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Portfolio Size of 100K and
above
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Personalized advice for portfolio size
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Financial advisors in New York State play a critical role in helping individuals and businesses navigate complex financial matters. These professionals are equipped with the knowledge and expertise to help clients make informed decisions about their investments, retirement planning, wealth management, estate planning, etc. However, with so many financial advisors in the market, it can be challenging for consumers to identify trustworthy and competent advisors. WiserAdvisor works to connect individuals with trusted financial advisors in New York State who have been thoroughly vetted and evaluated for their years of experience, methods of compensation (Fee-only and Fee-Based), and hold clean records with FINRA and the SEC.
By working with screened advisors, you can rest assured that your financial affairs are in capable hands, and you can make informed decisions that align with your long-term financial goals. Browse our directory list of New York financial advisors today to connect with a vetted advisor and gain peace of mind about your financial affairs.
New York
has
18
WiserAdvisor vetted Financial Planners and Advisors on the online list below for you to
choose from and
3688
non-vetted advisors in your local area. These financial advisors in
New York
have an average of
20
years of experience.
NOTE: The list of vetted financial
advisors in
New York
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
New York.
| Financial Advisor | Experience | AUM | Minimum Assets | Fee Structure |
|---|---|---|---|---|
| 22 Years | Not Specified | $300,000 | Fee-Based | |
|
Kevin Myers
CAIA®, CFP®, EA, CFA® FLYNN FINANCIAL PARTNERS 56 Harrison St, Suite 203, New Rochelle, NY 10580 |
26 Years | $125,000,000 | $0 | Fee-Based |
|
Peter Levine
CFP®, CLU®, ChFC® AMERIPRISE FINANCIAL SERVICES, LLC 481 8th Avenue, Suite 1130, New York, NY 10001 |
24 Years | Not Specified | $100,000 | Fee-Based |
| 21 Years | $0 | $0 | Fee-Based | |
|
Richard Dougherty
CFP®, AIF® ECHELON WEALTH ADVISORS, LLC 1159 Pittsford Victor Rd, Ste 220, Pittsford, NY 14534 |
12 Years | $137,000,000 | $250,000 | Fee-Based |
| 32 Years | Not Specified | $100,000 | Fee-Only | |
| 21 Years | $134,000,000 | $100,000 | Fee-Based | |
|
Peter D. D'Agati
CFA® STEMBROOK ASSET MANAGEMENT 405 Lexington Avenue, 26th Floor, New York, NY 10174 |
29 Years | $74,460,968 | $1,000,000 | Fee-Only |
|
Decisional Wealth Advisors, LLC
CFP® DECISIONAL WEALTH ADVISORS, LLC 7000 E. Genesee Street, Building C, Unit 7, Fayetteville, NY 13066 |
10 Years | Not Specified | $50,000 | Fee-Based |
| 14 Years | Not Specified | $50,000 | Fee-Based | |
|
Nicholas J Efthemis
CFP®, CRPS® EMERGENT WEALTH ADVISORS, LLC 5500 Main Street, Suite 260, Williamsville, NY 14221 |
21 Years | $75,000,000 | $100,000 | Fee-Only |
|
Philip Capell
CFP®, JD, MS in Tax PIERMONT WEALTH MANAGEMENT INC. 48 South Service Road, Suite 102, Melville, NY 11747 |
24 Years | $0 | $500,000 | Fee-Only |
|
Bryant Asset Management
CFA®, CHARTERED FINANCIAL ANALYST BRYANT ASSET MANAGEMENT 1280 New Scotland Road, Slingerlands, NY 12159 |
14 Years | $0 | Not Specified | Not Specified |
|
Sterling Manor Financial, LLC
STERLING MANOR FINANCIAL, LLC Offices In, Saratoga Springs and Rhinebeck, Rhinebeck, NY 12572 |
20 Years | $145,000,000 | $100,000 | Fee-Based |
| Not Disclosed | $10,000,000,000 | Not Specified | Fee-Based | |
|
Altfest Personal Wealth Management
CPA, CFP®, CFA®, ChFC® ALTFEST PERSONAL WEALTH MANAGEMENT 445 Park Avenue, 6th Floor, New York, NY 10022 |
Not Disclosed | $1,500,000,000 | $1,000,000 | Fee-Only |
| Not Disclosed | Not Specified | $500,000 | Not Specified | |
|
U.S. Capital Wealth Advisors, LLC
CFP® U.S. CAPITAL WEALTH ADVISORS, LLC 150 East 52nd Street Suite 5001, New York, NY 10022 |
Not Disclosed | $5,918,424,543 | $250,000 | Fee-Only |
Qualifications
CRD# 4375926
Firm CRD# 8032
Series 7, 65, 66
Compensation/Fee Fee-Based, Flat Fee, Based on Assets
Office Location
190 Linden Oaks, Suite A,
Rochester,
NY
14625
Phone Number
585-787-6870
Your financial plan should be tailored to your family's goals, and that's why I take great care and satisfaction in weaving together a plan that is perfectly suited to your situation. As a fiduciary advisor, I focus on creating comprehensive blueprints that address both short- and long-term goals. I believe that to achieve wealth accumulation and sustainable retirement strategies, it's important to understand and work through the complexities of risk, income distribution, and tax planning, while building a flexible plan that can adapt as your needs change. With over 20 years of experience in the financial industry, I discovered early on that assisting people with their personal finances was not only an affinity of mine, but also a rewarding endeavor. Joining OakWood has allowed me to deliver the personalized planning and service that clients deserve, which can be difficult to find with larger firms. I look forward to getting to know you, understanding your goals, and providing guidance to keep you informed and empowered about your financial decisions.
What separates OakWood Financial Services from others is the personal connections we share with our clients. Mutual trust is built by listening to what you hope to accomplish and then providing you with the knowledge and guidance needed to feel secure in making the financial decisions to get there. OakWood was founded in 1999 as an independent firm with the overriding principle to prioritize our clients best interests. Whether you are retired, preparing for retirement, or navigating a significant life change, our advisors offer tailored assistance to address your planning and implementation needs.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services
Qualifications
CRD# 2976015
Firm CRD# 6413
Series 7, 63, 65
Compensation/Fee Fee-Based
Office Location
56 Harrison St,
Suite 203,
New Rochelle,
NY
10580
Phone Number
914-819-1819
Kevin is a Partner and a senior leader on the Private Wealth Management Team at Flynn Financial Partners (F2). With over 25 years of financial services experience, he takes a genuine interest in his client's personal and financial needs, working with them to cultivate long-lasting relationships. Kevin is committed to assessing market and lifestyle risks and their impact on his clients' objectives. His primary focus is on providing goal-oriented analysis, coordination, and execution for investments, retirement planning, risk management, tax minimization strategies, trusts, and estate planning. Kevin is a lifelong learner and holds several designations, including the Certified Financial Planning (CFP), Chartered Financial Analyst (CFA), Chartered Alternative Investment Analyst (CAIA), and IRS Enrolled Agent (EA). In addition, he maintains FINRA Series 7 and 65 licenses and life, health, and variable annuities product licenses. He received his B.A. in Economics from Binghamton University. Outside of work, Kevin lives in Rye, NY, with his family and two dogs. He enjoys exercising, cooking, and spending quality time with his loved ones. Kevin is passionate about financial literacy education and collaborates with various entities such as Barrons Magazine, Binghamton University, Iona University, Mount Saint Michael High School, and New Rochelle High School to provide programs that teach personal finance, investing basics, and entrepreneurship practices to teenagers and young adults.
Founded in 2008, Flynn Financial Partners is a fiduciary based financial planning and investment advisory firm serving clients in over 15 states. The core of who we are is rooted in enduring trust and absolute transparency - it is the foundation from which we grow a relationship with our customers. This is what makes us different.
Our approach allows us to make objective and independent decisions based on each client’s financial objectives. From first time investors to those securing stability for their twilight years, we are here to support, educate, and offer insight to every individual and institution that we encounter. We strive to be our clients trusted advisor to simplify financial complexity and enable our clients to focus on what matters most to them.
We start by having an in-depth conversation to examine your current situation and identify your goals. We collaborate with your other trusted advisors to analyze and evaluate your financial situation. We then create, help implement, and regularly monitor your plan to increase the likelihood of success.
Our tenured team of professionals shares a unique blend of expertise, experience, and success, as well
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts, Insurance Products & Annuities
Qualifications
CRD# 4022345
Firm CRD# 6363
Series 7, 63
Compensation/Fee Fee-Based, Commissions, Flat Fee, Based on Assets
Office Location
481 8th Avenue,
Suite 1130,
New York,
NY
10001
Phone Number
212-967-1428
Financial Advice, Investments, and Insurance. People come to me with complex financial issues. I help them understand their current situation. Together, we develop a plan to help achieve their financial needs and goals.
Putting clients first; it's what I do I'm proud to be associated with a firm known for its service and how it relates to clients, because serving your interests is my priority. I offer comprehensive financial advice and a broad range of solutions to help you and your loved ones live brilliantly, now and in the future. With the right financial advisor, life can be brilliant. Advisor is licensed/registered to do business with U.S. residents only in the states of AZ, CA, CT, DE, FL, GA, IN, IL, IA, NC, NJ, NY, NV, MA, PA, VA. Investment advisory services and products are made available through Ameriprise Financial Services, LLC, a registered investment adviser. An Ameriprise Financial Franchise Ameriprise Financial can not guarantee future financial results. Certified Financial Board of Standards, Inc. (CFP Board) owns the CFP® certification mark., the CERTIFIED PLANNER certification mark, and the CFP® certification mark (with plaque design) logo in the United States, which it authorizes use of by individuals who successfully complete CFP Board's initial and ongoing certification requirements. Third-party information and opinions, including those available through provided links, are believed to be reliable, but accuracy and completeness cannot be guaranteed by Ameriprise Financial. They are given for informational purposes only, are not intended to be used as the sole basis for investment decisions and may not meet the particular needs of an individual investor. Ameriprise Financial and its representatives do not give legal or tax advice. You should seek the advice of professionals, as appropriate, regarding the evaluation of any specific information or advice. The Confident Retirement approach is not a guarantee of future financial results. Ameriprise Financial cannot guarantee future financial results. Investment products are not insured by the FDIC, NCUA or any federal agency, are not deposits or obligations of, or guaranteed by any financial institution, and involve investment risks including possible loss of principal and fluctuation in value. Ameriprise Financial, Inc. and its affiliates do not offer tax or legal advice. Consumers should consult with their tax advisor or attorney regarding their specific situation. Ameriprise Financial Services, LLC, Member FINRA and SIPC.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts, Insurance Products & Annuities
Qualifications
CRD# 3208703
Firm CRD# 19616
Series 7
Compensation/Fee Fee-Based
Office Location
One Penn Plaza, 27TH FLOOR,
New York,
NY
10006
Phone Number
917-351-2088
With over 20 years of experience in financial services, I support individual and institutional investors in meeting their specific financial needs. I am dedicated to a process of seeking first to understand each client's unique situation and then develop investment plans around their long term goals and risk tolerances. My experience throughout major shifts in the markets enables me to help my clients structure balanced portfolios to address their specific financial goals. Institutional clients work with me as they seek access to capital market products and services and, specifically, fixed income products and services. Our institutional offerings include access to our equity syndicate calendar including preferred securities, new bond issues and initial public offerings (IPOs). It also includes access to research from Wells Fargo Securities. The last thing you need in your busy life is a complex web of financial relationships. As a Wells Fargo Advisors client, you'll enjoy the convenience and clarity of coordinating much, if not most, of your financial life through a single point of contact, me. It's a distinct advantage of working with one the world's premier financial institutions. In helping you address your financial needs beyond investing, I can provide access to various products and services through Wells Fargo banking and lending affiliates to help you meet your other financial needs. Wells Fargo Securities is the trade name for the capital markets and investment banking services of Wells Fargo & Company and its subsidiaries, including Wells Fargo Securities, LLC, member NYSE, FINRA and SIPC and Wells Fargo Bank, National Association
My goal is to help you take a proactive approach to your personal financial situation. I am dedicated to helping you make sound decisions for your financial future. Helping you gain a better understanding of investing, retirement, estate planning, and wealth preservation. Most importantly, I hope you see the value of working with me to pursue your financial goals.
Qualifications
CRD# 5271824
Firm CRD# 39543
Series 7, 66
Compensation/Fee Fee-Based, Hourly, Commissions, Based on Assets
Office Location
1159 Pittsford Victor Rd,
Ste 220,
Pittsford,
NY
14534
Phone Number
585-381-1861
Richard A. Dougherty, CFP®, AIF® President Rick is the President of Echelon Wealth Advisors, LLC. He helps clients invest their assets to accomplish various objectives. Rick continues to work diligently to lead, grow and differentiate Echelon Wealth Advisors, LLC. After graduating from St. John Fisher College, Rick went on to earn CERTIFIED FINANCIAL PLANNER™ Practitioner and Accredited Investment Fiduciary® designations. In addition, Rick holds his Series 7 and 66 FINRA licenses, as well as his Life, Accident and Health insurance certifications. Rick is also deeply involved in the community, serving on the Executive Committee for the Small Business Council of Rochester. Rick Co-chairs their signature event, the Business Person of the Year Celebration, and serves on the Renee Tschetter Scholarship Golf Tournament Committee, and its philanthropic component, SBC Cares. Rick is also an active member of Rochester Rotary. When he's not engaged in financial planning or helping clients, Rick enjoys spending time with his wife, two dogs, playing golf and watching Syracuse Basketball.
At Echelon Wealth Advisor, clients interests are our priority. We know that clients entrust us with more than money; you trust us with your family's financial future. With that comes the responsibility to listen, always put your interests first, and provide you with the tools and resources to acheive your objectives. We help our clients answer life's most important questions: Will you have enough money to live independently for the rest of your life? Do you understand how much retirement will cost and are you on track to meet your goals? How do you efficiently leave your money to your family and not to the government? We recognize there are no shortcuts in acheiving our clients objectives. By implementing consistent processes in everything we do, Echelon is committed to providing great value.
Advisory Services Provided:
Portfolio Management, Retirement Planning, 401K Rollovers, Education Funding and Planning, Financial Planning for Individuals, Tax Advice and Services, Estate Planning & Trusts, Annuities, Insurance Planning
Qualifications
CRD# 2169365
Firm CRD# 110528
Series 66
Compensation/Fee Fee-Only, Based on Assets
Office Location
5789 Widewaters Parkway,
Dewitt,
NY
13214
Phone Number
315-446-8720
Gregory W. Jennings has been associated with OMC Financial Services, Ltd., an independent, fee-only Registered Investment Advisory (RIA) firm, since 1994. He specializes in investment management, estate planning, and retirement planning/ counseling for individuals, families, small business owners and trusts. Greg actively manages his clients' portfolios and is responsible for research, asset selection, purchases and sales, monitoring and evaluation. He meets with each client personally, conducts regular reviews and strives to form long-lasting relationships. He is also actively involved in many of the day-to-day operations of OMC including marketing, business development, determining the firm's corporate strategy and developing/ adjusting the firm's management style and investment philosophy. Greg has been a guest on WCNY's Financial Fitness, WSTM's Noon Financial 411 and News 10 Now discussing retirement planning, investments and other financial topics. He has conducted seminars for current and displaced employees of several local companies and has also addressed schools, churches, and civic groups on various investment and retirement planning topics. He has written several articles for publication in the Central New York Business Journal and has also been published in the Eagle Newspapers.
OMC Financial Services is an independent Registered Investment Advisory firm. We provide objective and unbiased fee-only investment management, estate planning, retirement planning/counseling, and advisory services to individuals, families, professionals, small business owners, and trusts. For 40 years, we have been establishing long-term partnerships with our clients while taking an active role in their financial well-being as we work together toward achieving what is important to them. Every day we strive to deliver our guidance and professional management with exceptional client service. We truly believe that "client service isn't everything, it's the only thing," and our commitment to that is evident in all that we do.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Financial Advice & Consulting, Financial Planning for Individuals, Investment Advice & Management, Estate Planning & Trusts
Qualifications
CRD# 4199324
Firm CRD# NA
Series 6, 7, 26, 63, 65
Compensation/Fee Fee-Based, Commissions, Based on Assets
Office Location
225 Wilkinson St,
Syracuse,
NY
13204
Phone Number
315-527-3590
Matt founded Excelsior Wealth Partners to focus on client needs without a corporate agenda. He specializes in working with clients to provide wealth management and financial planning solutions to address their financial needs. Matt is a financial author with a series of podcasts, blogs, and books on relevant topics facing today's pre-retirees, retirees, and wealth management clients. His most recent book, How to Eat an Elephant - 11 Retirement Mistake to Avoid, was released in 2021. Excelsior Wealth Partners has become well-known for helping clients with the complicated retirement process. Matt is a graduate of St. Bonaventure University where he earned a Bachelor's Degree in Finance. He is a graduate of The American College's CFP® Certification Curriculum as well as obtaining his Chartered Life Underwriting designation. He resides in Manlius, NY with his wife: Shannon and their six children; Alex, Ryann, Campbell, Addison, Athan and Graham. He actively volunteers with the Cystic Fibrosis Foundation of CNY; where in 2018 he received the Champion for a Cure award, and GAMA International. Matt was also awarded the 2016 CNY Transformational Leader of the Year award through the Syracuse Business Journal. Matt had previously held the position of Managing Director at a Fortune 100 Company where he led that company to a record 6th consecutive US championship as the top performing Managing Director in the county.
Excelsior Wealth Partners offers all-encompassing financial services for our clients. As a well respected investment advisory firm, our reputation thrives on our high-level of customer satisfaction. When our clients are truly confident in their financial stability, we have done our job. Whether we assist you with your transition into retirement or helping you manage your portfolio risk; Excelsior Wealth Partners can help you achieve your financial goals
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts, Insurance Products & Annuities
Qualifications
CRD# 2406649
Firm CRD# 144116
Series 65
Compensation/Fee Fee-Only, Hourly, Flat Fee, Based on Assets
Office Location
405 Lexington Avenue,
26th Floor,
New York,
NY
10174
Phone Number
201-484-0063
Peter is the Founder and President of Stembrook Asset Management, and is actively involved in all investment and research activities of the firm. Prior to founding Stembrook, Peter was founder and Head of Portfolio Strategy Research at Brown Brothers Harriman. In this role, he was responsible for developing the high-level investment strategies for high-net-worth individuals, endowments, foundations, trusts, and institutions, representing $45 billion of investment assets. Strategies included a broad range of traditional and alternative asset classes, and incorporated tax planning, risk management and liquidity considerations. Peter served as Chairman of the Investment Committee responsible for selecting investments for inclusion in client portfolios and served on the Alternative Assets Investment Policy Committee. Peter also co-founded Brown Brothers Harriman's Tax-Efficient Risk Management practice, and was the senior researcher in charge of portfolio risk management and tax-efficient asset management for private clients. Previously, Peter spent four years with Lazard Asset Management where he developed a variety of sophisticated tools designed to measure, manage and evaluate client portfolios across countries and currencies. Peter earned his Bachelor of Science in Mathematics and Finance from Providence College, with honors. He is a holder of the Chartered Financial Analyst designation and is a member of both the CFA Institute and the CFA Society New York. Peter has been an invited speaker at numerous investor forums including Columbia Business School, the Institute for Private Investors and the Financial Planning Association
Our clients deeply value our personal, responsive approach to wealth management which provides you with direct access to an investment decision maker and business owner, rather than a salesperson or inexperienced advisor. You also have access to our network of high-quality professionals in tax, legal, and estate planning. But personal service without institutional-strength investment planning isn't enough. Your investment plan is developed using our proprietary processes and state of the art tools to provide you with a sustainable portfolio that is tax-efficient, diligently monitored, and tailored to your specific needs. Our team can also offer more complex solutions, such as trust services, options trading strategies, and guidance for executives and business owners on business sales and equity compensation plans, among others.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts
Qualifications
CRD# 7281184
Firm CRD# 326684
Series 65
Compensation/Fee Fee-Based, Based on Assets
Office Location
7000 E. Genesee Street,
Building C, Unit 7,
Fayetteville,
NY
13066
Phone Number
315-877-0554
John Harmatuk is a CERTIFIED FINANCIAL PLANNER™ and a Fiduciary to his clients and prospective clients. With a fiduciary duty to clients, John takes the responsibility of acting in your best interest with the utmost concern. As a trusted advisor, it is John's top priority to employ comprehensive financial planning techniques to help you make informed decisions regarding wealth accumulation, investment management, retirement planning, tax optimization, estate planning, and more. With a relentless focus on your financial well-being, John aims to empower you with the tools and knowledge necessary to build a secure financial future. As a CERTIFIED FINANCIAL PLANNER™, John operates with transparency and objectivity, placing your best interests at the forefront of every recommendation made. By not accepting any investment related compensation tied to commissions or product sales, you can be confident that the advice you receive is solely based on your unique needs and financial objectives. This approach ensures an unwavering commitment to providing you with the most suitable strategies and solutions tailored to your specific circumstances. John truly believes in the importance of personalized financial planning. By taking into account your unique circumstances, financial goals, risk tolerance, and values, John designs customized strategies that align with your aspirations. Through open and honest communication, John strives to build strong, long-lasting relationships with clients, ultimately providing them with peace of mind and financial clarity. Whether you are just starting your financial journey or seeking to optimize your current financial standing, John is here to guide you every step of the way. By entrusting your financial planning needs to you gain a trusted partner dedicated to your financial success. Reach out today to schedule a no-obligation consultation and unlock the path toward achieving your financial dreams.
Decisional Wealth Advisors (DWA), a leading comprehensive fee-based Registered Investment Advisor (RIA) specializing in providing personalized financial planning services in Syracuse and Rochester, NY. We are not your typical "financial advisor" or "stockbroker" in fact, we are the opposite. We are Fiduciaries, and we provide unbiased investment and financial planning advice that is in our client's best interest and not our own. It's that straightforward. Our primary goal is to empower individuals, families, and business owners with financial literacy in a new and innovative way. Understanding your finances leads to genuine interest. At DWA, we prioritize secure and prosperous futures through financial planning, investment management, retirement income planning, and tax management.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts, Insurance Products & Annuities
Qualifications
CRD# 2772152
Firm CRD# 6413
Series 7, 66
Compensation/Fee Fee-Based, Hourly, Commissions, Flat Fee, Based on Assets
Office Location
900 Route 111,
Suite 280,
Hauppauge,
NY
11788
Phone Number
631-350-7024
I am an independent CERTIFIED FINANCIAL PLANNER™ professional and my practice is centered around comprehensive financial planning with a focus on retirement planning and investment management. I am also a Retirement Income Certified Professional® who is securities registered and licensed for life, health, disability, and long term care insurance. I am affiliated with LPL Financial, a leading independent financial services firm. Through comprehensive planning I work with my clients to review their financial position relative to their financial goals and develop a plan of action to help achieve those goals. I foster an ongoing relationship through regularly scheduled meetings to help keep their financial plan on track as their life situation and the economy and markets change.
LPL Financial is a national independent broker/dealer headquartered in San Diego, Boston, and Charlotte that supports its advisors with independent investment research, financial planning and insurance expertise.
Qualifications
CRD# 2821400
Firm CRD# 6363
Series 7, 65, 66
Compensation/Fee Fee-Only, Flat Fee, Based on Assets
Office Location
5500 Main Street,
Suite 260,
Williamsville,
NY
14221
Phone Number
716-828-8390
What do you most enjoy about your work? I most enjoy that the work I do has such a real and profound impact on our clients. I get to help people feel confident about their future and live fuller, less stressful lives. As a CERTIFIED FINANCIAL PLANNER™ ( CFP ®), Nick is a recognized leader in helping clients align their finances with their life goals through modern wealth management. His experience spans well over two decades and his expertise in retirement, investment and comprehensive planning solutions help ensure clients get the clarity, advice and support they need to make the most of their wealth. His deep expertise combined with a truly personable approach is what sets Nick apart from a typical financial advisor. Nick believes that money is an important tool, and that modern wealth management is about aligning your resources and behavior with your goals. He serves as a trusted advisor who understands, cares about and is committed to helping you achieve the goals, experiences and outcomes that matter most to you. Nick is an active member of the community and associates with the SPCA and Humane Society. When he's not serving clients or his community, Nick enjoys quality downtime with his family, as well as hiking, fishing, and local theater.
Over the years we have found that when people come to us they are looking for far more than financial planning and investment management. People call on us when they have questions and are looking for answers. They seek us out when they have complexity yet yearn for simplicity. And, perhaps most of all, people come to us to turn their uncertainty into the clarity they need to manage their financial life with confidence. Upon working with us, our clients feel informed and empowered, they have transformed their reluctance into results and they experience service that exceeds their expectations. We have three core beliefs that serve as the bedrock of our work: Lead with advice One size does not fit all Expertise matters Our client-focused, time-tested approach delivers customized and comprehensive wealth planning seamlessly integrated with expert investment management and a boutique style that harkens to the days when everything was hand-crafted. If you are looking for a more modern approach to wealth management, we invite you to learn more. If you are ready to tart a conversation, let's talk.
Qualifications
CRD# 4544394
Firm CRD# 119376
Compensation/Fee Fee-Only
Office Location
48 South Service Road,
Suite 102,
Melville,
NY
11747
Phone Number
631-454-1585
Mr. Capell, CEO of Piermont, has been educating and assisting individuals and families with retirement, financial, & estate planning for over 20 years. He focuses on each client's financial needs, be it capital preservation or growth, income at retirement, and/or tax planning. Upon constructing a financial plan, Mr. Capell builds a portfolio asset allocation suitable to his client's objectives and risk tolerance. Philip is married with two sons and a daughter residing on Long Island. He is a multi-marathon finisher and an Ironman triathlon finisher. Education: College: Cornell University, Ithaca, New York, B.S. 1987. Law School: Washington School of Law, American University, Washington D.C., J.D. 1990. Graduate School: Pace University, New York, New York, M.S. in Taxation 1998. Memberships, Organizations & Offices: National Association of Personal Financial Advisors-accepted Member of the Nation's premier Fee-only Financial Planning organization. Financial Planning Association - member. Community, Articles & Pro Bono Activities: Monthly Guest speaker on Hofstra University's Bottom Line Benefit Talk show (WRHU 88.7 FM) Past Lecturer for Charles Schwab, Merrill Lynch, HSBC, MorganStanley (f/k/a Salomon SmithBarney), HSBC (f/k/a Republic National Bank), GreenPoint Bank, Mutual of New York Insurance, New York Life Insurance, MetLife Insurance, American Cancer Society, the New York State Society of CPAs, the New York State Bar Association, and the Nassau County Bar Association.
PIERMONT prides itself on helping investors plan for RETIREMENT; or if already retired, then on maximizing their RETIREMENT income and investment returns. Our team of experienced financial professionals focuses on providing RETIREMENT SOLUTIONS to Pre-retirees and Retirees. As an independent, non-commissioned/fee-only firm, we offer a FREE CONSULTATION so that we can understand your needs & objectives. Once we establish your financial plan, our investment team is able to manage your portfolio. We use an asset allocation investment strategy so as to maximize returns in light of your risk tolerance. We are confident we can help you achieve your financial goals and look forward to hearing from you.
Advisory Services Provided:
Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Estate Planning & Trusts
Qualifications
CRD# 5524806
Firm CRD# 8032
Series 6, 7, 24, 51, 63
Compensation/Fee Commissions, Flat Fee, Based on Assets
Office Location
1280 New Scotland Road,
Slingerlands,
NY
12159
Phone Number
518-963-5800
We provide great service: Our entire team of financial advisors and staff are dedicated to our clients success and wellbeing. Leveraging the latest technology coupled with old-fashioned personal service, we do our very best to exceed our clients expectations every single day. We educate: We do much more than manage our clients money. We help them build a path to financial success and realization of their life goals through ongoing education and behavioral coaching. We give back: We are a locally-owned firm dedicated to giving back to our community through our Bryant Asset Generations Grant program, sponsorship of the annual Delmar Dash, and ongoing support of numerous charities and community organizations. Reid Prinzo is dually registered as a registered representative and investment adviser representative of Commonwealth Financial Network. In these roles, Reid Prinzo is able to offer two types of accounts: brokerage accounts and asset management accounts. When serving as your advisor on a brokerage account, Reid Prinzo is required to act in accordance with the requirements of Regulation Best Interest (Reg BI). When serving as your advisor on an asset management account, Reid Prinzo is required to act in a fiduciary capacity.
More information is available in Commonwealth’s Form CRS.Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts, Insurance Products & Annuities
Qualifications
CRD# 2187856
Firm CRD# 284218
Series 7, 66
Compensation/Fee Fee-Based, Flat Fee, Based on Assets
Office Location
Offices In,
Saratoga Springs and Rhinebeck,
Rhinebeck,
NY
12572
Phone Number
518-583-4040
Your financial goals and circumstances are unique. A team approach to financial services affords you the advantage of having our joint experience, talents and perspectives incorporated in each of our recommendations. You will also have the convenience of a personal relationship with multiple professionals familiar with your goals and objectives. Sterling Manor Financial is an independent team of professionals who work with you to devise and implement dynamic financial strategies in order to help support your lifelong success. Securities offered through Cadaret, Grant & Co., Inc. Member FINRA/SIPC. Advisory services offered through Sterling Manor Financial, LLC, or Cadaret Grant & Co., Inc., SEC registered investment advisors.Sterling Manor Financial and Cadaret Grant are separate entities.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Investment Advice & Management, Estate Planning & Trusts
Qualifications
Firm CRD# 111167
Compensation/Fee Fee-Based
Office Location
20 Wildbriar Road Suite E,
Rochester,
NY
14623
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
Firm CRD# 110130
Series 65, 66
Compensation/Fee Fee-Only, Based on Assets
Office Location
445 Park Avenue,
6th Floor,
New York,
NY
10022
Phone Number
212-796-8729
With nearly four decades of experience, including recognition by Barron's, Forbes, the Financial Times and Bloomberg, our team has the expertise and the passion to successfully guide our clients' portfolios through a myriad of market conditions. We lead with a comprehensive financial plan that puts your goals and dreams first, then support it with world class investment strategies. Only by placing you at the core of everything we do can we truly meet your needs. We've found that the most successful solutions begin by asking the right questions, which is why we offer complimentary consultations to explore a professional relationship.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts
Qualifications
Firm CRD# 302050
Compensation/Fee Based on Assets
Office Location
Four World Trade Center,
150 Greenwich St, Ste 2946,
New York,
NY
10007
Phone Number
720-744-2145
Farther is a first-of-its-kind wealth management platform that combines the benefits of modern technology with the expertise and human touch of traditional wealth management. Backed by Bessemer Venture Partners, Context Ventures, Cota Capital, and Moneta Venture Capital, Farther caters to high-net-worth professionals who are building generational wealth and need a more holistic approach to managing their money. While there are more financial products and tools available than ever, until Farther, no solution delivered both a beautiful, well-designed technology experience and a solution to handle the complex and multifaceted nature of significant wealth.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management
Qualifications
Firm CRD# 288199
Series 65
Compensation/Fee Fee-Only, Flat Fee, Based on Assets
Office Location
150 East 52nd Street Suite 5001,
New York,
NY
10022
Phone Number
512-342-0202
We are an Independent, wealth management firm providing sophisticated, holistic and objective solutions for our clients. U.S. Capital Wealth Advisors was founded in 2017 as Legacy One Financial Advisors. In the summer of 2021, we aligned with USCA, RIA, the wealth management subsidiary of U.S. Capital Advisors, to form U.S. Capital Wealth Advisors (USCWA). U.S. Capital Advisors was founded in 2010 by a group of experienced professionals with a shared vision to combine the collegial atmosphere of a regional firm with the capabilities to provide differentiated investment opportunities and unique investment solutions. Headquartered in Houston with offices across Texas, USCWA is one of the largest independently owned investment advisory firms in Texas. We are proud of the Firm we have built and continually strive to bring a host of comprehensive service options to our clients. As a majority employee-owned firm, every one of us celebrates together as a team - one person's success is shared by the entire company. Our team is aligned in our client-centric standards and vision to empower others to realize long-term value. We strive to create an unmatched client experience that offers clients the dedicated financial support, guidance and advice they desire.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Insurance Products & Annuities
| Firm Name | No. of Advisors | No. of Clients | AUM | Fee Structure |
|---|---|---|---|---|
| 89 | 9031 | $20,112,768,647 | A percentage of AUM, Commision Based
|
|
| 39 | 17294 | $15,956,646,245 | A percentage of AUM
|
|
| 883 | 15727 | $3,856,530,902 | A percentage of AUM, Fixed fees, Performance Based
|
|
| 333 | 3995 | $2,481,367,832 | A percentage of AUM
|
|
| 4452 | 22 | $771,367,168 | A percentage of AUM, Performance Based, Other (TRANSACTION-BASED FEE)
|
|
| 1239 | 2 | $714,517,194 | A percentage of AUM, Other (FEES FOR SECURITIES TRADING IDEAS AND RESEARCH)
|
|
| 23 | 1192 | $710,114,755 | A percentage of AUM, Commision Based
|
|
| 18 | 977 | $598,534,126 | A percentage of AUM, Fixed fees
|
|
| 20 | 1405 | $333,145,019 | A percentage of AUM, Hourly charges
|
|
| 20 | 779 | $182,368,225 | A percentage of AUM, Other (SOLICITOR/REFERRAL FEES FROM OTHER RIA'S)
|
|
| 79 | 744 | $151,424,285 | A percentage of AUM, Hourly charges, Other (SELECTION AND MONITORING FEES)
|
|
| 70 | 159 | $103,435,214 | A percentage of AUM, Commision Based
|
|
| 1612 | 24 | $71,102,389 | A percentage of AUM, Fixed fees
|
|
| 170 | 0 | $0 | Fixed fees, Commision Based, Other (PURSUANT TO CSA AGREEMENTS)
|
|
| 141 | 0 | $0 | Hourly charges, Fixed fees, Commision Based, Other (BASED ON ASSETS)
|
You can utilize our New York advisor directory as the majority of advisors listed there offer retirement planning services. By clicking on the "View full profile" button of any vetted financial advisor, you can access detailed information about their services, fees, credentials, and more. In the "Advisory Services Provided" section, you will be able to confirm if retirement planning is among the services they offer.
The qualifications that you should look for in a financial advisor are years of relevant experience in providing advisory services to people in New York and also ensure that he has the necessary licenses and registrations with reputable regulatory bodies such as FINRA and the SEC. To learn more, read the guide on how to use BrokerCheck to evaluate a financial advisor's credentials.
The cost of hiring a financial advisor in New York can vary. Typically, financial advisors charge by a fee-only or fee-based ( fee and commission) model. It can range from a fixed rate of approx. $7,500 and above or approx. 1.02% of assets under management (AUM). To get a better understanding of how financial advisors charge and the factors influencing their fees, read more on the costs of hiring a financial advisor.
Financial advisors in New York offer a wide range of financial services to help individuals manage their finances. Some of the common services include investment planning, retirement planning, wealth management, education planning, tax planning, estate planning, and insurance planning. Financial advisors also provide advice on managing debt, creating and maintaining a budget, and setting financial goals. Learn more about who financial advisors are and what they do.
The cost of hiring a financial advisor in New York can vary. Typically, financial advisors charge by a fee-only or fee-based (fee and commission) model. It can range from a fixed rate of approx. $7,500 and above or approx. 1.02% of assets under management (AUM). To get a better understanding of how financial advisors charge and the factors influencing their fees, read more on the costs of hiring a financial advisor.
Yes, many financial advisors in New York are also tax professionals or work closely with tax professionals to help clients with tax planning and preparation. 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.
How often you should meet with your financial advisor may depend on your specific financial situation and goals. For complex finances, you may need to meet with your financial advisor weekly or monthly, while for those with regular income and simpler investments, quarterly or annual meetings may be enough.Your advisor can assist in determining the suitable meeting frequency based on your circumstances. Read on to learn more about how often you should meet with your advisor.
There are multiple benefits to hiring a financial advisor in New York. Financial advisors are finance professionals that help you by providing you with professional guidance and strategy to build wealth. You as a client also benefit from their deep knowledge, experience, and perspective and gain peace of mind knowing you're making informed financial decisions. Additionally, working with a financial advisor can potentially minimize investment risks and lead to more returns on your investments. The financial advisors also review your investments regularly and provide ongoing support to help you stay on track and adjust your financial plans as needed. To learn more, read about the benefits of working with a financial advisor.
When choosing a financial advisor in New York, it's important to do some initial research. You need to check each financial advisor's years of relevant experience, credentials (CFP, ChFCs, CFAs, etc.) education, and method of compensation,and ensure that he adheres to a strict code of ethics. It is also important to check for any disciplinary actions or complaints against the advisor through the registration status at the Financial Industry Regulatory Authority's (FINRA) BrokerCheck website. Use this guide to know how to use BrokerCheck on FINRA to research an advisor. To learn more, read the guide on choosing the best financial advisor.
New York has a variety of different types of financial advisors to meet diverse needs including:
Investment advisors and portfolio managers: Specialize in managing investment portfolios and providing personalized advice.
Wealth managers: Provide financial services, including investment management, estate planning, and tax strategies.
Financial planners: Address financial areas like budgeting, saving, and goal planning.
Retirement planners: Focus on helping individuals plan for their retirement years.
Robo-advisors: Leverage technology to provide automated investment solutions.
To further explore how financial advisors can support you, learn more about the different types of financial advisors and their areas of expertise.
