Finding a Top Financial Advisor Firm in Campbell, CA
Campbell offers many options when it comes to advisory firms. While identifying the firms in the area might be easy, finding the most suitable one for your financial situation can hard. Our list of the top advisors in the area will help you narrow the field. You can also use our free financial advisor matching service to find up to three advisors who serve your area.
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|Rank||Financial Advisor||Assets Managed||Minimum Assets||Financial Services||More Information|
|1||Wade Financial Advisory, Inc. Find an Advisor||$658,862,278||No set account minimum|| || |
Minimum AssetsNo set account minimum
|2||Mine & Arao Wealth Creation and Management, LLC Find an Advisor||$214,238,109||$100,000|| || |
|3||Kaizen Financial Strategies, LLC Find an Advisor||$176,585,470||No set account minimum|| || |
Minimum AssetsNo set account minimum
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|4||Pruneyard Financial Group, Inc. Find an Advisor||$145,692,847||No set minimum|| || |
Minimum AssetsNo set minimum
What We Use in Our Methodology
To find the top financial advisors in Campbell, 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.
Wade Financial Advisory, Inc.
Wade Financial Advisory, Inc. tops our list. The fee-only firm’s eight advisors have a range of qualifications, including the certified financial planner (CFP), certified public accountant (CPA), accredited investment fiduciary (AIF), IRS enrolled agent (EA), chartered alternative investment analyst (CAIA) and California registered tax preparer (CRTP) designations.
The firm has many clients, including non-high-net-worth and high-net-worth individuals, pension and profit-sharing plans, trusts, estates and charitable organizations. Clients pay an asset-based fee for investment management services, while the firm charges annual retainer fees for its financial planning and wealth management services. Wade Financial has no set account minimum.
Wade Financial Advisory Background
Wade Financial was founded in 1992 by Rodney D. Wade. Wade serves as the company’s chief executive officer (CEO) and a wealth advisor.
The firm mainly offers investment management, financial planning and pension consulting services. The firm’s financial planning services encompass many different areas of finance but especially tax planning. Clients can also receive guidance in retirement, college, philanthropic, liability, liquidity, risk and trust and estate planning.
The firm’s portfolio management includes quarterly performance reporting, portfolio review and monitoring, strategic and tactical rebalancing, real estate ownership analysis and various other services.
Wade Financial Advisory Investment Strategy
The firm says it’s dedicated to using integrity, expertise and service to help its clients meet their financial goals. The firm believes in merging institutional research with client objectives to ensure portfolio success. Advisors may use a range of investment options, including stocks, bonds, closed end funds, exchange-traded funds, exchange-traded notes and no-load mutual funds. Wade Financial may also utilize load-waived mutual funds, separate accounts, LP/LLC interests, money market accounts and bank deposits.
Mine and Arao Wealth Creation and Management, LLC
Mine & Arao Wealth Creation and Management, LLC is a fee-only firm with hundreds of millions in client assets. The firm's individual clients are mostly from its certified public accountant (CPA) practice. The advisory also serves pension plans and businesses.
The firm generally imposes a $100,000 account minimum, though it may waive the requirement. Clients pay an asset-based fee for investment advisory services. For financial planning, the fee is on an hourly basis.
Mine & Arao Wealth Creation and Management Background
Mine & Arao was established in 1999 by owners John T. Arao and Bud T. Mine. Both are CPAs.
Clients can receive asset management and financial planning advice. Regarding the latter, the firm can cover retirement, estate and tax planning.
Mine & Arao Wealth Creation and Management Investing Strategy
The firm analyzes multiple factors when deciding how to design client portfolios. It considers client age, risk tolerance and long- and short-term investment goals. The firm then allocates assets to fixed income and equity positions, and it only invests in mutual funds, stocks, bonds, certificates of deposit (CDs) and ETFs.
Mine & Arao may also invest in corporate notes and bonds, U.S. treasuries and individual securities.
Kaizen Financial Strategies, LLC
Kaizen Financial Strategies, LLC name comes from the Japanese phrase for continuous improvement.
With no set account minimum, the firm serves far more individuals who do not have high net worths than those who do. It also works with entrepreneurs and small business owners.
At Kaizen, advisors are also insurance agents. This dual role has the potential of posing a conflict of interest, but as an SEC-registered firm, Kaizen must put clients' interests first. The team includes one certified financial planner (CFP), one chartered mutual fund counselor (CMFC), one accredited portfolio management advisor (APMA), one certified fund specialist (CFS) and one JD. (Advisors may have more than one designation or degree.)
Fees for financial planning and consulting and pension plan consulting services are on an hourly or flat-fee basis. Investment management fees are asset-based.
Kaizen Financial Strategies Background
Iftikhar Ahmed, Saadia Ahmed, Saul Greene and John Stachnick founded the firm in 2018. Prior to that, the four worked at Waddell & Reed. Iftikhar Ahmed and Saadia Ahmed are the majority shareholders, while Stachnick has a small stake (less than 5%).
The firm offers financial planning, investment management and pension consulting services. Its financial planning may also include other stand-alone services. Kaizen also provides retirement plan consulting services to employer plan sponsors.
Kaizen Financial Strategies Investment Philosophy
The firm believes in using asset allocation to create diverse client portfolios. Kaizen also emphasizes on its website that it favors long-term investment strategies, but it follows the time horizons set by each of its clients. The firm’s key investment strategies include asset allocation, fixed income, long- and short-term purchases, options strategies, margin transactions, hedging and advanced options strategies and short sales.
As part of its investment process, Kaizen employs fundamental, technical, sector and qualitative analysis.
Pruneyard Financial Group
Pruneyard Financial Group is a financial advisor form that offers services to individuals (including high-net-worth individuals), pension / profit-sharing plans, charitable organizations, corporations, small businesses or other businesses and nonprofit entities.
There is no minimum account size necessary to participate in the firm's wrap fee program.
Pruneyard Financial Group Background
The firm was formed in 1995 and has been conducting advisory business since 1996. In 2016, John D. Masegian and Steven A. Schumaker became the principal shareholders of Pruneyard Financial Group. They represent the second generation of each of their families to lead the firm.
Clients can receive retirement plan services, portfolio management and financial planning.
Pruneyard Financial Group Investing Strategy
In order to identify, select and monitor investment vehicles, Pruneyard Financial Group uses fundamental, technical and/or qualitative analysis. Investment strategies and approaches include long- and short-term purchases, margin transactions and option writing.