Finding a Top Financial Advisor Firm in Alpharetta, Georgia
If you’re looking for a financial advisor in Alpharetta, Georgia, we can help. SmartAsset’s financial experts vetted all registered investment advisors (RIAs) in Canonsburg to find the top firms. You can also use our free financial advisor matching tool to connect with up to three advisors who serve your area.
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|Rank||Financial Advisor||Assets Managed||Minimum Assets||Financial Services||More Information|
|1||Clear Investment Research, LLC Find an Advisor||$6,584,884,189||No set account minimum|| || |
Minimum AssetsNo set account minimum
|2||Merit Financial Advisors Find an Advisor||$3,681,709,925||Varies based on account type|| || |
Minimum AssetsVaries based on account type
|3||Lumature Wealth Partners Find an Advisor||$563,006,607||$25,000|| || |
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|4||Forthright Wealth Management, LLC Find an Advisor||$488,173,467||$2,500 minimum annual fee|| || |
Minimum Assets$2,500 minimum annual fee
|5||TandemGrowth Financial Advisors, LLC Find an Advisor||$225,351,403||$500,000|| || |
|6||Wealth Enhancement & Preservation Find an Advisor||$206,000,000||$500,000|| || |
|7||Capital Endurance Group, Inc. Find an Advisor||$148,111,818||$500,000|| || |
What We Use in Our Methodology
To find the top financial advisors in Alpharetta, 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 accurate as of the writing of this article. 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.
Clear Investment Research, LLC
Clear Investment Research, LLC works with a number of companies offering retirement plans, a service that makes up a large part of the firm’s business on an AUM basis. However, individuals make up the largest percentage of the firm's client base.
The advisory team at this fee-only firm is led by founder Joe Jennings, a certified public accountant (CPA) and accredited investment fiduciary (AIF). The firm does not have a minimum investment, and portfolio management accounts can be on a discretionary or non-discretionary basis.
Clear Investment Research, LLC Background
Joe Jennings established Clear Investment Research in 2014 after years of working in institutional advising at Clearview Group and the Investment Research & Advisory Group (both in Atlanta). Jennings remains the firm's principal owner.
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, LLC Investment Strategy
When constructing portfolios, the firm looks to make long-term purchases, expecting to hold securities for at least a year. It applies fundamental analysis in its securities selection process. This method of analysis looks to find securities that have a higher intrinsic value than their current market value.
Rather than adhere to a specific selection of securities, this firm will invest in anything that falls in line with clients' goals. Although the firm typically doesn't look to do so, it may invest in cash holdings.
Merit Financial Advisors
Part of a network of financial advisory offices across the south, Merit Financial Advisors manages most of its assets on a discretionary basis.
The firm's headquarters is in Alpharetta, where the team hold multiple certifications, including certified financial planners (CFPs), a chartered financial consultant (ChFC), a registered financial consultant (RFC) and a certified divorce financial analyst (CDFA).
The vast majority of the firm's individual clients do not have a high net worth. It also serves pension and profit-sharing plans, corporations and charitable organizations.
The firm says that it may require a minimum account balance, but these can vary up to $250,000 depending on the services you subscribe to.
As a fee-based firm, certain on-staff advisors can earn commissions from insurance or securities sales. Despite this, the firm abides by fiduciary duty, legally binding it to act in your best interest.
Merit Financial Advisors Background
CEO Rick Kent founded Merit Financial in 2007. Kent has spent more than two decades in the financial services industry and he principally owns the firm. Kay Lynn Mayhue, Joseph L. Owenby and Gregory V. Gerhard, three other employees at the firm, also own a stake.
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.
Individual portfolios are designed according to the client's specific needs and goals. This involves reviewing their risk tolerance, time horizon, long- and short-term goals and income needs. Clients can impose some restrictions on the management of their money.
Lumature Wealth Partners
Lumature Wealth Partners is a fee-based firm that works with exclusively individual investors, the majority of whom do not have a high net worth. The firm’s minimum investment is $25,000.
Financial planning fees are charged on a fixed basis, while wealth management fees are based on a percentage of assets under management. Some advisors earn commissions for selling securities and insurance. This is a conflict of interest, but all are still bound by fiduciary duty.
The team at LWP includes three certified financial planners (CFPs) and one certified investment management analyst (CIMA).
Lumature Wealth Partners Background
LWP was founded in 2020 and is owned by founding partners Andrew Ross Ramsey and Ralph Corley Watson III.
Services include financial planning, business planning, trust and estate planning, financial reporting, investment consulting, insurance planning, retirement planning, risk management, charitable giving, distribution planning, education planning and investment management.
Lumature Wealth Partners Investment Strategy
Lumature leans heavily on individual stocks as an investment, with more than a third of client money going into individual equities. Mutual funds also make up more than a third of investments, with various types of bonds and cash holdings making up the rest.
Forthright Wealth Management, LLC
Forthright Wealth Management is a fee-based firm, as some advisors can receive commissions when they sell certain insurance products or securities to clients. While this creates a potential conflict of interest, the firm is legally bound by fiduciary duty to act in clients' best interests at all times.
The firm does not require a minimum amount of investable assets, though it does have a $2,500 minimum annual fee. Its client base is roughly two-thirds non-high-net-worth individuals and one-third high-net-worth individuals. Forthright Wealth also serves corporations, trusts and estates.
Forthright Wealth Management Background
Forthright Wealth Management was founded in 2015. The indirect owners of the firm are chief operating officer (COO) Jeff Wills, chief financial officer (CFO) and chief compliance officer (CCO) Tony Austreng, chief investment officer (CIO) Brian Johnston and chief technology officer (CTO) John Ellis.
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.
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.
If you have some restrictions that you'd like to place on the management of your assets, the firm will allow you to do so. The firm will need to approve them, though.
TandemGrowth Financial Advisors, LLC
The advisory team at TandemGrowth Financial Advisors manages assets primarily on a discretionary basis.
The fee-only firm’s client base is split between non-high-net worth and high-net-worth individuals. TandemGrowth Financial Advisors also serves charitable organizations.
There is a $500,000 investment minimum, though the firm may waive it at 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 Financial Advisors in 2000. He serves as president and chief investment officer (CIO), and he more than 30 years of experience.
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 Financial Advisors' approach combines “purpose-built planning and evidence-based investing.” It builds customized portfolios, using fundamental, technical and cyclical methods of securities analysis.
Generally, it allocates client 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.
Wealth Enhancement & Preservation
If you're interested in becoming a client of Wealth Enhancement & Preservation (WEP), you'll need a minimum of $500,000 in investable assets. The firm may waive this minimum at its discretion.
WEP's client base is comprised of a roughly even split between high-net-worth and non-high-net-worth individuals.
This firm's premier service is its customizable investment management offerings. However, WEP has a wide selection of financial planning services as well, such as risk management, tax management, cash management, legacy and estate planning, retirement planning, business succession planning and more.
As a fee-based firm, certain advisors at WEP can earn commissions from insurance and securities sales. Depsite this, the firm abides by fiduciary duty, legally binding it to act in your best interest no matter what.
Wealth Enhancement & Preservation Background
This firm has been in business since 2002. Prior to becoming Wealth Enhancement & Preservation, it operated under the name Infinite Asset Management. Darrin Cohen, the CEO of WEP, is the principal owner of the firm.
Despite its relatively small size, this firm boasts a wide range of advisory certifications. These include four certified financial planner (CFPs) and one certified public accountant (CPA).
Wealth Enhancement & Preservation Investment Strategy
Wealth Enhancement & Preservation believes in building portfolios according to the specific goals and needs of clients. As a result, the firm will work with you to gain a deep understanding of your personal financial and investment objectives, risk tolerance, income needs, time horizon and more. It does this through a series of personal interviews and questionnaires.
While the above factors do play a part in how your portfolio is built, WEP also uses a number of model portfolios. The firm has seven model portfolios in total, with each focusing on a different set of securities and strategies.
Capital Endurance Group, Inc.
Capital Endurance Group is a fee-only firm that serves both non-high-net-worth and high-net-worth individuals.
To be a client, the firm requires a minimum of $500,000 in investment assets for wealth management services.
Capital Endurance Group charges a fee based on a percentage of assets under management. This fee can range from 1.5% for the first $500,000 to 0.55% for amounts over $5 million.
The firm also charges a fixed fee for financial planning services that ranges from a minimum of $2,000 to $10,000.
Capital Endurance Group Background
Capital Endurance Group is a wealth management firm that started out as a Georgia corporation in 2011. The firm's chief compliance officer Patrick M. Dailey is the principal owner. He is also an investment advisor representative.
Financial professionals at Capital Endurance Group do not charge performance-based fees and do not conduct side-by-side investment product management.
The advisory staff holds multiple certifications as certified financial planners (CFPs) and a chartered financial analyst (CFA).
Capital Endurance Group Resources
Capital Endurance Group offers portfolio management advice and strategies, as well as financial planning consultations.
The firm says that it could use a range of investment strategies to implement the advice given to clients, which includes long-term purchases, short-term purchases, active trading, short sales, and options strategies (these include covered options, uncovered options, spreads and straddles).
As with other firms, financial strategies are based on an investment plan that has been developed for the specific investment goals and needs of the client.