Finding a Top Financial Advisor Firm in Aliso Viejo, California
If you’re having trouble finding a suitable financial advisor, our ranking of the top financial advisor firms in the Aliso Viejo, California area can help you narrow down your search. The ranking compares each firm’s investment strategies, advisory services, assets under management (AUM) and more. You can also use SmartAsset’s free financial advisor matching tool to connect with up to three advisors who serve your area.
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What We Use in Our Methodology
To find the top financial advisors in Aliso Viejo, we first identified all firms registered with the SEC in the city. Next, we filtered out firms that don't offer financial planning services, those that don't serve primarily individual clients and those that have disclosures on their record. The qualifying firms were then ranked according to the following criteria:
- AUMFirms with more total assets under management are ranked higher.
- Individual Client CountFirms who serve more individual clients (as opposed to institutional clients) are ranked higher.
- Clients Per AdvisorFirms with a lower ratio of clients per financial advisor are ranked higher.
- Age of FirmFirms that have been in business longer are ranked higher.
All information is obtained through public records and is updated annually after the firms’ form ADV filing. This list may include firms that have a business relationship with SmartAsset, in which SmartAsset is compensated for lead referrals. Such relationships have no impact on our rankings, and firms are included and ranked based strictly on the above criteria. SmartAsset is not a client of the aforementioned firms, and did not receive compensation for including any of the firms on the aforementioned list.
The top advisory firm on our list in Aliso Viejo, California is none other than NFP Retirement, which is a fee-based firm. The company serves individuals, high-net-worth individuals, trusts, estates, corporations and other business entities.
NFP Retirement's investment minimum is $25,000 for portfolio management clients. However, plan services don't have a minimum amount since it's determined by the adviser on a case basis.
NFP Retirement Background
Founded in 1980 and owned by NFP Corp, the firm is lead by CEO Doug Hammond, president and chief operating officer Mike Goldman.
NFP Retirement Investing Strategies
The investment strategies the firm utilizes are passive (index) and actively managed mutual funds. Funds utilized are diversified to minimize the risk associated with the capital markets. For portfolio/model construction, the firm also adpots the modern portfolio theory by utilizing third-party research.