Finding a Top Financial Advisor Firm in Chandler, Arizona
When you’re looking for a financial advisor, it quickly can become overwhelming. There are so many options available and it’s hard to sort through all the information out there. That’s where SmartAsset comes in. We researched the top firms near Chandler, Arizona and found the best three.
|Rank||Financial Advisor||Assets Managed||Minimum Assets||Financial Services||More Information|
|1||Providus Advisors, LLC Find an Advisor||$142,207,400||No set account minimum|| || |
Minimum AssetsNo set account minimum
|2||Keystone Wealth Partners, LLC Find an Advisor||$136,808,100||$250,000|| || |
|3||Strategic Income Group, LLC Find an Advisor||$119,894,800||No set account minimum|| || |
Minimum AssetsNo set account minimum
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How We Found the Top Financial Advisor Firms in Chandler, Arizona
We began with the U.S. Securities and Exchange Commission (SEC). If a firm wasn’t registered with the SEC, it was not eligible for this list. SEC-registered firms are under government oversight and follow rules and regulations, including adhering to fiduciary policies. We eliminated any firms that had disclosures or disciplinary issues, as were financial advisors that don’t manage individual client accounts. The final three firms are ordered from most assets under management (AUM) to least.
Providus Advisors, LLC
Providus Advisors, LLC comes in at the top of our list with over $142 million in assets under management. The firm, consisting of two advisors, has been in business since 2005 and operates with a fee-only compensation model. Fee-only financial advisors charge a percentage of assets under management and do not receive compensation from selling products, such as mutual funds or insurance.
Services offered include asset management and financial planning, and clients will not have to meet a minimum investment requirement. Providus commonly works with individuals with and without a high net worth, estates, trusts, charitable organizations, pension plans and profit-sharing plans.
Providus Advisors, LLC Background
Michael McGinley and James Dwyer are the founders and owners of Providus Advisors. They each have nearly 20 years of financial industry experience and are certified financial planners (CFPs) and accredited investment fiduciaries (AIFs). McGinley owned his own firm, McGinley Financial Advisory, for eight years before founding Providus. Dwyer was a vice president with Merrill Lynch prior to Providus.
Providus Advisors, LLC Investment Philosophy
This firm uses three types of analysis when evaluating securities: fundamental, technical and cyclical. Each analysis method helps the firm formulate investment advice. Overall, the firm uses both long-term purchases and short-term purchases. As a Providus client, your portfolio would likely be invested in mutual funds and exchange-traded funds (ETFs), according to the firm’s SEC brochure. This differs from firms that recommend portfolios with a mix of individual stocks, bonds and other investment vehicles.
Keystone Wealth Partners, LLC
Keystone Wealth Partners, LLC is a small fee-based financial advisor firm with almost $137 million in assets under management (AUM). The five-person team of advisors here boasts multiple certifications, including a certified annuity specialist (CAS), a certified income specialist (CIS), a certified estate and trust specialist (CES), a certified fund specialist (CFS), a certified tax specialist (CTS), a chartered financial consultant (ChFC) and more.
In order to become a client of this firm, you'll need at least $250,000 in investable assets. Individuals both with and without a high net worth, businesses and retirement plans make up Keystone's client base.
Certain advisory employees of Keystone Wealth Partners earn commissions for the sale of insurance policies to clients. Though this represents a potential conflict of interest, the firm is a fiduciary and therefore must act in your best interest.
Keystone Wealth Partners, LLC Background
Opened in 2014, Keystone Wealth Partners, LLC is under the principal ownership of founder and managing director John Hagensen. Hagensen has his own weekly radio show and has written a book about investing titled "Unleash Your Investments."
Financial planning and investment management are the central focus of Keystone's services. The firm can offer investment planning, retirement planning, college funding planning, debt management and tax analysis.
Keystone Wealth Partners, LLC Investing Strategy
Keystone Wealth Partners believes that a passive investment strategy is the key to acheiving long-term success with its portfolios. More specifically, it looks to combine the following trio of ideologies into this strategy:
- Modern portfolio theory (MPT): This philosophy attempts to maximize the relationship between risk and return so that your return potential is as high as possible for your risk level.
- Efficient market hypothesis: While stock-picking is popular with short-term investors, this theory looks to stay away from this market-beating ideology.
- Fama-French three factor model (FFTFM): FFTFM takes into account a trio of related considerations that recognize relationships between investment types and risk levels, similar to what MPT espouses.
Stocks, fixed-income securities, mutual funds and ETFs are the investment types that Keystone typically uses within clients' portfolios. According to the firm, your advisor will rebalance your account to ensure your predetermined asset allocation is maintained.
Strategic Income Group, LLC
Founded in 2013, Strategic Income Group, LLC has nearly $120 million in assets under management (AUM) and four advisors. The Chandler-based firm has no account minimum and offers services such as financial planning, investment management, estate planning, strategic tax management and insurance analysis. Typical clients include individuals and families, trusts, estates and corporations.
According to the firm’s website, Strategic Income Group is a Christian-based financial planning and management company. This firm employs three certified financial planners (CFPs) and one accredited asset management specialist (AAMS).
Strategic Income Group, LLC Background
Founder Michael Gauthier owns Strategic Income Group indirectly through the Gauthier Family Trust. He has more than 20 years of experience working in the finance industry and left Wall Street in 2013 to found this firm.
In addition to working with clients in person, the firm offers free downloadable financial organizer forms and a paid financial planning workbook that Gauthier created himself.
Strategic Income Group, LLC Investment Management Compensation
Strategic Income Group, operating under a fee-based model, requires its portfolio management clients to adhere to its wrap fee program. This means that the firm's fee schedule includes all possible charges you could come across, which bundles things nicely for new clients. Furthermore, the firm requires financial planning clients to enroll in the wrap portfolio management program. In other words, you can’t have standalone services.