Top Financial Advisors in Brookfield, WI

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Charter Capital Management, the No. 1 firm on our list of the top financial advisors in Brookfield, is a fee-only practice with millions in client assets. Its client base includes non-high-net-worth and high-net-worth individuals, trusts, pension and profit sharing plans and foundations. The firm’s advisory fees are based on a percentage of AUM. Unlike fee-based firms, advisors at Charter Capital do not sell investment products or insurance for commissions. Account minimums vary based on account type and only the firm itself has the discretion to waive any minimum. 

Charter Capital’s team offers a range of specialities, including the chartered financial analyst (CFA), certified financial planner (CFP), chartered retirement planning counselor (CRPC), certified public accountant (CPA) and chartered retirement plans specialist (CRPS) designations. 

Charter Capital Management Background

Charter Capital was established as an independent investment advisory firm in 1977. The firm’s principal owners are Joel T. Hassler and Daniel R. Glaser. Charter Capital chiefly provides portfolio management and financial planning services, but the firm also offers pension consulting services.

The firm’s wealth management services also feature education planning, tax planning, retirement income planning, estate planning and other services.

Charter Capital Management Investment Strategy

Charter Capital generally invests in individual stocks and bonds, mutual funds, exchange-traded funds (ETFs) and money market securities. Firm advisors utilize a long-term asset allocation approach, along with various sources of information and data. This includes third-party research, corporate filings and press releases and internal research. 

The firm says it aims to create portfolios that generate long-term returns, and it structures portfolios so that they align with each client’s needs.

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Fee-based financial advisor firm Sterling Capital Management serves various clients, including non-high-net-worth and high-net-worth individuals, as well as a pooled investment vehicle. The firm imposes an account minimum of $100,000, though it may waive it at its discretion. It charges asset-based, performance-based, hourly or fixed fees for its advisory services. 

While the firm's advisory team features certified financial planners (CFPs), Sterling Capital sells mutual funds, annuities, insurance products, and receives commissions from personnel of the firm. his poses a potential conflict of interest, but Sterling Capital is an SEC-registered advisor which must put client interests before its own. 

Sterling Capital Management Background

Tom Portz founded Sterling Capital in 1997 and remains its sole owner. Portz and his son, also named Tom Portz, serve as advisors. Sterling Capital primarily provides investment advisory, financial planning, advisor referral and pension consulting services. The firm also acts as the general partner and investment advisor to Sterlingworth Capital Partners, LP, a hedge fund. 

Sterling Capital Management Investment Strategy

Sterling Capital mainly invests client assets in stocks, bonds and mutual funds. The firm largely focuses on changing factors in the global economy that influence market prices. Sterling Capital also says it utilizes various data sources, including commercially available software, rating services, general market/financial information or due diligence reviews -- and it is of course relies on the accuracy and validity of the information provided by selected vendors, rating services, market data and the primary issuers of said data.

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Brook Capital is a fee-based financial advisor that works with non-high-net-worth and high-net-worth individuals, charitable organizations, trusts, pension and profit sharing plans and corporations. Though the firm’s fee-based structure could present a conflict of interest, advisors are bound to their fiduciary duty to prioritize client needs. 

The firm is compensated through asset-based fees and fixed fees. Brook Capital requires clients to have a minimum of $100,000 to open an account. This may be negotiated with the client on a case-by-case basis.

Brook Capital's advisory team does not hold any financial accreditations, like the certified finanal planner (CFP) or chartered financial analyst (CFA) designations.

Brook Capital Background

Conducting business under the name Brook Capital, the firm was formed as Ramiah Investment Group in 2004. Ramu Ramiah acts as the firm’s principal shareholder. 

Brook Capital’s key advisory services include asset management and financial planning.

Brook Capital Investment Strategy

Some of Brook Capital's primary investment strategies include portfolio diversification, portfolio rebalancing and “buy-and-hold” investing. The firm also utilizes index ETFs and individual stocks, and advisors implement technical analysis when studying securities. 

Brook Capital also offers long-term growth and fixed income portfolios that may gain exposure to domestic and international equities, real estate investment trusts (REITs), domestic and international bonds, commodities and currencies. 

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Fee-only financial advisor firm Review Services, Inc. has hundreds of millions in assets under management. All of the firm’s advisors hold the CFP designation.

Review Services’ clients include non-high-net-worth and high-net-worth individuals, charitable organizations, corporations, trusts, pension and profit sharing plans and estates. Clients either pay asset-based or fixed fees for advisory services, and the firm doesn’t have a set account minimum. It does, however, require a negotiated down payment prior to beginning consulting services.

Review Services Background

Owned by Tim Konicke and Patricia Kiefer, the independent financial planning and investment management firm was founded in 1991. Clients have access to a range of wealth management services, including portfolio management, financial planning and consulting services. 

The firm’s consulting services also feature other areas of wealth planning, including:

• Estate planning
• Financial planning
• Retirement planning
• Tax planning
• Insurance planning

Review Services Investment Strategy

Review Services mainly utilizes fundamental analysis and technical analysis to study securities, and the firm describes its investment approach as one that values long-term investment performance. Review Services also believes that portfolio diversification enhances investment success.

The firm mainly invests in mutual funds, stocks, bonds, warrants, ETFs, government bonds, municipal securities, cash and cash equivalents. 

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Granite Financial Group is a fee-based firm serving a client base that consists of individuals, high-net-worth individuals, pension and profit sharing plans, charitable organizations, trusts, estates, corporations or business entities. 

Though Granite Financial earns asset-based, hourly and fixed fees, some advisors also generate commission-based compensation from the sale of securities. This can create a conflict of interest if advisors develop incentive to favor commissioned-products, but the firm says it works under a fiduciary obligation. 

Granite Financial requires a minimum of $100,000 for its Manager Access Select Program, but the firm may also charge higher or lower minimums in other instances, according to its brochure.

The team at Granite Financial features two advisors who hold the certified financial planner (CFP) designation. 

Granite Financial Group Background 

Founded in 2013, Granite Financial primarily provides portfolio management, wrap fee programs, financial planning and pension consulting advisory services.

Thomas J. Dornoff is the sole owner of the business. 

Granite Financial Group Investment Strategy 

Granite Financial employs numerous securities analysis methods when offering investment recommendations for its clients. These include fundamental analysis, charting analysis, technical analysis and cyclical analysis. The firm also relies upon short-term purchases and long-term purchases in its investment process.

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Entasis Asset Management is a fee-only advisory firm that primarily works with individual clients, both above and below the high-net-worth threshold. Entasis also serves corporations and other business entities, pension and profit sharing plans, endowments, foundations, charitable organizations, investment advisors, estates, government entities and trusts. The firm's minimum account size varies based on the type of account a client holds, ranging from $50,000 to $250,000. 

The team at Entasis features three advisors who hold the chartered financial analyst (CFA) designation, one of whom is also a certified financial planner (CFP). 

As a fee-only practice, Entasis and its advisors do no collect commissions for recommending third-party financial products or insurance. Instead, all of the money the business makes comes from client-paid fees. 

Entasis Asset Management Background

Founded in 2016, Entasis is managed by K. Robert J. Batchelor, Charles J. Batchelor and Michael J. Peters. The firm's core services are investment advisory and financial planning. 

Entasis Asset Management Investment Strategy

Entasis customizes investment portfolios to the needs of individual clients. The firm typically provides advice related to exchange-listed securities and securities traded over the counter, mutual fund shares, money market funds, corporate debt securities, municipal securities, real estate investment trusts (REITs), structured products and derivatives, as well as hedge fund shares. 

Entasis offers the following investment strategies:

• Equity
• Core fixed income
• Core plus fixed income
• High income
• Dynamic total return
• GenerationTech

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Envision Financial is a fee-only firm and the youngest practice on our list, having only been established in June 2021. The firm primarily works with high-net-worth individuals, although it does manage the assets of pension and profit sharing plans, as well as charitable organizations. While Envision Financial does not impose a minimum account size, the firm typically targets clients with at least $500,000 to invest. 

As a fee-only practice, Envision Financial's compensation comes solely from client-paid fees. The firm and its advisors do not sell financial products or insurance for commissions. 

The small team at Envision Financial features a certified financial planner (CFP) and two certified public accountants (CPAs). 

Envision Financial Background

Envision Financial opened for business in June 2021 and is currently registered with the Securities and Exchange Commission. Kevin P. Ellis, a CFP and CPA, is the sole owner of the practice. 

As for services, Envision Financial offers investment advice, financial planning, tax planning, estate planning and trust administration. The firm generally manages client assets on a discretionary basis, meaning the firm has full authority to conduct trades and transactions within client accounts. 

Envision Financial Investment Strategy

Envision Financial believes asset allocation is the most important decision that an investor faces. Due to the distinct differences in historical returns and volatility of stocks, bonds and cash, the firm holds that an investor's time horizon and risk tolerance  are the most important factors in selecting the appropriate asset allocation target.

The primary asset classes that Envision Financial uses within client portfolios are equities (stocks, mutual funds, commodities, etc.) fixed income and cash equivalents.