How do I choose a financial planner for retirement?

Finding the right person or a financial advisory firm to help with your retirement planning might take some effort, but the effort is worth it. Financial advisors might have different specializations, look for one who has had past experience in retirement planning. Also, this could translate to a long - term relationship, so it's important to find someone whom you like, trust and respect

How do I know if my financial advisor is a fiduciary?

A fiduciary is any person or firm who acts on behalf of another individual or firm to manage their assets. Fiduciary financial advisors provide their client the highest quality of care while maintaining 'good faith', meaning they wouldn't act in favor of anyone else's interests, including their own. The best way to be certain that a financial advisor is a fiduciary is to simply ask.

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Find Top Financial Advisors in Stockton, California

Q: What does a financial advisor do?

Financial advisors help their client by providing financial advice and strategy to build wealth and eliminate risk. They assess the client's risk appetite, their unique needs and requirements, their short-term and long-term goals and guide them towards adopting the right financial plan, retirement plan, estate plan or education plan etc. as necessary. Learn more about the roles & benefits of a financial advisor.

Q: Is it worth paying for a financial advisor?

Financial advisors strategize financial planning and help you make the right decision about your investments. They weigh the pros and cons, and are breast with the latest industry updates regarding tax issues and investment vehicles. These valuable insights guide you to make investments that meet your financial requirements and goals such as buying a house, education, having a baby or securing your retirement.

Q: What is the difference between a financial planner and a financial advisor?

A financial advisor is any person who helps their client manage their money by giving valuable investment insights to help financial decision making. A financial planner is also a financial advisor but specializes in creating comprehensive plans for their clients to match their specific goals

Q: When should I hire a financial advisor?

A financial advisor can help you manage your finances especially when you don't have the time to do it yourself or when there are major changes in your life, such as getting married or having a baby. Even if you've managed your investment on your own, the best financial planners can vet your plan and assess it from a different perspective, to add surety to your decisions.

Q: How do I choose the right financial advisor?

While choosing a financial planner to help you with your investment decisions, it's important to do some spadework. Meet different consultants and compare and contrast their advice. Pick up clues that demonstrate their experience and integrity. It is also important to verify the credentials of an independent financial planner before making a decision.

Stockton, California is home to a population of over 324,000 residents and has a cost of living that is 22% lower than the state average. While this may be beneficial for Stockton residents' finances, it is still perhaps important to seek the advice of an experienced and certified financial advisor to uncover economic growth opportunities. Finding the right financial advisor can be a time-consuming task, but WiserAdvisor's list of ranked financial advisors and advisory firms can serve as a valuable starting point while searching for a trustworthy financial advisor. The vetted financial advisors and financial advisory firms listed on our directory are experienced in providing tailored guidance in retirement planning, investment management, wealth management, financial planning, estate planning, and more depending on your financial needs.

How To Find Trusted Financial Advisors in Stockton, California

Stockton has 5 WiserAdvisor vetted Financial Planners and Advisors on the online list below for you to choose from. These financial advisors in Stockton, California have an average of 31 years of experience.

NOTE: The list of vetted financial advisors in Stockton, 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 Stockton, California.

Qualified Financial Advisors in Stockton, California

VETTED

Financial Advisor	Experience	AUM	Minimum Assets	Fee Structure
Edelman Financial Engines, LLC9245 Laguna Springs DriveElk Grove, CA 95758 2175 North California BoulevardWalnut Creek, CA 94596 3945 Freedom CircleSanta Clara, CA 95054 2901 Douglas BlvdRoseville, CA 95661	N/A	$0	Not Specified	Fee-Only
David Roggenkamp4040 Civic Center DriveSan Rafael, CA 94903	N/A	Not Specified	Not Specified	Fee-Based

Financial Advisor

Edelman Financial Engines, LLC

9245 Laguna Springs DriveElk Grove, CA 95758

2175 North California BoulevardWalnut Creek, CA 94596

3945 Freedom CircleSanta Clara, CA 95054

2901 Douglas BlvdRoseville, CA 95661

ExperienceN/A

AUM$0

Minimum AssetsNot Specified

Fee StructureFee-Only

Financial Advisor

David Roggenkamp4040 Civic Center DriveSan Rafael, CA 94903

ExperienceN/A

AUMNot Specified

Minimum AssetsNot Specified

Fee StructureFee-Based

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Information on Qualified Financial Advisors in Stockton, California

VETTED

Edelman Financial Engines, LLC

About Edelman Financial Engines, LLC

Get a free financial plan

What if you didn't need to be ultra-wealthy for personal, top-to-bottom financial guidance and investment advice? Since 1986, we've helped millions of people get the ball rolling on their financial plans — with straightforward guidance built around their story and where they're headed next. Today, we're proud to be one of America's top independent investment advisory firms as ranked by Barron's (awarded September 2025, based on prior 12-month data through June 30), with nearly 1.25 million clients and more than $314 billion assets under management (as of March 31, 2026) — and prouder still of the trust clients place in us.

The Barron's Top 100 RIA Firms list, an annual ranking of independent advisory firms, is based on qualitative and quantitative criteria. Firms elect to participate but do not pay to be included in the ranking.

Qualifications

Firm CRD# 104510

Compensation/Fee

Fee-Only, Based on Assets

Office Locations

9245 Laguna Springs Drive,Suite 200,Elk Grove,CA 95758Phone Number877-208-7414

2175 North California Boulevard,Suite 800,Walnut Creek,CA 94596Phone Number877-208-7414

3945 Freedom Circle,Suite 450,Santa Clara,CA 95054Phone Number877-208-7414

2901 Douglas Blvd,Suite 250,Roseville,CA 95661Phone Number877-208-7414

VETTED

David Roggenkamp

About Commonwealth Financial Network

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

Client references furnished upon request. https://www.davidroggenkamp.com/

Qualifications

Firm CRD# 8032

Compensation/Fee

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

Office Location

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

Phone Number

415-785-4540

WiserAdvisor Reviews

Note: The client testimonials appearing above may not necessarily be representative of all client experiences with WiserAdvisor. You may click on the number of total reviews hyperlinked above to review the entirety of the reviews WiserAdvisor has received. WiserAdvisor did not pay any compensation in consideration of such reviews.

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FINRA/SEC Registered Advisors

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I Want to Take Charge.

Help me find and compare top vetted financial advisors in my area.

FINRA/SEC Registered Advisors

Your Information is Safe and Secure

Top Financial Advisory Firms in Stockton, California

Stockton, California is home to several reputable financial advisory firms specializing in multiple advisory services such as investment management, retirement planning, estate planning, tax strategies, and risk management.

Most firms in Stockton, California are registered with the SEC and follow a fiduciary standard. This means that they are legally obligated to act in the best interest of their clients. Being part of one of the largest and most diverse financial advisory markets in the country, the firms are well-versed in serving individuals and businesses with complex financial needs.

Methodology

To identify the top financial advisors and advisory firms in Stockton, California, all SEC-registered firms based in the city were first identified. Each firm was subsequently assessed based on the number of clients and affiliated advisors, AUM, fee structure, and the range of advisory services they provide. The associated advisors and firms were then ranked according to the following criteria:

AUM:Firms are ranked based on the size of their AUM, with those having larger AUMs being ranked higher.

Number of Clients:Firms catering primarily to individual clients were ranked higher.

Fee Structure:Firms employing a fee-only compensation structure are ranked higher.

Age of Firm:Established firms with proven longevity are ranked higher.

Clients per Advisor:Firms having a lower client-to-advisor ratio are ranked higher.

Advisory Services Offered:Firms offering a broad range of advisory services are ranked higher.

Please note: All information is sourced from publicly available records and updated once a year, ensuring any changes in credentials, services, or regulatory status are reflected and up to date. Firms are selected and ranked independently, according to the criteria described above.

WiserAdvisor features the firms listed above in the 'Top Advisory Firms' section based on objective criteria, without any influence from existing affiliations. No firm receives preferential treatment due to any relationship with WiserAdvisor.


CAPITAL RESEARCH AND MANAGEMENT COMPANYLos Angeles, CA	1384	22262	$3,315,358,763,219	A percentage of AUM, Other (GROSS INVESTMENT INCOME)
BLACKROCK FUND ADVISORSSan Francisco, CA	700	522	$3,047,294,350,591	A percentage of AUM
PACIFIC INVESTMENT MANAGEMENT COMPANY LLCNewport Beach, CA	3194	2811	$2,615,929,249,500	A percentage of AUM, Performance Based
CHARLES SCHWAB INVESTMENT MANAGEMENT, INCSan Francisco, CA	857	304509	$1,098,805,397,188	A percentage of AUM, Fixed fees, Other (COSTS)
FRANKLIN ADVISERS, INC.San Mateo, CA	408	18979	$467,015,634,913	A percentage of AUM, Performance Based
DODGE & COXSan Francisco, CA	306	746	$362,992,567,571	A percentage of AUM
ARES MANAGEMENT LLCLos Angeles, CA	2919	535	$314,926,162,888	A percentage of AUM, Performance Based
WESTERN ASSET MANAGEMENT COMPANYPasadena, CA	471	36775	$298,749,800,684	A percentage of AUM, Performance Based
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLCSanta Monica, CA	562	220	$208,753,633,756	A percentage of AUM, Fixed fees, Performance Based
KKR CREDIT ADVISORS (US) LLCSan Francisco, CA	470	187	$205,116,297,686	A percentage of AUM, Performance Based, Other (MANAGEMENT FEES)
SAGEVIEW ADVISORY GROUP, LLCNewport Beach, CA	262	34543	$202,573,491,630	A percentage of AUM, Hourly charges, Fixed fees
OAKTREE CAPITAL MANAGEMENT, L.P.Los Angeles, CA	853	637	$161,477,442,132	A percentage of AUM, Performance Based
PAYDEN & RYGELLos Angeles, CA	183	869	$142,283,304,330	A percentage of AUM, Fixed fees, Performance Based
PRIMECAP MANAGEMENT COPasadena, CA	40	37	$134,476,880,987	A percentage of AUM
HELLMAN & FRIEDMAN LLCSan Francisco, CA	120	42	$105,674,000,000	A percentage of AUM, Other (CARRIED INTEREST; PROFITS INTEREST)

Firm Name

CAPITAL RESEARCH AND MANAGEMENT COMPANYLos Angeles, CA

No. of Advisors1384

AUM$3,315,358,763,219

No. of Clients22262

Fee StructureA percentage of AUM, Other (GROSS INVESTMENT INCOME)

Firm Name

BLACKROCK FUND ADVISORSSan Francisco, CA

No. of Advisors700

AUM$3,047,294,350,591

No. of Clients522

Fee StructureA percentage of AUM

Firm Name

PACIFIC INVESTMENT MANAGEMENT COMPANY LLCNewport Beach, CA

No. of Advisors3194

AUM$2,615,929,249,500

No. of Clients2811

Fee StructureA percentage of AUM, Performance Based

Firm Name

CHARLES SCHWAB INVESTMENT MANAGEMENT, INCSan Francisco, CA

No. of Advisors857

AUM$1,098,805,397,188

No. of Clients304509

Fee StructureA percentage of AUM, Fixed fees, Other (COSTS)

Firm Name

FRANKLIN ADVISERS, INC.San Mateo, CA

No. of Advisors408

AUM$467,015,634,913

No. of Clients18979

Fee StructureA percentage of AUM, Performance Based

Firm Name

DODGE & COXSan Francisco, CA

No. of Advisors306

AUM$362,992,567,571

No. of Clients746

Fee StructureA percentage of AUM

Firm Name

ARES MANAGEMENT LLCLos Angeles, CA

No. of Advisors2919

AUM$314,926,162,888

No. of Clients535

Fee StructureA percentage of AUM, Performance Based

Firm Name

WESTERN ASSET MANAGEMENT COMPANYPasadena, CA

No. of Advisors471

AUM$298,749,800,684

No. of Clients36775

Fee StructureA percentage of AUM, Performance Based

Firm Name

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLCSanta Monica, CA

No. of Advisors562

AUM$208,753,633,756

No. of Clients220

Fee StructureA percentage of AUM, Fixed fees, Performance Based

Firm Name

KKR CREDIT ADVISORS (US) LLCSan Francisco, CA

No. of Advisors470

AUM$205,116,297,686

No. of Clients187

Fee StructureA percentage of AUM, Performance Based, Other (MANAGEMENT FEES)

Firm Name

SAGEVIEW ADVISORY GROUP, LLCNewport Beach, CA

No. of Advisors262

AUM$202,573,491,630

No. of Clients34543

Fee StructureA percentage of AUM, Hourly charges, Fixed fees

Firm Name

OAKTREE CAPITAL MANAGEMENT, L.P.Los Angeles, CA

No. of Advisors853

AUM$161,477,442,132

No. of Clients637

Fee StructureA percentage of AUM, Performance Based

Firm Name

PAYDEN & RYGELLos Angeles, CA

No. of Advisors183

AUM$142,283,304,330

No. of Clients869

Fee StructureA percentage of AUM, Fixed fees, Performance Based

Firm Name

PRIMECAP MANAGEMENT COPasadena, CA

No. of Advisors40

AUM$134,476,880,987

No. of Clients37

Fee StructureA percentage of AUM

Firm Name

HELLMAN & FRIEDMAN LLCSan Francisco, CA

No. of Advisors120

AUM$105,674,000,000

No. of Clients42

Fee StructureA percentage of AUM, Other (CARRIED INTEREST; PROFITS INTEREST)

Frequently Asked Questions

What does a financial advisor do?

Is it worth paying for a financial advisor?

What is the difference between a financial planner and a financial advisor?

When should I hire a financial advisor?

How do I choose the right financial advisor?