Top 10 Financial Advisors in Alpharetta, GA

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At the top of our list, Clear Investment Research has nearly $4.3 billion in assets under management (AUM). Charities and companies offering retirement plans make up a large part of the firm’s business AUM-wise, but individuals, both high-net-worth and not-high-net-worth ones, are a bigger portion of the client base.

The team is led by firm founder Joe Jennings, a certified public accountant (CPA) and accredited investment fiduciary (AIF). There is no minimum investment, and portfolio management accounts can be on a discretionary or non-discretionary basis. 

Clear Investment Research Background

Jennings founded the firm in 2014 after years of working in institutional advising at Clearview Group and the Investment Research & Advisory Group (both in Atlanta), to name his last couple places of employment.  

For its individual clients, Clear Investment provides investment advisory services and financial planning. It collects a percentage of AUM as its fee in the first case and an hourly or fixed rate for the latter. The practice also offers a wrap fee program, where service, transaction and other costs are bundled into one all-inclusive fee.

Clear Investment Research Investment Strategy

In constructing portfolios, the firm makes long-term purchases, expecting to hold securities for at least a year.  It applies fundamental analysis in its securities selection process. 

As of recent SEC data, assets under Clear Investment’s management were allocated between securities issued by registered investment companies (like mutual funds) or business development companies (48%) and securities issued by pooled investment vehicles (52%). 

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Part of a network of financial advisory offices across the south, Merit Financial Advisors manages almost $1.5 billion in assets, primarily on a discretionary basis. The headquarters is in Alpharetta, where the team includes three certified financial planners (CFPs), two chartered financial consultants (ChFCs), two registered financial consultants (RFCs), one chartered financial analyst (CFA), one accredited investment fiduciary (AIF) and one accredited estate planner (AEP). (Advisors may have multiple certifications.)

Clients who are not high-net-worth individuals outnumber those who are by about five to one (2,614 to 555). The firm also serves pension and profit-sharing plans, corporations, trusts, estates and charitable organizations. It states that it may require a minimum account balance but does not publish the amount.

Merit Financial Advisors Background

CEO Rick Kent founded Merit Financial in 2007. Two other current executive officers and he indirectly own the firm through their separate companies. Two other officers have very small stakes.

In addition to investment advisory services, the practice offers a number of financial consulting programs, including for employees, employers and companies with retirement plans. It also offers the services of brokers and insurance agents in the office - plus access to LPL Financial advisory programs. Fees for portfolio management services are a percentage based on the client’s AUM or can be an all-inclusive fee for participants in Merit Financial’s wrap fee program. Financial planning services are based on a flat-fee or hourly rate.

Merit Financial Advisors Investment Strategy

Merit Financial primarily uses a long-term, diversified investment strategy. Applying mainly fundamental analysis, it generally invests in mutual funds, exchange-traded funds (ETFs), common stock, individual bonds and variable annuities. As of its latest SEC filings, assets under its management were allocated as: 

• 91% in securities issued by registered investment companies (such as mutual funds) or business development companies
• 4% in cash and cash equivalents
• 3% in non-exchange-traded equity securities
• 2% in exchange-traded equity securities (like common stocks)

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Fee-only financial advisor Redwood Wealth Management has nearly $632 million in assets under management (AUM) on a discretionary basis only. Its team includes eight certified financial planners (CFPs), two certified public accountants (CPAs), one chartered financial analyst (CFA) and one certified divorce financial analyst (CDFA).

About two-thirds of clients are not high net worth. The firm does not require a minimum investment, though it does have a $5,000 minimum annual fee. It also serves businesses, pension plans, profit-sharing plans and other retirement plans. 

Redwood Wealth Management Background

Originally doing business by the name Niagara Financial Advisors, Redwood Wealth has been in business since 2001 (it changed names in 2009). It’s currently owned (indirectly through separate companies) by CIO Lane Steinberger and lead wealth managers Raj Chokshi, Shawn Meade and Rachael Neil. 

The practice provides portfolio management for a fee based on client AUM. It also offers financial planning and consulting at fixed-fee or hourly rate.

Redwood Wealth Management Investment Strategy

Redwood Wealth bases its overarching strategy on Modern Portfolio Theory, which holds that diversified portfolios will deliver optimal returns. Using both long- and short-term purchase strategies, the firm generally invests in mutual funds, exchange-traded funds (ETFs), individual equities, bonds and bond funds. It mainly applies fundamental analysis when selecting securities.

As of recent SEC data, investments under Redwood Wealth’s management were allocated as: 

• 91% in securities issued by registered investment companies (such as mutual funds) or business development companies
• 2% in exchange-traded equity securities (like common stocks)
• 2% in cash and cash equivalents
• 1% in non-exchange-traded equity securities
• 1% in state and local bonds
• 1% in investment-grade corporate bonds
• 1% in derivatives
• 1% in exchange-traded notes

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The four-advisor team at Forthright Wealth Management founded the firm in 2015. Managing more than $293 million in assets mostly on a discretionary basis, the team includes three certified financial planners (CFPs), one chartered retirement planning counselor (CRPC) and one chartered life underwriter (CLU). (Advisors may have multiple certifications.)

The firm does not require a minimum investment, though it does have a minimum $2,500 annual fee. Its client base is roughly two-thirds non-high-net-worth individuals and one-third high-net-worth ones. Forthright Wealth also serves corporations, trusts and estates. 

Forthright Wealth Management Background

The principal owners are Jeff Wills, Tony Austreng, Brian Johnston and John Ellis. With another Wills and Ellis on staff, the firm is a family shop.

Forthright Wealth primarily offers investment advisory services with financial planning included. Clients can choose to pay either a fee that is a percentage of assets under management or a wrap program fee, which bundles brokerage costs and management fees together. The firm also offers brokerage and insurance services (and employees working in those capacities are commission-based). 

Forthright Wealth Management Investment Strategy

The firm takes a long-term approach to investing, making purchases with the expectation of holding them for at least a year. It bases its securities selection primarily on fundamental analysis. It constructs portfolios mainly using mutual funds, exchange-traded funds (ETFs), common stocks and individual bonds. When appropriate, it may also recommend or select separate account managers.

According to recent SEC data, assets under Forthright Wealth’s management were allocated as: 

• 54% in securities issued by registered investment companies (such as mutual funds) or business development companies
• 36% in exchange-traded equity securities (like common stocks)
• 3% in cash and cash equivalents
• 2% in real estate investment trusts, tangibles, limited partnerships, annuities, alternative investments and closed-end funds 
• 1%  in U.S. government and agency bonds
• 1% in state and local bonds
• 1% in investment-grade corporate bonds
• 1% in index-linked certificates of deposit (CDs)
• 1% in preferred securities

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The Wealth Enhancement Group (TWEG) is a boutique wealth manager with $216.6 million in assets under management on a discretionary basis only. Its two-man advisor team has been working together for more than 15 years.

The firm serves individuals who are and aren’t high net worth. On its site, it specifies that its clients include business owners, land developers and celebrities. TWEG also works with trustees, pension and profit-sharing plans and corporations.There is a minimum $500,000 investment requirement, though it may be waived at the practice’s discretion.

The Wealth Enhancement Group Background

Michael Ross founded the firm in 1997. He is the principal owner while co-advisor Steven Petcovic has a small stake. They’re both registered representatives of brokers and licensed insurance agents, so while their investment advisory services are on a fee basis, they receive commissions from third parties in their other capacities.

In addition to portfolio management, securities sales and insurance products, TWEG offers guidance on estate planning, business planning, fringe benefit/retirement planning, college planning and retirement planning.

The Wealth Enhancement Group Investment Strategy

WEGI follows Modern Portfolio Theory and the fundamental concept that asset classes should not be selected on individual merits but for “changes in price relative to how every other asset class in the portfolio changes in price,” the firm states. As a result, WEGI primarily builds portfolios with top-performing mutual funds.  

According to recent SEC data, assets under the firm’s management were allocated mainly (93%) to securities issued by registered investment companies (such as mutual funds) or business development companies. The rest were in cash and cash equivalents (4%) and exchange-traded equity securities (3%).

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In business since 2010, Integras Partners manages nearly $162.1 million in assets primarily on a discretionary basis. Its three-person advisory team includes two certified financial planners (CFPs) and one chartered financial consultant (ChFC). (Advisors may have multiple certifications.)

The bulk of clients are not high net worth, with high-net-worth individuals making up about a third of the clientele. Integras highlights retirees, pre-retirees, working professionals and business owners as people it serves. It also works with pension and profit-sharing plans, corporations and charitable organizations. The firm has a $250,000 investment minimum, though it is negotiable. 

Integras Partners Background

Principal owners A. Sidney Browning and Keith Johnson co-founded the firm in 2010. They serve as CEO and CIO, respectively.

Investment advisory services are on a fee basis, though advisors who are insurance agents may receive commissions. The firm also provides financial planning and retirement plan consulting services.

Integras Partners Investment Strategy

Integras’s analysis involves fundamental, charting, technical and cyclical methods of analysis. In building client portfolios, it primarily invests in mutual funds, exchange-traded funds (ETFs), real estate investment trusts (REITs), business development companies, options, private placements and fixed income securities. The firm utilizes long-term purchases, short-term purchases and options trading and writing.

As of its recent SEC filings, assets under the practice’s management were allocated as:

• 50% in securities issued by registered investment companies (such as mutual funds) or business development companies
• 27% in exchange-traded equity securities (like common stocks)
• 13% in cash and cash equivalents
• 7% in securities issued by pooled investment vehicles (other than registered investment companies or business development companies)
• 3% in U.S. government and agency bonds

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The three-advisor team at Tandemgrowth Financial Advisors manages nearly $141.4 million in assets primarily on a discretionary basis. Together, they hold six professional accreditations: two certified financial planners (CFPs), two certified fund specialists (CFSes), one chartered financial consultant (ChFC) and one accredited investment fiduciary (AIF).

The fee-only firm’s clients are about evenly split between those who are and aren’t high-net-worth individuals. (On its website, Tandemgrowth describes them as “high-earning.” The firm also serves trusts and estates. There is a $500,000 investment minimum, though the firm may waive it as its discretion. It also has a program, dubbed “NextGen,” which has no minimum for qualified participants.

Tandemgrowth Financial Advisors Background

After a long career at a large firm, Jeff Bernier set out on his own, founding Tandemgrowth in 2000. He serves as president and CEO.

The boutique firm offers wealth management services, which include financial planning and portfolio management services. As mentioned earlier, it also offers these services, combined or stand alone, as a courtesy, to adult children of its clients. 

Tandemgrowth Financial Advisors Investment Strategy

Tandemgrowth’s approach combines, it says, “purpose-built planning and evidence-based investing.” To boot, it builds customized portfolios, using fundamental, technical and cyclical methods of securities analysis. Generally, it allocates assets among mutual funds and exchange-traded (ETFs), and to a much lesser extent, independent managers. Mutual funds and ETFs may or may not be available to the public directly.

As of its recent SEC filings, assets under Tandemgrowth’s management were primarily (66%) invested in securities issued by registered investment companies (such as mutual funds) or business development companies. The rest were in exchange-traded equity securities (28%) and cash and cash equivalents (6%).

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Lending their surnames to the firm’s name, Marcus Ashworth and Casey Sullivan founded Ashworth Sullivan Wealth Management Group (ASWM) in 2007. They, along with four other advisors, manage more than $122.1 million in assets under management on a discretionary basis only. The team includes three certified financial planners (CFPs) and one financial paraplanner qualified professional (FPQP).  

Individual clients who are not high net worth outnumber those who are by about three to one (163 to 51). The firm also serves corporations, other business entities, government entities, pension and profit-sharing plans, charitable institutions, foundations, endowments, estates and trusts. Account minimums range from zero to $150,000, depending on the investment program.

Ashworth Sullivan Wealth Management Group Background

Co-founders Ashworth and Sullivan own the firm. Chief Operations Officer Jessica Dabbs has a small stake.

The firm offers access to investing platforms from the National Financial Services and TD Ameritrade. The former has two kinds of accounts: Pinnacle, which is a wrap fee program that bundles costs together and has a $150,000 minimum, and Apex, which is not a wrap-fee and has no minimum. TD Ameritrade’s platform offers a non-wrap program and has a negotiable minimum of $100,000.

Additionally, ASWG may recommend a third-party account manager. Those fees depend on the manager.

The firm also offers financial planning and investment data storage and periodic comprehensive reporting services through eMoney. Investment management and financial planning services are on a fee basis, though advisors who are brokers or insurance agents may receive commissions in their other capacities.

Ashworth Sullivan Wealth Management Group Investment Strategy

ASWM applies fundamental analysis, technical analysis, charting and cyclical analysis when screening securities. It generally utilizes long- or short-term trading of stocks, mutual funds, fixed income securities and option transactions. It may use margin transactions. 

According to its recent SEC filings, assets under the firm’s management were allocated as:

• 66% in securities issued by registered investment companies (such as mutual funds) or business development companies
• 30% in exchange-traded equity securities
• 2% in cash and cash alternatives
• 2% in non-exchange-traded alternatives