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Personalized advice for portfolio size
of 100K & above
There are hundreds of financial professionals in your area. However, choosing the right advisor that understands your financial situation and meets your needs may be quite daunting. WiserAdvisor has a network of vetted financial advisors and advisory firms and has listed them below. You can find the details of each advisor, such as their qualifications, service offerings, etc., that you could use while searching for the financial advisor that best suits your financial and investment goals.
We have been in business for the last 2 decades and constantly update and maintain a highly trusted directory of vetted fiduciary advisors that meet rigorous standards.
San Jose
has
5
WiserAdvisor vetted Financial Planners and Advisors on the online list below for you to
choose from and
164
non-vetted advisors in your local area. These financial advisors in
San Jose,
California
have an average of
26
years of experience.
NOTE: The list of vetted financial
advisors in
San Jose,
California
mentioned below does not include all the advisors in our network due
to their compliance listing restrictions. More vetted advisors may
be available when you use our free match service
to compare financial advisors near you in
San Jose, California.
| Financial Advisor | Experience | AUM | Minimum Assets | Fee Structure |
|---|---|---|---|---|
|
Allworth Financial
ALLWORTH FINANCIAL 1550 The Alameda, Suite 125, San Jose, CA 95126 644 North Santa Cruz Ave Suite 4, Los Gatos, CA 95030 |
Not Disclosed | $10,000,000,000 | Not Specified | Fee-Based |
|
Janet Wan
CFP®, CPFA SIERRA PACIFIC FINANCIAL ADVISORS 7077 Koll Center Parkway, Suite 120, Pleasanton, CA 94566 |
Not Disclosed | Not Specified | $1,000,000 | Fee-Only |
|
Kristie Cahill
CFP®, CEP® HAVEN WEALTH MANAGEMENT One Sansome St., Ste. 3500, San Francisco, CA 94104 |
22 Years | $60,000,000 | $250,000 | Fee-Based |
|
David Roggenkamp
ChFC® COMMONWEALTH FINANCIAL NETWORK 700 Larkspur Landing Circle, Suite 199, Larkspur, CA 94939 |
31 Years | Not Specified | Not Specified | Fee-Based |
Qualifications
Firm CRD# 111167
Compensation/Fee Fee-Based
Office Location
1550 The Alameda, Suite 125,
San Jose,
CA
95126
Phone Number
888-242-6766
Office Location
644 North Santa Cruz Ave Suite 4,
Los Gatos,CA 95030
Phone Number
888-242-6766
Allworth Financial has been providing transparent, straightforward, and honest financial advice to individuals and families for more than 26 years. They are a fiduciary, fee-based firm that focuses on helping people achieve financial confidence. The advisors at Allworth are not salespeople, so their sole interest is providing the recommendations and advice people need to hear. During your free consultation, the advisor will listen to your goals, answer your questions, and lay out a series of next steps for success.
Advisory Services Provided:
Retirement Planning, Tax Advice and Services, Estate Planning & Trusts
Qualifications
CRD# 4537792
Firm CRD# 131738
Series 65
Compensation/Fee Fee-Only, Flat Fee, Based on Assets
Office Location
7077 Koll Center Parkway,
Suite 120,
Pleasanton,
CA
94566
Phone Number
925-223-8868
Janet is the founder and the president of Sierra Pacific Financial Advisors, LLC (SPFA), an independent fee-only Register Investment Advisory (RIA) that focuses on financial planning, wealth management and corporate retirement planning. Janet oversees operations, client relations, business development and strategic planning for SPFA. She leads the investment committee at SPFA to define comprehensive planning strategies and sophisticated investment solutions for clients. She is also responsible for advanced employer retirement planning for small-to-mid size companies.
Sierra Pacific Financial Advisors, LLC (SPFA) is an independent, SEC- Registered Investment Advisory (RIA) firm with offices in Pleasanton, Cupertino and Oakland, California. We are fee-only financial advisors with over 110 years of experience helping clients navigate the complexities of managing their finances. We offer financial planning, investment and corporate retirement planning for individuals, families and corporate clients. At SPFA, we take time to listen carefully and identify your life goals, needs and priorities. We then develop a comprehensive financial plan that helps you address your important objectives for retirement, college planning, investment, tax minimization, equity reward strategies, wealth transfer, and other financial objectives. We provide recommendations for plan implementation, continuously work with our clients to identify gaps in the plan as their lives evolve. We demonstrate our distinct expertise in the following areas: " Retirement Distribution Planning with Tax Optimization Strategies for Pre-and-Post Retirees " Tax-aware Strategies of Diversifying Concentrated Stock Positions for Corporate Executives " Core-and-Satellite Investment Strategy for High-Net-Worth Individuals " Tax-advantaged Corporate Retirement Planning for Business Owners and Doctors with Private Practices Serving as fiduciaries, SPFA provides unbiased financial advice with a singular focus on serving clients best interests. Our mission is clear: guide clients to live the life of their dreams through prudent planning and management of their financial resources.
Qualifications
CRD# 4439727
Firm CRD# 281213
Series 66
Compensation/Fee Fee-Based, Based on Assets
Office Location
One Sansome St., Ste. 3500,
San Francisco,
CA
94104
Phone Number
415-878-1177
Kristie is a Certified Financial Planner and Wealth Advisor. She looks at each client's financial situation like a unique puzzle. She knows one approach won't work for every problem; that's why she takes the time to understand each client. Since 2000, Kristie has worked with several well-known investment management firms. She founded Haven Wealth Mangement and deliberately chose to work as a Registered Investment Advisor because it aligns her interests with clients needs. She attained her CFP before the age of 40, less than 5% of first-time CFP holders are women under the age of 40. She holds her California life and health insurance licenses and has been a Certified Estate Planner since January 2014. When she's not at work, Kristie loves traveling, snowboarding, scuba diving and spending time with her husband, Shane.
We offer financial planning, investment management and retirement planning for individuals and families. At HWM, we take time to listen carefully and identify your life goals, needs and priorities. We then develop a comprehensive financial plan that helps you address your important objectives for retirement, college planning, investment, tax minimization, equity reward strategies, wealth transfer, and other financial objectives. We provide recommendations for plan implementation, continuously work with our clients to identify gaps in the plan as their lives evolve. Our mission is the help our clients make sound financial decisions that allow them to thrive.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Investment Advice & Management, Tax Advice and Services, Insurance Products & Annuities
Qualifications
CRD# 1934091
Firm CRD# 8032
Series 7, 63
Compensation/Fee Fee-Based, Hourly, Commissions, Flat Fee, Based on Assets
Office Location
700 Larkspur Landing Circle, Suite 199,
Larkspur,
CA
94939
Phone Number
415-785-4540
David Roggenkamp has been in the investment advisory business for 31 years. His practice is focused on investment management for individuals and small businesses, including retirement plans. David also provides fee-based consulting guidance on retirement plan investments, education, fiduciary obligations for various types of trusts and qualified plans. He holds FINRA Series 7, 63 securities registrations through Commonwealth Financial Network® and is a certified Chartered Financial Consultant (ChfC). David was appointed Chartered Financial Consultant® (ChFC®) in 2000 from the American College in Bryn Mawr, Pennsylvania. The ChFC certification is a nationally recognized accreditation, demonstrating proficiency eight key areas of practice: investment analysis, capital markets, retirement planning, financial planning, investment risk management and succession planning for business owners and professionals, income tax law, and estate planning. The certification is a recognized standard for investment proficiency and fiduciary ethics in financial planning.David is involved in on-going education to affirm his ChFC certification as well as broker/dealer and regulatory agency education requirements. His immediate prior affiliations include: John Hancock Inc., Transamerica Investment Advisors Inc. David is a 1987 graduate of Kenyon College. David works and lives in Marin County, California, and has resided with his family in the San Francisco Bay area since 1988. References furnished upon request.
Commonwealth wants you to succeed! Working with us will help you achieve financial independence. Together, we'll implement and monitor a comprehensive process for managing assets and can advise you on most other aspects of your financial life. We typically establish lifelong client relationships. Client references furnished upon request. https://www.davidroggenkamp.com/
| Firm Name | No. of Advisors | No. of Clients | AUM | Fee Structure |
|---|---|---|---|---|
| 7 | 1270 | $845,313,930 | A percentage of AUM
|
|
| 6 | 1094 | $479,396,986 | A percentage of AUM, Hourly charges, Fixed fees
|
|
| 5 | 1160 | $414,579,396 | A percentage of AUM, Hourly charges, Fixed fees
|
|
| 4 | 1202 | $396,318,899 | A percentage of AUM, Fixed fees
|
|
| 11 | 3 | $389,956,072 | A percentage of AUM, Performance Based
|
|
| 8 | 893 | $357,042,569 | A percentage of AUM, Hourly charges, Fixed fees
|
|
| 5 | 695 | $345,006,471 | A percentage of AUM, Hourly charges
|
|
| 2 | 819 | $330,241,603 | A percentage of AUM, Hourly charges
|
|
| 5 | 448 | $153,613,622 | A percentage of AUM, Hourly charges, Fixed fees
|
|
| 3 | 540 | $137,127,750 | A percentage of AUM, Hourly charges, Fixed fees
|
|
| 5 | 349 | $134,190,713 | A percentage of AUM, Hourly charges, Fixed fees
|
|
| 7 | 187 | $123,808,664 | A percentage of AUM, Hourly charges, Fixed fees
|
|
| 6 | 187 | $118,224,184 | A percentage of AUM, Hourly charges, Fixed fees
|
|
| 6 | 224 | $115,304,397 | A percentage of AUM, Hourly charges, Fixed fees, Performance Based
|
|
| 3 | 305 | $104,270,715 | A percentage of AUM, Hourly charges, Fixed fees
|
* Additional advisors listing is provided in partnership with Yext
| Financial Advisor | Office Location | Phone Number |
|---|---|---|
| 225 W Santa Clara St, Suite 900, San Jose, CA 95113 | 408-947-2250 | |
| 225 W Santa Clara St, Suite 900, San Jose, CA 95113 | 408-947-2225 | |
| 225 W Santa Clara St, Suite 900, San Jose, CA 95113 | 408-947-2298 | |
| 225 W Santa Clara St, Ste 1600, San Jose, CA 95113 | 408-963-2269 | |
| 225 W Santa Clara St, Ste 1600, San Jose, CA 95113 | 408-963-2250 | |
| 225 W Santa Clara St, Suite 900, San Jose, CA 95113 | 408-947-2223 | |
| 1905 The Alameda, San Jose, CA 95126 | 408-287-6500 | |
| 225 W Santa Clara St, Suite 900, San Jose, CA 95113 | 408-947-2254 | |
| 225 W Santa Clara St, Suite 900, San Jose, CA 95113 | 408-947-3790 | |
| 225 W Santa Clara St, Ste 1600, San Jose, CA 95113 | 408-963-2288 |
Financial advisors and financial planners in California differ in their scope of services and qualifications. A financial advisor provides a variety of services such as investment management, retirement planning, wealth management, and more, depending on the need of an individual. In contrast, a financial planner is a qualified professional who creates personalized financial plans for clients, focusing on areas including retirement, tax, and estate planning. Planners hold specific credentials (CFP, CFA, etc.), and have a fiduciary duty to act in their client's best interests. To learn more, read on about the differences between Financial advisors and financial planners.
When choosing a financial advisor in California who specializes in socially responsible investing, be sure to ask the advisor about their approach to screening investments for environmental, social, and governance (ESG) factors. You can also search for advisors who are members of organizations like the Sustainable Investment Professional Certification (SIPC) or the US SIF: The Forum for Sustainable and Responsible Investment. Additionally, you may also use our free advisor match service to get matched to and compare 2 to 3 financial advisors who meet your specific requirements. To further understand a financial advisor's approach to socially responsible investing, consider using the following 6 Questions On Sustainable Investing That You Should Ask Your Financial Advisor.
When choosing a financial advisor in California, look for some common credentials like Certified Financial Planner (CFP), Chartered Financial Analyst (CFA), Chartered Financial Consultant (ChFC), etc. These designations indicate that the advisor has undergone rigorous training and testing in the field of financial planning and is committed to upholding high ethical standards. To ensure you are making a more informed decision while picking an advisor, explore the 6 common financial advisor certifications you need to know. To further explore the various credentials an advisor can hold, read more about advisor designations.
To ensure that a financial advisor in California prioritizes your best interests, seek out advisors who adhere to a fiduciary standard, which legally obligates them to act in your best interests and avoid conflicts of interest. When selecting an advisor, inquire about their fiduciary status and how they will consistently prioritize your interests. To make sure your best interests are being considered, learn more about the role of a fiduciary financial advisor and the support they can provide.
A financial planner can help you choose the most suitable retirement plans based on your individual circumstances and financial goals, including a 401(k), IRA, Thrift Savings Plan (TSP), and cash-balance pension plans. If you wish to learn more about planning for retirement, read more about the 4 Types of Retirement Plans.
A financial advisor in California may assist you in reducing your tax burden through various strategies, such as optimizing deductions, implementing tax-efficient investment strategies, exploring retirement account contributions, and advising on tax-advantaged savings vehicles. However, WiserAdvisor's directory may not include advisors that specialize in taxes. In the "Advisory Services Provided" section, you will be able to confirm if tax advice and tax preparation services are among the services they offer.
