Finding a Top Financial Advisor Firm in Anaheim, California
Even in a city like Anaheim, California, where there aren’t a ton of financial advisor firms to choose from, it can be tough to pinpoint the one for you. To make your life easier, SmartAsset tallied up every option in the city and took a deep dive into which types of investors they are best suited for. To help you differentiate, we have laid out each firm’s fee structure, services, account minimums and more. The SmartAsset financial advisor matching tool can even further simplify the decision process by connecting you with advisors who serve your area.
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| Rank | Financial Advisor | Assets Managed | Minimum Assets | Financial Services | More Information |
|---|---|---|---|---|---|
| 1 |
Chatterton & Associates
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|
$1,057,197,474 | $200,000 |
|
Minimum Assets$200,000Financial Services
|
| 2 |
Jack Keeter & Associates, Inc.
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|
$195,170,716 | $250,000 |
|
Minimum Assets$250,000Financial Services
|
What We Use in Our Methodology
To find the top financial advisors in Anaheim, 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:
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AUMFirms with more total assets under management are ranked higher. -
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Individual Client CountFirms who serve more individual clients (as opposed to institutional clients) are ranked higher. -
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Clients Per AdvisorFirms with a lower ratio of clients per financial advisor are ranked higher. -
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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.
Chatterton & Associates
Chatterton & Associates is a fee-based firm that makes money from more than just client fees. More specifically, it has certain employees who make commissions off the sale of insurance products or securities to clients. This creates the potential for a conflict of interest, because advisors have a financial incentive to recommend certain products and services over others. However, the firm’s advisors have a fiduciary duty that requires them to act in the best interests of their clients.
The firm manages assets of individuals and high-net-worth individuals. Chatterton charges clients a percentage of their AUM. Its account minimum is also just $200,000.
Chatterton advisors hold a combination of the following professional designations, among others:
- Chartered financial consultant (ChFC)
- Certified financial planner (CFP)
- Accredited portfolio management advisor (APMA)
- Certified plan fiduciary advisor (CPFA)
- Acredited investment fiduciary (AIF)
- Chartered special needs consultant (ChSNC)
Chatterton & Associates Background
Head financial planner Robert D. Chatterton indepently owns and runs Chatterton & Associates. The firm opened its doors for business in 2004.
Rather than employ a cookie-cutter approach to investment and wealth management, this firm chooses to customize everything it does to the client. That means that while it can handle retirement, taxes and other major financial areas of focus, it doesn’t predetermine what it will do before speaking with you.
Chatterton & Associates Investment Strategy
While Chatterton & Associates doesn’t preclude itself from investing client assets into individual stocks and bonds, it does prefer to invest in markets and industries. This is done mostly through index funds, asset allocation funds, real estate funds, high yield bond funds, international funds and emerging market funds.
But because this firm doesn’t shy away from using international investments, its evaluation process must be thorough. To ensure this is the case, Chatterton claims to utilize proprietary market research done by its own advisors and analysts, outside economic research, annual reports, company press releases, mutual fund market insights and corporate rating services.
Jack Keeter & Associates, Inc.
Jack Keeter & Associates (JKA) is a fee-based firm that mainly works with individual clients, most of who do not have a high net worth. Other clients include pensions and profit sharing plans.
As a fee-based practice, JKA employs advisors who may make commissions if they sell insurance products to clients. While creates a potential conflict of interest, the firm has a fiduciary duty that requires it to act in the best interests of clients.
The advisory team at JKA does not hold any professional certifications, like the chartered financial analyst (CFA) or certified financial planner (CFP) designation. The minimum amount you’ll need to open an account with this firm is $250,000.
Jack Keeter & Associates Background
JKA was established in 2011. The firm is 100% owned by principal Jack Keeter, who has spent around 20 years in the financial services business.
There are a number of different services you can get at this firm, including:
- Retirement planning
- Investment management/planning
- Estate planning
- Debt analysis
- Insurance review
- Business financial planning
- Tax planning
- Education cost planning
Jack Keeter & Associates Investment Strategy
In general, Jack Keeter & Associates is interested in growing client assets for the long term, but it isn’t opposed to using some short-term strategies along the way. For example, its advisors believe that purchasing securities with the mindset that they’ll be sold within a year allows you to take advantage of bursts of financial gain too.
The firm employs fundamental analysis to select short-term investment opportunities. This ideology combines the state of the market with the current financial state of the company whose stock you might purchase to develop a holistic view of the quality of the security.
