advantage which was eventually sold to Monster, Inc. He is a current member and past Chairman of the Business Advisory Board and a Director of the Rebel Venture Capital Fund at the University Of Mississippi School Of Business. He also serves as a Trustee of the Fraternal Care Trust for the Franciscan Friars in California. Steve is a Senior Portfolio Manager and is Guardians Chief Compliance Officer.

About Guardian Investment Management, LLC

As a Fiduciary, we offer independent and unbiased investment management. Our primary focus is on preservation of capital and protection from inflation. Our business consists of managing security accounts, each of which uses as custodian, a bank, or broker selected by the client. We hold a limited power of attorney that authorizes us to buy or sell securities. Although we do not consult with clients prior to individual security purchases and sales, occasional consultations are held to discuss general matters such as how the account managed by Guardian Investments relates to the client's other assets and requirements. Some clients impose restrictions on investment in certain securities or types of securities. Client portfolios are invested in stocks, taxable and tax-exempt bonds, and short-term instruments such as Treasury bills and money market funds. On occasion, we may invest in mutual funds, Exchange Traded Funds and other similar co-mingled investment products for smaller accounts managed as a courtesy for existing clients. A separate account is maintained for each client.



Qualifications CRD# 2835991
FirmCRD# 155622
Series 65

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Flat Fee, Hourly


Office Location 30 Enterprise, Suite #190,
Aliso Viejo,
CA 
92656

Phone Number (877) 4333665

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

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.



Qualifications CRD# 2733682
FirmCRD# 6413
Series 4, 7, 8, 24, 63, 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions


Office Location 1901 Camino Vida Roble,
Suite 112,
Carlsbad,
CA 
92008

Phone Number (760) 8582080

Shane joined The Budin Group with nearly two decades of experience in the financial industry. As a native Coloradan, he graduated from Colorado State University with a Bachelor of Science degree in Finance. Shane's career began at Invesco Funds group as a Retirement Specialist. Moving on to California in 1997, he advanced through the ranks of management at TD Ameritrade before joining LPL Financial in 2004 where he was Vice President of the Service Center. At LPL, he interacted with thousands of advisors and decided The Budin Group was the team he wanted to align with for the next phase of his career. Shane's holds the FINRA Series 4, 7, 8, 24, 63, and 66 registrations with LPL Financial. Shane is married to Krista and has two daughters Kaitlyn and Emily. He is very active in the community and enjoys camping with his family, sports, exercise, and travel.

About The Budin Group

For more than a decade, The Budin Group has been helping motivated clients strive to experience the exhilaration of financial freedom. We educate our clients about all aspects of money management. As a result, you will feel involved with your investment strategy. Many years working with the local media has taught us how to take complex issues and make them easier to understand. We measure our success by more than the numbers. As long as we are keeping you focused on your long-term goals and desires, we are doing our job successfully. Why not have one less worry? We want you to play golf, spend time with your family, see the world, pursue your dreams and most importantly, enjoy life. Our dedicated and talented service team aims to provide a first-class client experience. Open communication is essential to a successful client relationship. We are proactive in contacting our clients -- if we don’t hear from you, you will hear from us. All phone calls and emails will be returned in a timely manner. In our never-ending commitment to improvement, we always value your feedback. We invite you to join us on the road to your financial destination!



Qualifications CRD# 5116709
FirmCRD# 157620
Series 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Flat Fee, Hourly


Office Location 2131 Palomar Airport Road,
Suite 330,
Carlsbad,
CA 
92011

Phone Number (760) 6925196

Scott began his financial services career in 2006 as an independent financial advisor with Raymond James Financial Services. He then co-founded Alliance Investment Planning Group in December 2007 with 3 partners. Alliance Investment Planning Group is based in Carbondale, IL and is affiliated with LPL Financial Services. He became a CERTIFIED FINANCIAL PLANNERTM in 2011, enabling him to provide clients a more holistic solution spanning investments, insurance, retirement planning, estate planning, and tax mitigation strategies. In April 2017, Scott joined WWM Financial as a wealth advisor and CFP®. At WWM, he specializes in financial planning and investment strategies for business owners, company executives, professionals, and high net worth individuals and families. Prior to entering the financial services industry, Scott had a 22-year career in the satellite communications industry. He has BS and MS degrees in Electrical Engineering from the University of Illinois and an MBA from UCLA. Scott likes to stay active by volunteering and giving back to his community. He’s a member of the Carlsbad Rotary Club and Chamber of Commerce. Scott served as president of the local Kiwanis Club and Public Broadcasting Board while in Carbondale. Scott is a lifetime runner, avid reader, dog lover, devoted husband and father, craft beer enthusiast, and music lover. He has been married for 34 years and has 2 adult children. He and his wife Kay live in North County San Diego with their golden retriever Biscuit.

About WWM Financial

WWM Financial is an independent Carlsbad-based wealth management firm established in 2011 with experience dating back to 1983. WWM knows what it takes to get through the many minefields of financial planning, wealth management, and generational wealth transfers. We attempt to detect and address the financial blind spots that might not be apparent to our clients. In this way, we are committed to helping clients plan for their financial futures and those of generations to come. Our advisors are seasoned professionals who provide unbiased recommendations free from the potential conflicts of interest that are possible with many of the major banks and Wall Street firms. As an independent Registered Investment Advisory (RIA) firm, WWM Financial is not restricted to a limited pool of investment products. Rather, we can access the best-suited investment options for each of our unique clients. WWM is a principal-driven firm, and our clients work with our firm’s decision makers – professionals who have proven track records as investment advisors and wealth managers. We help our clients develop customized strategies to grow and preserve their wealth and attain their financial goals based upon individual risk tolerance and future plans. Goals and resources change over time for most people, which is why we plan regularly scheduled meetings for each client to talk about any changes that might have occurred and make adjustments to their plans, if necessary.




Qualifications CRD# 4984062
FirmCRD# 6413
Series 7, 24, 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Flat Fee


Office Location 1901 Camino Vida Roble,
Suite 112,
Carlsbad,
CA 
92008

Phone Number (760) 8564428

Rodd R. Miller, CFP® is the Founder and President of Miller Wealth Management ("Miller") and is an LPL Registered Principal. He is a CERTIFIED FINANCIAL PLANNER professional and member of the FPA (Financial Planning Association). The CFP® mark is earned by those who have met rigorous experience, education, and ethical requirements, and have passed the comprehensive CFP® Certification Examination. Additionally, Mr. Miller holds the FINRA Series 7, 66, and 24 securities registrations with LPL Financial and state insurance licenses in California, Arizona, Texas, and Alabama. Mr. Miller serves clients in California, Arizona, Texas, Colorado, Wyoming, and Alabama. Prior to founding Miller, he was part of an advisory team at First Allied Securities specializing in retirement income planning. Prior to working with individual clients, his experience in finance included private equity, mergers & acquisitions, investment banking, and real estate. Today, Rodd views his role as that of a family CFO overseeing strategic decisions and execution on a wide array of his client's financial matters. With diverse experience, he offers his multifaceted professional finance experience to select families and organizations in need of strategies to face financial challenges for today and beyond. Throughout his career, Rodd has designed and delivered educational seminars on various investment strategies including programs designed to pursue the goal of retirement income. He has also completed extensive due diligence requirements on alternative investments and authored business reports, valuations, and fairness opinions.

About Miller Wealth Management

Miller Wealth Management is an independent wealth management firm dedicated to helping our clients pursue important milestones throughout their financial life. Our experience and knowledge allows us to design and implement comprehensive strategies tailored specifically to your unique financial needs. Building trust with our clients is the cornerstone of our business. Our relationship-focused business helps our clients feel comfortable and confident with us. With Miller Wealth Management at your side, you benefit from our steadfast commitment to always place your best interests first. You can count on us to focus on your complete financial well-being and offer honest communication, prompt response, and an ongoing, consultative approach to managing your wealth.



Qualifications CRD# 131780
FirmCRD# 131780
Series 7, 24, 63 Life & Health

Compensation/Fee I am a fee-based financial professional, Based on Assets, Commissions, Flat Fee, Hourly


Office Location 2131 Palomar Airport Rd.,
Suite 204,
Carlsbad,
CA 
92011

Phone Number (858) 7559192

Robert provides independent wealth management, financial planning and asset management solutions to individuals, families and business owners. Robert implements a global approach from two points of view. First, on an individual basis, in an effort to embrace all the goals and aspirations of the client's wish list and secondly, by taking a global approach to investing and seeking opportunities inside AND outside the U.S. Tax situations are carefully reviewed and honored, so that portfolios are designed to maximize tax efficiency - keeping more for the client, their future generations and/or charities. Services are usually provided on a fee-based and assets-under-management model, where the advisor is compensated on an annual basis of somewhere between .9 -1.75%, depending on the size of the portfolio. Traditional transactional models are also available where appropriate. As an independent advisor, Robert offers no proprietary products and has no sales quota pressure. True independence provides the freedom to make sound investment recommendations and build solid financial plans that are truly in the best interest of the client. Registered Principal offering securities and advisory services through Independent Financial Group, LLC (IFG), a registered broker-dealer and investment advisor. Member FINRA/SIPC. Pacific Crest Global Wealth Management and IFG are unaffiliated entities. Licensed to sell securities in the following states: CA, FL, HI, VA, WA, UT.

About Pacific Crest Global Wealth Management

Discover a comprehensive wealth management firm located in the north county of San Diego, CA that brings a world of unbiased, independent investment knowledge to affluent families throughout the United States. At Pacific Crest, we address everything we do by considering how we would want to be treated by the very best of professional advisors. We manage each portfolio with the care and prudence we use in managing our own family and personal investments. Registered Principal offering securities and advisory services through Independent Financial Group, LLC (IFG), a registered broker-dealer and investment advisor. Member FINRA/SIPC. Pacific Crest Global Wealth Management and IFG are unaffiliated entities.



Office Location 21250 Hawthorne Blvd,
Suite 500,
Torrance,
CA 
90503

Phone Number (310) 7093655

Rem is the founder and CEO of Confidence Wealth. Since 1990, Rem has worked extensively with the financial industry by building portfolios and engaging the investment markets. In addition, he also completes due diligence and research on a variety of large complex investment instruments. With intensive understanding of the investment world, he has spent a considerable amount of time utilizing various technical analysis, stock trends, and methodology for interpreting the quantitative predictability of investors behaviors and markets going back to the 17th century. His knowledge of various market conditions through past eras has guided Confidence Wealth and its clients through market crashes and economic downturns. Always evaluating, Rem brings his extensive experience to all aspects of Confidence Wealth. His ability to understand and quantify risk has enabled him to successfully navigate through financial uncertainties. Always researching, Rem constantly looks for upcoming trends and patterns to help benefit Confidence Wealth clients. With innovation and forward-thinking as the driver, he successfully masterminded the direction and vision of Confidence Wealth. He focuses on strategy, leadership, and technological advances in the ever-changing landscape of the investment world. In addition to Confidence Wealth, Rem has also founded multiple companies and has been asked to advise multiple corporations throughout the years. His business acumen and unconventional insights has helped those corporations with enhancing their strategy, and ultimately, their revenue metrics. He is also Chairman of the Board of The Money Confidence Global Initiative, establishing this philanthropic movement to promote financial education worldwide.

About Confidence Wealth Management

Since 1990, our founder and CEO Rem Oculee has been in the financial and investment industry. After many years of research and extensive advanced work in the equities markets and equities trade backtesting, he founded what is now Confidence Wealth Management. Today, the firm has a stellar industry reputation with over 35 years of combined advisor experience, with a dedicated concierge team and personnel. Furthermore, our clients at Confidence Wealth & Insurance Solutions have entrusted us with over $100 million of their hard-earned savings. Confidence Wealth has built its entire infrastructure based on two major principles: helping our clients with advanced planning strategies and connecting them with some of the strongest, most powerful and prestigious financial organizations in the world. Initially privileged to the ultra-wealthy and institutional money managers, we have leveraged our deep-rooted relationships to bring those high-quality connections to you. In doing so, we give our clients access to some of the strongest, exclusive and prestigious multi-billion-dollar financial organizations, and many of the benefits that come with it. We level the playing field so you have a direct link to some of those top-tier institutional products and services, and receive the quality you deserve. Through our long-standing relationships, we diligently work with these exclusive institutional money managers to ensure your best interest is carried through. Extensive research is done to find the best suited investment strategy, and through it all, we continue to perform our due diligence to ensure it is up to par for our clients' needs.



Qualifications CRD# 424062B
FirmCRD# 148070
Series 65

Compensation/Fee I am a Fee-Only financial professional, Based on Assets


Office Location 23 Ross Common 4B,
PO Box 1428,
Ross,
CA 
94957

Phone Number (415) 7853635

Peter co-founded Cypress Partners because he knew there was a better way to help people make successful wealth management decisions. During his tenure with U.S. Trust company, he was exposed to product-driven sales approaches and valuable client-centric services. Inspired by the latter, he was set on building a new kind of organization, one devoted to client advocacy, and to comprehensive wealth planning. Peter takes great pride in offering objective and transparent solutions to individuals and families that need collaborative planning in managing the complexities of generational family wealth. Peter works closely with clients to coordinate all aspect of their financial strategy by acting as their family CFO. His goal is to give clients the comfort of knowing that the financial aspects of their lives are diligently managed by estate attorneys, CPAs, insurance specialists and other experts they can trust. Born into the business, Peter benefits from a lifetime of wealth planning knowledge learned from his father and co-founder,Doug Woodring, who has been consulting with successful families in the San Francisco Bay area for several decades. Working together, they bring multi-generational expertiseto their clients. As a successful entrepreneur, investor and relationship manager, Peter brings valuable insight and resources to a wide range of clients who appreciate the personal attention and the collaboration of planning professionals that the firm offers.

About Cypress Partners

Cypress Partners was founded to help you protect, grow and optimize what's most important to you. Our relationship is a partnership, and it's guided by your participation in our comprehensive planning process. It begins with a conversation about your dreams, objectives, values, concerns and personal and professional relationships. Gaining a thorough understanding of your life allows us to formulate not only a specific plan, but also a team of independent, expert advisors to achieve your goals. Our expertise is financial planning and portfolio construction and management, as well as acting as the conduit between you and your advisory team. Your team will generally include an estate, tax and insurance planner who we collaborate with to optimize your wealth and efficiently achieve your goals. Our 401(k) Consulting group is dedicated to improving retirement outcomes and reducing plan sponsor liability. We help our plan sponsor clients run their 401(k) plans for the benefit of their employees. We focus on transparency, reducing plan fees, prudent approach to investing, comprehensive retirement and income for life planning and a diligent fiduciary process. We are a father and son partnership with institutional power and a boutique client experience. Our business depends on the satisfaction of our clients, and personalized service tailored to meet your needs is our passion. Our planning process is dynamic, and we constantly monitor your progress and make necessary changes as life unfolds. We value honesty, transparency, hard work, family, friends, community, the environment and healthy lifestyles. Our typical client shares similar values.




Qualifications CRD# 4633619
FirmCRD# 129803
Series 65

Compensation/Fee I am a Fee-Only financial professional, Based on Assets


Office Location 600 West Broadway, Suite 225,
San Diego,
CA 
92101

Phone Number (619) 2863930

Michael has almost two decades of experience in the area of 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. Michael lives in La Mesa with his wife, Cindi, and their two children. 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 of 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.



Qualifications CRD# 5823103
FirmCRD# 104510
Series 6, 63, 65

Compensation/Fee I am a Fee-Based financial professional, Based on Assets


Office Location 4301 Hacienda Drive, Suite 100,
Pleasanton,
CA 
94588

Phone Number (925) 2270555

Mallory Dinis has been selected as a Smartvestor Pro because of her commitment to helping individuals achieve their long-term investing goals. Joined Financial Engines in 2011. Began her career in the financial services industry in 2010. Successfully completed the Series 6, 63, and 65 examination(s) administered by FINRA. Earned the Chartered Retirement Planning CounselorSM (CRPC®) certification(s). Bachelor's degree in Business Administration from California Polytechnic State University, San Luis Obispo. Mallory enjoys staying active outdoors with her husband and their Labrador Retriever.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).



Qualifications CRD# 5004970
FirmCRD# 39262
Series 7, 63, 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Flat Fee, Subscriptions


Office Location 21900 Burbank Boulevard,
3rd Floor,
Woodland Hills,
CA 
91367

Phone Number (574) 2610014

Kirk Miller is an independent financial advisor with Western International Securities with over 10 years of industry experience. He has a proven track record of helping clients with asset management, financial and retirement planning, insurance, and assessments of 401k plans. Kirk also has a great deal of knowledge regarding real estate exchanges and private investments. He received his undergraduate degree and MBA from the University of Notre Dame with emphasis in finance and investments. Upon graduation, Kirk taught mathematics before returning to school. After he received his MBA, he expanded his knowledge of credit as he worked in investment banking for the Bank of Montreal where he did origination and structuring of securitization deals. He then moved to JP Morgan where he built a book of business of over $120M while working for their Private Bank and Private Client groups for almost 10 years.

About Western International Securities

Western International Securities, Inc. was founded in 1995 to combine the same full service of the nation?s largest financial institutions with the personal touch that is missing in so many firms today. Our clearing relationships with National Financial Services Inc, and Pershing, LLC assure access to some of the most highly regarded research and market analysis. In addition, through extensive electronic news sources and databases, we can quickly provide market analysis and background information on literally thousands of investment possibilities throughout the world. NFS and Pershing offers state-of-the-art account access and online client reporting capabilities and is well regarded on the street for it's superior technology, service and support. Through these relationships, our Representatives have access to a full array of products and services as well as advanced trading capabilities, block trading, fixed income desks and managed account programs.



Qualifications CRD# 1095790
FirmCRD# 104510
Series 6, 7, 63, 65

Compensation/Fee I am a Fee-Based financial professional, Based on Assets


Office Location 1050 Enterprise Way, 3rd Floor,
Sunnyvale,
CA 
94089

Phone Number (408) 9700555

Ken Sakamoto has been selected as a Smartvestor Pro because of his commitment to helping individuals achieve their long-term investing goals. Joined Financial Engines in 2013. Began his career in the financial services industry in 1979. Successfully completed the Series 7, 6, 63 and 65 examination(s) administered by FINRA. Earned the Chartered Retirement Planning CounselorSM (CRPC®) certification(s). Grew up in Hawaii and has Associate Degree from the University of Hawaii, LCC. Married to Jaclynn and they have a daughter, Erika age 15. Enjoys keeping fit by working out, watching sports, and going on vacations to Hawaii.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).




Qualifications CRD# 5862463
FirmCRD# 104510
Series 6, 7, 63, 66

Compensation/Fee I am a Fee-Based financial professional


Office Location 1112 Galleria Boulevard Suite 160,
Roseville,
CA 
95678


9245 Laguna Springs Drive Suite 200,
,
Elk Grove,CA  95758

Phone Number (916) 7805353

Joined Financial Engines in 2018. Began her career in the financial services industry in 2011. Successfully completed the Series 6, 7, 63, and 66 examination(s) administered by FINRA. Earned Bachelors of Science and Business Management from Western Governors University. Jennifer has two children: Makenzee and Andrew and a granddaughter: Lilly. She enjoys reading, writing and singing.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).



Qualifications CRD# 1524917
FirmCRD# 104510
Series 7, 66

Compensation/Fee I am a Fee-Based financial professional


Office Location 12100 Wilsure Blvd.,
8th Floor,
Los Angeles,
CA 
90025

Phone Number (424) 3656153

Joined Financial Engines in 2017. Began his career in the financial services industry in 2002. Successfully completed the Series 7 and 66 examination(s) administered by FINRA. Earned the Chartered Retirement Planning CounselorSM (CRPC®) certification(s) and the Accredited Asset Management SpecialistSM (AAMS®) designation(s). Bachelor's degree in Psychology from UCLA. Married to Tatiana. Anthony enjoys swimming, hiking, playing guitar, and is a live music enthusiast.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).



Qualifications CRD# 4378370
FirmCRD# 104510
Series 7, 31, 66

Compensation/Fee I am a Fee-Based financial professional


Office Location 2040 Main Street,
Suite 150,
Irvine,
CA 
92614

Phone Number (424) 3656153

Joined Financial Engines in 2017. Began his career in the financial services industry in 2001. Successfully completed the Series 7, 31, and 66 examination(s) administered by FINRA. Rick grew up in New York, but has lived in Newport Beach CA for 15 years. Married and has three children. In his free time he enjoys playing golf and tennis.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).




Qualifications CRD# 2737876
FirmCRD# 104510
Series 6, 7, 63, 66

Compensation/Fee I am a Fee-Based financial professional, Hourly


Office Location 2400 E Katella Ave,
Suite 800,
Anaheim,
CA 
92806

Phone Number (949) 7055960

Joined Financial Engines in 2017. Began his career in the financial services industry in 1996. Successfully completed the Series 6, 7, 63, and 66 examination(s) administered by FINRA. Earned the Certified Investment Management AnalystSM (CIMA®) certification(s). Bachelor of Science in Business Administration with a minor in Finance from Shippensburg University of Pennsylvania. Married to Andrea and they have two dogs; Reeses and Chewie. Enjoys traveling, scuba diving, golf, and cooking. Him and his wife have traveled to Asia, Australia, Europe and South America.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).



Qualifications CRD# 1524917
FirmCRD# 104510
Series 7, 8, 24, 63, 65

Compensation/Fee I am a Fee-Based financial professional


Office Location 21515 Hawthorne Blvd,
Suite 580,
Torrance,
CA 
90503

Phone Number (424) 3656153

Joined Financial Engines in 2017. Began his career in the financial services industry in 1989. Successfully completed the Series 7, 8, 24, 63, and 65 examination(s) administered by FINRA. Received graduate degree in Economics from De Paul University. Married to Linda and has two children. Mark enjoys hiking, biking, X-C skiing, baseball and having dinners with family and friends.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).



Qualifications CRD# 1003784
FirmCRD# 104510
Series 4, 6, 7, 12, 24, 53, 63, 65

Compensation/Fee I am a Fee-Based financial professional, Hourly


Office Location 951 Mariners Island Blvd,
Suite 300,
San Mateo,
CA 
94404


2100 Geng Road,
Suite 210,
Palo Alto,CA  94303

Phone Number (408) 9700555

Joined Financial Engines in 2017. Began his career in the financial services industry in 1982. Successfully completed the Series 4, 6, 7, 12, 24, 53, 63, and 65 examination(s) administered by FINRA. Hometown is in Northeastern Pennsylvania, but has lived in San Jose for 10 years. Married to Lynne for 36 years. They have one child: Ian who is studying to be a strength and conditioning coach for professional or college sports teams. Michael enjoys weight training, taking care of his pets, and volunteering at the German Shepherd Rescue organization.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).




Qualifications CRD# 5524250
FirmCRD# 104510
Series 6, 7, 63, 66

Compensation/Fee I am a Fee-Based financial professional


Office Location 6023 Coffee Rd. Suite A,
Bakersfield,
CA 
93308

Phone Number (661) 213-3543

Joined Financial Engines in 2015. Began his career in the financial services industry in 2008. Successfully completed the Series 6, 7, 63, and 66 examination(s) administered by FINRA. Bachelor's degree in Science from St. John Fisher College. Married to Sandy. Jim enjoys staying fit, golfing, donating time, spending time with his family, and reading.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).



Qualifications CRD# 5042829
FirmCRD# 104510
Series 6, 63, 65

Compensation/Fee I am a Fee-Based financial professional, Based on Assets


Office Location 222 N Garden St,
Suite 300 H,
Visalia,
CA 
93291


9423 N. Fort Washington Rd. Suite 104,
,
Fresno,CA  93730

Phone Number (559) 4349800

Joined Financial Engines in 2014. Began his career in the financial services industry in 2004. Successfully completed the Series 6, 63, and 65 examination(s) administered by FINRA. Attended California State University, Fresno. United States Marine Corps Veteran. Married with two children.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).



Qualifications CRD# 1095790
FirmCRD# 104510
Series 6, 7, 63, 65

Compensation/Fee I am a Fee-Based financial professional


Office Location 4040 Civic Center Drive,
Suite 200,
San Rafael,
CA 
94903

Phone Number (925) 2270555

Joined Financial Engines in 2013. Began his career in the financial services industry in 1979. Successfully completed the Series 7, 6, 63 and 65 examination(s) administered by FINRA. Earned the Chartered Retirement Planning CounselorSM (CRPC®) certification(s). Grew up in Hawaii and has Associate Degree from the University of Hawaii, LCC. Married to Jaclynn and they have a daughter, Erika age 15. Enjoys keeping fit by working out, watching sports, and going on vacations to Hawaii.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).




Qualifications CRD# 4355599
FirmCRD# 281597
Series 6, 7, 24, 51, 63, 65

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Subscriptions


Office Location 2601 Main Street #200,
Irvine,
CA 
92614

Phone Number (949) 5362096

Jim comes from a diverse background in the hospitality industry focusing as a chef in restaurants and hotels. This training has helped Jim transition into the financial services industry because what he liked most about cooking was making people happy. Mr. Young graduated from the Culinary Institute of America in Hyde Park, New York in 1983 and moved to southern California shortly thereafter to complete his culinary training in some of the finest restaurants in the country. In 2001, Jim wanted to transition into another career that could offer him the opportunity to help people on a more personal level. He determined that the financial services industry was best suited to help him achieve this goal and that the newly-formed firm of Trilogy matched his philosophy. He is now the Managing Vice President of the Irvine Branch. He is also a Registered Principal affiliated with LPL Financial with which he holds Series 6, 7, 24, 51, and 63 registrations. He holds the series 65 registration with Trilogy Capital and also holds life and health agent licenses. Jim utilizes his many years of team-oriented leadership developed while working in the kitchen to help him build his team at Trilogy. A native of Western New York Jim now lives with his wife, Holly, in Laguna Niguel. His hobbies include sailing, cooking, wine tasting, history and book collecting.

About LPL Financial

Financial Decisions are our business Let's face it. You can buy investments anywhere. You can find volumes of advice online. Why hire a Trilogy Financial advisor? Since 1999, we have been helping financially-conscious Americans sort through the fog of investments, insurance and personal finance. With our thorough DecisionCoach process, we can help you get clarity on your highest priorities and then organize a decision plan to chart the path from here to there. WHEREVER YOUR STORY TAKES YOU, TRILOGY IS THERE. Jim Young is a registered representative for LPL Financial. Securities offered through LPL Financial, member FINRA/SIPC. For hyperlinks to FINRA and SIPC please see the "Research This Advisor" section below. Investment advice offered through Trilogy Capital, Inc., a registered investment advisor. Trilogy Financial and Trilogy Capital,Inc. are not affiliated with LPL Financial. The LPL Financial Registered Representatives associated with this site may only discuss and/or transact securities business with residents of the following states: CA



Qualifications CRD# 5161877
FirmCRD# 7717
Series 6, 7, 26, 63, 65

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Flat Fee


Office Location 9700 Business Park Drive,
Suite 204,
Sacramento,
CA 
95827

Phone Number (916) 3803164

Jim Dillon has been in private practice in the financial services industry since 2007. A CFP® and Chartered Financial Consultant®. Jim assists clients with both their business and their personal investment and insurance related needs.

About Dillon Financial Services

Jim Dillon, CFP®, ChFC®, and owner of Dillon Financial Services, has been in business as an independent financial advisor since 2007. Jim offers his clients comprehensive financial planning services, retirement planning, and investment portfolio management. Jim also works with business entities that sponsor qualified company retirement plans. Many times these types of clients are unaware of the excessive costs their plans are paying and the liability the sponsors are personally exposed to. Jim Dillon is a registered representative offering securities and advisory services through Independent Financial Group, LLC (IFG), a registered broker-dealer and investment advisor. Member FINRA/SIPC. Dillon Financial Services and IFG are not affiliated. Registrations Include: Series 6, Series 7, Series 63, Series 65. California Insurance License: 0F21878 Licensed to sell securities in CA Information provided is from sources believed to be reliable, however, we cannot guarantee or represent that it is accurate or complete. Because situations vary, any information provided on this site is not intended to indicate suitability for any particular investor. Hyperlinks are provided as a courtesy. When you link to a third party website, you are leaving our site and assume total responsibility for your use at these sites.



Qualifications CRD# 1739938
Series 7, 63, 65


Office Location 30131 Town Center Drive, Suite 105,
Laguna Niguel,
CA 
92677

Phone Number (949) 2190692

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



Qualifications CRD# 4081824
Series 6, 7, 63, 65, 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Flat Fee, Hourly, Subscriptions


Office Location 5000 Executive Parkway,
Suite 420,
San Ramon,
CA 
94583

Phone Number (925) 6598020

Insight Wealth Strategies' approach is based on understanding one's objectives, and using that to put together a comprehensive financial plan. We specialize in retirement planning, investment planning, estate planning, tax reduction strategies, and business succession planning. We help clients by building a customized solution to fit each individual's needs, and don't focus on making a commission by selling products. We have an obligation to our clients to make objective recommendations in their best interests, not ours. We are held to high ethical and compliance standards and each financial planner maintains their fiduciary commitment to the client. Our mission is to help our San Francisco Bay Area clients define and create a comprehensive financial plan, enabling them to reach their financial goals.

About Insight Wealth Strategies

We are a team of fiduciaries, we serve you and your best interest; we help you achieve your financial goals by understanding your unique objectives and concerns. Our planners will analyze your particular situation and offer recommendations that best suit you. We can also help you implement your financial plan and periodically review your plan as circumstances or goals change. We pride ourselves on delivering objective, strategic, and prudent advice designed to help our clients accumulate, protect and transfer wealth. Our comprehensive, personalized service focuses on understanding your objectives in any or all of the following areas: retirement planning, investment planning, estate planning, tax reduction strategies and/or business succession planning. We have offices across the Bay Area: San Ramon, Livermore, and Point Richmond, and in Houston, TX. We are conveniently located to better suit our clients' needs. Our professionals have over 100 years combined of experience in financial services. We can help address your needs of today and for many years to come. We look forward to working with you through all stages of your life.




Qualifications CRD# 2913769
Series 7, 31, 63, 65

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Flat Fee


Office Location 1104 Palm St,
San Luis Obispo,
CA 
93401

Phone Number (805) 4390371

In 2005, Kurt and his family found a home in Arroyo Grande where they established roots to become permanent members of the Central Coast. He has served as the HOA President of Varian Ranch and on the Board of Directors for the Foundation for the Performing Arts Center (FPAC) in San Luis Obispo. He was featured on the cover of the San Luis Obispo New Times in 2005 for installing a solar system on his current house; he had also done so on his previous house. Recently, he was recognized as one of the "Top 300 Most Influential Advisors in Defined Contribution" by the 401k Wire1. In March 2011, Kurt was also named by 401k Wire as one of the "60 Most Influential Advisors in Defined Contribution" and has been quoted in several industry publications. Kurt was one of fewer than 40 financial advisors in the nation asked to be a Founding Lecturer at The Retirement Advisor University at UCLA Anderson School of Management Executive Education in 2010. He attained his CFP® CERTIFIED FINANCIAL PLANNER(TM) certification in 2012, and went on to earn the C(k)P® Certified 401(k) Professional Designation in 2013. Anyone who knows Kurt well knows that he likes to find deals on things. He also uses this passion for deals to help clients with their investments, retirement planning and liabilities. Besides traveling, Kurt likes to spend time with his family and appreciate all that the Central Coast has to offer - including the local wines and open spaces.

About Central Coast Wealth Management

The professionals of Central Coast Wealth Management LLC provide independent, customized, financial solutions utilizing a boutique broker dealer (Commonwealth Financial Network.) to focus on high net worth individuals and businesses. We help clients in all stages of wealth management-accumulating, preserving, and transferring (creating a legacy) utilizing asset allocation strategies* of the finest university endowments in the world. *Asset allocation does not protect against loss of principal due to market fluctuations. It is a method used to help manage investment risk.



Qualifications CRD# 4334724
Series 7, 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Flat Fee, Hourly


Office Location 1900 S Norfolk St, Ste 350,
San Mateo,
CA 
94403

Phone Number (650) 4580312

Hans Reese is a CERTIFIED FINANCIAL PLANNER(tm) professional since 2007 and owner of New Stage Investment Group® With over 17 years of industry experience, Hans started his career with Merrill Lynch, before moving to Morgan Stanley and then joined with LPL Financial in 2006. Hans' focus is personal financial planning with a special emphasis on retirement, tax aware investing and the use of lower cost investments. Hans' professional background includes experience in hospitality, international logistics and internet startups. This background provides a rich combination of business experience, international perspective and personal service. Hans was raised in Honolulu, Hawaii and graduated from Punahou. Hans then attended the University of Colorado, Leeds School of Business with a degree in International Business, Finance and a minor in German Language. Hans and his family have close ties to both the Bay Area and Hawaii.

About New Stage Investment Group®

We are an independent fee-based investment management and financial planning firm that seeks to work with good people. Our financial advice and guidance is built upon a personal financial plan. Our investment management seeks to use lower cost, tax efficient investments when creating, investing and monitoring a personally tailored investment portfolio.



Qualifications CRD# 2844791
Series 7, 31, 63, 66

Compensation/Fee I am a fee-based financial professional, Based on Assets, Commissions, Flat Fee, Hourly, Subscriptions


Office Location 1451 River Park Drive,
Suite 142,
Sacramento,
CA 
95815

Phone Number (916) 4310294

Garrett Morgan has been in the financial services industry since 1996 and is a CERTIFIED FINANCIAL PLANNER. Prior to founding Fountainhead Wealth in 2005, Garrett worked as a financial advisor for a large multi-national corporation, focusing on financial and investment management for members of CalPERS and employees of the US Government. Mr. Morgan has a love for the Financial Planning profession and founded Fountainhead Wealth with the express purpose of changing the way financial advice is delivered in the US. He speaks regularly on topics related to money and success. Mr. Morgan earned his certificate in Financial Planning from Boston University.

About Fountainhead Wealth Management

Fountainhead Wealth is the trusted source for financial services because we go beyond the numbers on the page. We are intensely focused on our clients' success and understanding what they want to accomplish with their business and personal investments. Our team of professionals connects the dots between what you want to accomplish and the steps you need to take to get there. If your financial plan is not aligned with your vision for your life the way you would like it to be, maybe we should talk.



Qualifications CRD# 1396295
FirmCRD# 468
Series 6, 7, 22, 24, 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Flat Fee


Office Location 155 N. Lake Ave.,
Suite 780,
Pasadena,
CA 
91101

Phone Number (626) 7952944

Fritz Miller, CFP, ChFC, AIF is a Partner at Signature Estate & Investment Advisors, LLC's (SEIA) Pasadena office. His emphasis is in investment management and retirement income planning for affluent families and private companies. As a Certified Financial Planner he works with clients from a comprehensive wealth management focus. Since 1985, Mr. Miller has been in the financial services business. Fritz is married with four children and has lived in the Pasadena area for more than 30 years.

About Signature Estate & Investment Advisors, LLC (SEIA)

Signature Estate & Investment Advisors, LLC (SEIA) is a Registered Investment Advisory Firm offering Investment Management and Financial Planning services. We provide an enduring partnership focused solely on helping our clients achieve their long-term goals and objectives. SEIA helps you focus on the big picture by overseeing the financial management process. We act as a fiduciary with your best interests at heart. Our team of experienced professionals address your unique goals and objectives with an unbiased investment, estate or financial plan. Your assets are segregated and held in your name at two of the country's largest financial firms -- Charles Schwab & Co. and/or Fidelity Institutional Wealth Services. Your SEIA advisory team is further supported by a group of more than 60 financial professional. SEIA creates a world-class experience with a dedicated wealth management infrastructure.




Qualifications CRD# 4261724
Series 7, 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Hourly


Office Location 1261 Locust St.,
Suite #60,
Walnut Creek,
CA 
94596

Phone Number (925) 3220799

David has been directly advising clients as a financial planner for 17 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, most recently, in 2010 the Chartered Financial Consultant® designation, both through the American College of Bryn Mawr, PA. 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 David Bobrowsky, CFP®

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.



Qualifications CRD# 2012690
FirmCRD# 282405
Series 65

Compensation/Fee I am a Fee-Only financial professional, Flat Fee


Office Location 100 Spectrum Center Drive,
Suite 900,
Irvine,
CA 
92618

Phone Number (800) 3454635

Cheri Franklin, President of Clarity Capital Advisors, is a credentialed, fiduciary wealth advisor and a CERTIFIED FINANCIAL PLANNER® (CFP) professional with over 25 years of financial experience. She founded Clarity to address the concerns of many investors who view financial advisors as merely salespeople peddling commission-based investment products and/or charging high fees (e.g. 1% of the assets they manage). In most cases, these investors are correct and need to be mindful when seeking the guidance of a new advisor. Cheri advises individuals, couples, and retirement plans for small and mid-sized companies. She is the first point of contact for our new clients. She enjoys working with our clients to establish attainable goals, particularly with respect to retirement and college planning. She ensures that our clients' asset allocations are consistent with their goals and engages in ongoing communication with each client and their designated estate planning and financial (e.g., accountant) professionals. She oversees the daily operations of the firm and negotiates contracts with our providers to ensure our clients have access to the highest quality investment platforms at a fair price. EDUCATION: Pepperdine University, B.S. in Management CREDENTIALS: CERTIFIED FINANCIAL PLANNER Professional Accredited Investment Fiduciary Chartered Retirement Planning Counselor

About Clarity Capital Advisors

Clarity Capital Advisors is a fee-only Registered Investment Advisor (RIA) firm legally bound by the fiduciary standard of care. True to our name, Clarity, we believe you are entitled to honesty, full transparency in advisory and investment fees, and investment advice that is free from the conflicts of interest found in many fee-based financial firms. You can trust your financial assets in the care of a team of highly credentialed, fee only fiduciary wealth advisors with over 50 years of financial experience. Our clients benefit from an array of fiduciary wealth services including financial planning such as retirement planning, college planning, and income strategies combined with low-cost investment (asset) management for one simple and straightforward flat advisory fee. Our designations include CERTIFIED FINANCIAL PLANNER®(CFP) and Chartered Financial Analyst (CFA), key certifications for financial and investment professionals. Fee-only means our only form of compensation is the flat fee we charge for our services. We do not recommend any investments with sales commissions, surrender charges, or hidden fees, such as mutual fund 12b-1 fees. We are not brokers or affiliated with a broker-dealer. Therefore, we do not offer any proprietary investment products. This enables us to be truly unbiased and objective in our investment recommendations. Being fee-only means we've eliminated the conflicts of interest associated with fee-based advisors. We would love to share with you the benefits of working with our team of credentialed, fiduciary wealth advisors. We work with clients nationwide. Call Clarity Capital Advisors today!



Qualifications CRD# 1832012
Series 7, 63, 65

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Flat Fee, Subscriptions, Hourly


Office Location 340 Rosewood Avenue,
Suite P,
Camarillo,
CA 
93010

Phone Number (805) 4451992

Brent Hanson is a CERTIFIED FINANCIAL PLANNER® professional and well known financial educator in the Ventura, Santa Barbara, and Los Angeles county areas having spoken to over 300 audiences in the tri-counties on retirement, estate, and tax planning since 1997. With over 30 years of experience in financial services, Brent focuses on retirement planning, investment management, tax reduction, insurance planning and estate planning strategies to help clients keep more of their retirement income and assets. Brent is CEO and Founder of Camarillo Tax Team which maintains a network of CPAs, estate and tax attorneys that assist clients with income tax concerns. In addition to his securities license, Brent also holds a Life Agent’s license in California and is a member in good standing of the National Association of Insurance and Financial Advisors (NAIFA). Brent lives in Oxnard, CA and his interests include travel, theatre, and painting.

About Financial Life Plans

We provide a holistic, goals based retirement planning and investment approach focused on helping individuals, couples, and small business owners keep more of their income and assets after taxes, after inflation, despite market downturns and healthcare costs. Our services include: fee based investment planning and management, retirement income planning, estate planning, income tax planning, and insurance planning. Our Commitment Our staff consists 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 making your dreams a reality. Our Principle Our company is based on the principle that education and understanding of your financial situation is vital to successfully make prudent decisions concerning your future financial condition. If you have any questions about your current financial situation or wish to schedule an appointment, send us an email or give us a call at (805) 445-1992.



Qualifications CRD# 6259423
FirmCRD# 151367
Series 65

Compensation/Fee I am a Fee-Only financial professional, Based on Assets


Office Location 2945 Townsgate Road Suite 200,
Westlake Village,
CA 
91361

Phone Number (805) 7272000

As Managing Director at Palm Capital Management based in Westlake Village, California, Alano Massis specialty as a financial planner, retirement planner, and investment manager assists many individuals and families living in the areas of Westlake Village, Thousand Oaks, Las Vegas, and across the United States. Alano is a CERTIFIED FINANCIAL PLANNER" practitioner, holds a Bachelor of the Arts (BA) in Communication Studies, a Master of Business Administration (MBA) in Finance, a Series 65 securities license, and is certified for life, accident and health insurance. Using his analytical background and investment experience, Alano implements financial strategies customized for the unique needs of each client to build, preserve and transfer wealth. Individuals that Alano services primarily include business owners, retirees, engineers, physicians, real estate professionals, divorcees, and young professionals. For qualified high-net worth clients, Alano provides strategic advice and access to alternative investments, including real estate, hedge funds, private equity, structured products, and derivatives. 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 compensation for any commissions or trade executions. His minimum investment to begin a financial planning relationship is $100,000.

About Palm Capital Management

Palm Capital Management is a d/b/a of Dynamic Wealth Advisors (CRD #151367), a registered investment advisor. The firm's mission is simple. We want to provide peace-of-mind. In doing so, we service our Clients by providing objective advice without any hidden agendas. As fiduciaries, we are obligated to act in the best interests of our Clients at all times. Our services include personalized financial planning, retirement planning, investment management, and risk management. We differentiate ourselves by providing competitively-priced solutions with exceptional service.




Qualifications CRD# 5230816
FirmCRD# 141988
Series 65

Compensation/Fee I am a Fee-Only financial professional, Based on Assets, Flat Fee, Hourly


Office Location 20335 Ventura Boulevard, Suite 125,
Woodland Hills,
CA 
91364

Phone Number (818) 8876443

Anthony A. Saccaro, ChFC, founder and president of Providence Financial & Insurance Services, is a financial planner and registered investment advisor. For over 15 years, he has coached thousands of individuals with their finances. He is passionate about helping them develop income strategies for a secure future. Saccaro is a frequent speaker on estate and financial planning topics and is an advisory board member for Senior Market Advisor, a leading industry publication. Saccaro has been featured in prestigious publications such as The Wall Street Journal, USA Today, Forbes, Los Angeles Daily News, Pasadena Star News, Fox Business, West Valley News and Long Beach Tribune. In 2011, the San Fernando Valley Business Journal named Providence Financial as one of the top 100 firms in the San Fernando Valley. In October 2012, Saccaro appeared on the cover of Life Insurance Selling, a premier national magazine for financial planners and insurance professionals. In May 2013, Forbes named him one of Southern California’s Financial Leaders and featured him in that month's edition of their magazine. In January 2014, Saccaro was invited to be a guest on KCAL9 News and speak on the topic of financial resolutions. As a born again Christian, Saccaro professes his faith in Jesus Christ as his Lord and Savior and regularly attends Grace Community Church, pastored by Dr. John MacArthur, in Sun Valley, California. Born and raised in Los Angeles, Saccaro’s favorite pastimes include spending time with his wife Anca and son Aiden, reading, playing golf and traveling.

About Providence Financial & Insurance Services, Inc

Providence Financial & Insurance Services provides comprehensive financial, estate and tax planning education and services for clients in the greater Los Angeles area. We specialize in conservative investment strategies for baby boomers and retirees. Our service first philosophy means we invest our time in you and listen to your situation before ever asking you to become a client. At Providence Financial, we listen to our client's needs and concerns and educate them on their financial options. We then help them make informed decisions and come up with a customized financial action plan. Investing can be tricky, but our experience and knowledge in financial and estate planning, investment portfolios and asset management help us to maximize our clients’ goals. It’s what we’ve been doing for 15years! When it comes to preparing for retirement, it is critical to find a financial advisor who cares about your life savings as much as you do. Anthony A. Saccaro, Chartered Financial Consultant and president of Providence Financial, coaches his clients and helps them to invest their hard-earned money in a responsible way. Contact us and schedule a free financial consultation. We promise that we will answer your questions and give you some good, old fashioned financial advice...all without any obligation to become a client if you don't want to!



Qualifications CRD# 3112275
FirmCRD# 104759

Compensation/Fee I am a Fee-Only financial professional, Based on Assets


Office Location 330 N. Brand Blvd.,
Suite 1150,
Glendale,
CA 
91203

Phone Number (800) 8202453

Alan is a Financial Advisor and member of WESCAP's Group’s Investment Committee. He has over 26 years of industry experience performing portfolio management, personal financial planning, research, client servicing, and marketing duties. Alan has counseled institutional clients and high net worth individuals of various occupational backgrounds. Prior to joining WESCAP Group, Alan was a Consultant and an Analyst with Seidler Foster Pott, a wealth management firm serving the needs of high net worth individuals and nonprofit organizations. Other past experience includes working for such distinguished Los Angeles-based investment firms as Kayne Anderson and Wilshire Associates. Alan is a CERTIFIED FINANCIAL PLANNER™ professional. He earned his MBA with a concentration in Finance from Loyola Marymount University and a Bachelor of Arts in Economics from the University of California, Irvine. Alan obtained his certificate in Personal Financial Planning (PFP) from the University of California at Los Angeles (UCLA). He is a member of the National Association of Personal Financial Advisors (NAPFA) and the Financial Planning Association (FPA). Alan is a life-long resident of Southern California. He resides in West Los Angeles with his wife Stephanie, a practicing attorney. In his free time, Alan enjoys cycling, hiking, traveling, photography, scuba, wine tasting, and cooking.

About WESCAP Group

WESCAP Group is an independent Registered Investment Advisory firm offering investment management and financial planning services to a diverse client base of individuals and families. Founded in 1988, WESCAP Group is headquartered in Glendale, California, and serves clients throughout the United States. We are objective, unbiased, and pursue the highest possible standards in everything that we do. Our distinctive attributes are: * Visionary portfolio construction * Unbiased financial planning * Extensive experience & education * Quantifiable results * Independence and integrity We provide exceptional service for our clients and strive to develop lifelong relationships.



Qualifications FirmCRD# 113299

Compensation/Fee I am a fee-based financial professional, Based on Assets, Commissions, Flat Fee


Office Location 1960 E. Grand Ave.,
Suite 720,
El Segundo,
CA 
90245

Phone Number (888) 7526742

Formal Education: Bachelor of Business Administration in Personal Financial Planning, Western Michigan University Business Background: Rachel Vivian has been an investment advisor for 15 years, and has been with Edelman Financial Services since 2015. Employment History: 2015–Present: Associate Director of Financial Planning for Edelman Financial Services. Provides financial advice to clients. 2010–2015: Financial Consultant at Fidelity Investments. Provided financial advice to clients. 2009–2010: Financial Consultant at AXA Equitable. Provided financial advice to clients. 2008–2009: Assistant Vice President and Client Manager at Bank of America. Provided financial advice to clients. 2003–2008: Licensed Financial Consultant at National City Bank. Provided financial advice to clients. Professional Designation(s): CERTIFIED FINANCIAL PLANNER™

About Edelman Financial Services, LLC

Founded by Ric and Jean Edelman in 1987, Edelman Financial Services is one of the nation's largest independent financial planning firms1 with 164 financial planners and 43 offices coast-to-coast, provides financial planning and investment management services to more than 36,000 individuals and families, and manages more than $21 billion in assets.2 The firm also provides 401(k) plans and institutional investment management for businesses. Edelman Financial Services has won more than 100 financial, business, community and philanthropic awards,3 and offers an investment philosophy that puts clients first and delivers value through in-depth financial education, personalized financial plans and unfettered access to planners.



Qualifications CRD# 5326196
Series 7, 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Flat Fee, Hourly


Office Location 2629 Townsgate Rd., Suite 245,
Westlake Village,
CA 
91361

Phone Number (888) 9025999Ext2

-CERTIFIED FINANCIAL PLANNER® -BA Finance -Finra Series 7 & 66 Registrations -Licensed Mortgage Loan Originator -Licensed Insurance Agent -Member of the Academy of Preferred Financial Advisors

About Gunn Financial Associates

Gunn Financial Associates is a financial planning firm providing financial, retirement and investment services to individuals, families and small business owners who desire a high-touch level of service. 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 -Income & retirement cash flow planning -Reducing income taxes now and in the future -Planning to preserve your assets and income -Estate planning in preparation for incapacity or death



List of Additional Financial Advisors in California
Kaspick & Company, Llc Redwood Shores, CA
Saratoga Research & Investment Management Saratoga, CA
Crowell, Weedon & Co. Los Angeles, CA
Crowell, Weedon & Co. Los Angeles, CA
Mccarthy Asset Management, Inc. Redwood Shores, CA
John Hancock Financial Network Orange, CA
Crowell, Weedon & Co. Los Angeles, CA
Fisher Investments Woodside, CA
Financial Engines Advisors, LLC Sunnyvale, CA
Crowell, Weedon & Co. Los Angeles, CA
Azure Wealth Management, LLC Woodland Hills, CA
Hbw Advisory Services Llc Simi Valley, CA
Benchmark Capital Advisors, Inc Redondo Beach, CA
Legacy Capital Management Inc Roseville, CA
Fundx Investment Group, Llc San Francisco, CA
Pacific Financial Strategies, Inc Thousand Oaks, CA
Scharf Investments, Llc Scotts Valley, CA
Sitka Pacific Capital Management, Llc Sonoma, CA
Brookstreet Securities Corp. Northridge, CA
Brookstreet Securities Corporation Fullerton, CA
Bruno Insurance & Financial Services Orcutt, CA
Vellum Financial San Luis Obispo, CA
R. E. Wacker Associates, Inc. San Luis Obispo, CA
CPL Financial Calabasas, CA
Edward Jones Carpinteria, CA
Crowell, Weedon & Co. Los Angeles, CA
Hbw Advisory Services Llc Simi Valley, CA
Grattan Financial Strategies, Inc. San Gabriel, CA
Lamia Financial Group, Llc Thousand Oaks, CA
Trovena, Llc. Redondo Beach, CA
Clark Brayman & Associates Torrance, CA
Clark Brayman & Associates Torrance, CA
Company Company San Gabriel, CA
Crimson Advisors, LLC Santa Monica, CA
Ensemble Capital Management, Llc Burlingame, CA
Multi Financial - StockYard Financial Grand Terrace, CA
Global Portfolio Dimensions, Inc. Campbell, CA
Signature Resources Irvine, CA
Poplar Global Wealth Management Llc San Bruno, CA
Wedbush Securities Inc. Los Angeles, CA
DTS Financial Group Irvine, CA
Metlife San Diego, CA
Corinthian Wealth Management San Jose, CA
He'e Nalu Investing, Inc. Thousand Oaks, CA
Fisher Equity Advisors Los Angeles, CA
National Planning Corporation Monterey, CA
Trilogy Financial Services Irvine, CA
Banta Asset Management Lp Newport Beach, CA
Debbini Financial & Insurance Services, Inc. Encino, CA
Denis R Wheatley Financial Services Santa Rosa, CA
Crowell, Weedon & Co. Los Angeles, CA
Wachovia Securities San Diego, CA
Lincoln Financial San Ramon, CA
Gbs Financial Corp. Santa Rosa, CA
Windward Capital Management Los Angeles, CA
Cameron Murphy & Spangler Inc Pasadena, CA
Crowell, Weedon & Co. Los Angeles, CA
Flaherty & Crumrine Incorporated Pasadena, CA
Niemann Capital Management Inc Scotts Valley, CA
Diligent Investors, Llc Redlands, CA
WCM Investment Management Laguna Beach, CA
Sfe Investment Counsel Inc. Los Angeles, CA
Bradford & Marzec, Llc Los Angeles, CA
Euro Pacific Capital Newport Beach, CA
Financial Education Network Development Los Angeles, CA
Focus Management Group, LLC Fremont, CA
SITES Retirement Solutions Santa Rosa, CA
Sfe Investment Counsel Inc. Los Angeles, CA
Ostrofe Financial Consultants, Inc. Grass Valley, CA
First Wilshire Securities Management, Inc. Pasadena, CA
Independent Financial Group Escondido, CA
Beacon Pointe Wealth Advisors, Llc Newport Beach, CA
Beacon Pointe Advisors, Llc Newport Beach, CA
Pacific Pointe Advisors Llc Santa Barbara, CA
Regal Wealth Group Inc. Seal Beach, CA
Grattan Financial Strategies, Inc. San Gabriel, CA
Taylor Frigon Capital Management Llc San Luis Obsipo, CA
Greg S. Porter, CFP Folsom, CA
Savedaily.Com, Inc. Seal Beach, CA
Gifford Fong Associates Lafayette, CA
American Investors Co San Ramon, CA
Protected Investors Of America San Francisco, CA
JFG Tax Services, Inc. Paramount, CA
Athena Investment Management Pasadena, CA
Retirement Planning Associates Van Nuys, CA
Npb Financial Group, Llc Burbank, CA
Kirby Wealth Management, Inc. Brea, CA
Crowell, Weedon & Co. Los Angeles, CA
Protected Investors Of America San Francisco, CA
Main Street Research Llc Sausalito, CA
Trinity Capital Management, Llc Santa Barbara, CA
Trinity Financial Partners Ontario, CA
Main Management, Llc San Francisco, CA
The Investment House Llc Los Angeles, CA
Edward Jones Folsom, CA
National Planning Corporation Irvine, CA
Gebhardt Group Inc Lafayette, CA
Freedom Wealth Management Glendora, CA
John R Carter Corporation Sherman Oaks, CA
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Scripps Tax & Financial Group San Diego, CA
Crowell, Weedon & Co. Los Angeles, CA
North Oaks Financial & Insurance Services Newbury Park, CA
Collins & Company, Llc Larkspur, CA
Peelle Financial & Insurance Services San Diego, CA
Ssi Investment Management, Inc Beverly Hills, CA
Summit Global Management Inc. San Diego, CA
Doheny Asset Management, L.L.C. Los Angeles, CA
Gruber & Mcbaine San Francisco, CA
Hargrave & Associates LLC Riverside, CA
Taylor Frigon Capital Management Llc San Luis Obsipo, CA
Covey & Covey San Diego, CA
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Meritage Wealth Advisory Livermore, CA
Fisher Investments Woodside, CA
Ameriprise Financial Services, Inc. Fresno, CA
Brouwer & Janachowski, Llc Tiburon, CA
LPL Financial Services Pasadena, CA
American Investors Co San Ramon, CA
Financial Synergy West Irvine, CA
Turnberry Financial Services, Inc. Westlake Village, CA
Merrithew & Thorsten, Inc. Fee-Only Financial Advisors San Diego, CA
Levinrad Capital Management Sherman Oaks, CA
UBS Financial Services, Inc. Walnut Creek, CA
Gsv Asset Management, Llc Woodside, CA
MAM Wealth Management, LLC Encino, CA
Morgan Stanley Smith Barney Sherman Oaks, CA
Winans International Novato, CA
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Criterion Wealth Management Valencia, CA
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Castle Creek Advisors Iv Llc Rancho Santa Fe, CA
RAM Financial Services Danville, CA
MetLife San Diego, CA
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Raymond James Financial Services Upland, CA
Professional Planning Thousand Oaks, CA
Merrill Lynch Beverly Hills, CA
Merrill Lynch Los Angeles, CA
Merrill Lynch Beverly Hills, CA
A. G. Edwards & Sons, Inc. La Jolla, CA
Waddell & Reed Concord, CA
Doheny Asset Management, L.L.C. Los Angeles, CA
Meridian Investment Counsel, Inc. San Leandro, CA
The Golub Group San Mateo, CA
Morgan Stanley Glendale, CA
Morgan Stanley Glendale, CA
American Investors Co San Ramon, CA
Oppenheimer & Co., Inc. Los Angeles, CA
PFS Investments, Inc. Newport Beach, CA
Volt Wealth Management San Diego, CA
Chan P & Co Inc Larkspur, CA
Grassi Investment Management, Llc Mountain View, CA
Quest Capital Strategies Los Angeles, CA
Main Management, Llc San Francisco, CA
Senior Vice President & Portfolio Management Director Morgan Stanley Wealth Management Newport Beach, CA
Financial Engines Advisors, LLC Sunnyvale, CA
The Clark Group Asset Management Sherman Oaks, CA
Holbrook Global Strategies Palo Alto, CA
Ameriprise Financial Services, Inc. Fresno, CA
Pine Capital Management, Llc San Francisco, CA
San Francisco Sentry Risk Advisors, Llc San Francisco, CA
San Francisco Sentry Investment Group San Francisco, CA
Hall Capital Partners Llc San Francisco, CA
Rick Plata and Associates Redlands, CA
Americafirst Capital Management, Llc Roseville, CA
Empyrion Wealth Management, Inc. Roseville, CA
Ameriprise Financial Service, Inc. Pasadena, CA
Integrity-West / Financial Strategies and Insurance Services Encino, CA
Stanford Investment Group, Inc. Mountain View, CA
South Coast Wealth Management Irvine, CA
Criterion Wealth Management Valencia, CA
Americafirst Capital Management, Llc Roseville, CA
Causeway Capital Management Llc Los Angeles, CA
Flaherty & Crumrine Incorporated Pasadena, CA
Ameriprise Financial Services, Inc. Fresno, CA
Fuller & Thaler Asset Management Inc San Mateo, CA
Envision Financial Solutions Laguna Beach, CA
Sp Investments Management, Llc San Bruno, CA
Morgan Stanley Smith Barney Carlsbad, CA
Poplar Global Wealth Management Llc San Bruno, CA
Quantum Capital Management Corte Madera, CA
Kipp Financial Group, Inc. Ventura, CA
Brouwer & Janachowski, Llc Tiburon, CA
Grand Jean Capital Management Inc. San Francisco, CA
Scott Wealth Management Group, Inc. Irvine, CA
Savant Investment Group, Llc San Francisco, CA
Woodland Leishman & Associates Santa Maria, CA
Osterweis Capital Management Inc San Francisco, CA
UBS Financial Services Inc. San Diego, CA
UBS Financial Services Inc. San Mateo, CA
UBS Financial Services, Inc. San Jose, CA
Locklin Financial Temecula, CA
Regal Wealth Group Inc. Seal Beach, CA
Dash Investments Beverly Hills, CA
Sound Retirement Advisors LLC Huntington Beach, CA
Signature Estate & Investment Advisors Irvine, CA
Financial Management Network, Inc. Mission Viejo, CA
Laurus Financial Group Orinda, CA
Softwealth San Diego, CA
MKT Advisors LLC Escondido, CA
F500 Advisory Services Newport Beach, CA
Trusted Financial Advisors Laguna Niguel, CA
ML Henderson & Associates Healdsburg, CA
Golub Group San Mateo, CA
McClurg Capital San Rafael, CA
Marquis Financial El Segundo, CA
Aspire Capital Management Walnut Creek, CA

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