Finding a Top Financial Advisor Firm in Hauppauge, New York
Looking for a financial advisor in Hauppauge, New York? Our experts have compiled this list of the top firms serving the city to help you find one that meets your needs. Below, we detail each firm's services, client base, minimum investments, certifications and more. To expand your search, use SmartAsset's free advisor matching tool. It will connect you with up to three vetted advisors who serve your area.
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| Rank | Financial Advisor | Assets Managed | Minimum Assets | Financial Services | More Information |
|---|---|---|---|---|---|
| 1 |
CCG Investments
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$1,400,000,000 | No set account minimum |
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Minimum AssetsNo set account minimumFinancial Services
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| 2 |
Lebenthal Global Advisors, LLC
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$637,425,770 | No set account minimum |
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Minimum AssetsNo set account minimumFinancial Services
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| 3 |
United Financial Planning Group, LLC
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$191,476,704 | No set account minimum |
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Minimum AssetsNo set account minimumFinancial Services
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| 4 |
NestEgg Advisors, Inc.
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$183,551,000 | $250,000 |
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Minimum Assets$250,000Financial Services
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| 5 |
Conrad Capital Management, Inc.
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$77,263,328 | Varies based on account type |
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Minimum AssetsVaries based on account typeFinancial Services
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What We Use in Our Methodology
To find the top financial advisors in Hauppauge, 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.
CCG Investments
CCG Investments, also known as CFM Advisors, is a fee-only firm that primarily works with pension and profit-sharing plans, but also serves individual clients above and below the high-net-worth threshold.
The firm does not require clients to maintain a minimum account size. Fees for portfolio management and pension consulting are based on a percentage of a client's assets under management. Fees for financial planning, on the other hand, are charged on a fixed basis.
CCG Investments Background
CCG Investments, which began operations in 1996, is owned by Apollo Lunar Module Limited Partnership, an entity owned by Michael S. Russo.
In addition to portfolio management and pension consulting services, the firm offers financial planning to clients, covering a variety of topics that may include:
- Budgeting and financial goals
- Tax and cash flow
- Investments
- Insurance
- Retirement planning
- Death and disability
- Estate planning
CCG Investments Investment Strategy
CCG Investments manages accounts on a non-discretionary basis, meaning clients must approve portfolio transactions and decisions. The firm typically purchases securities with the idea of holding them for at least one to avoid higher tax implications. CCG Investments does not limit its advice to particular securities and will recommend a variety of investments, including exchange-listed securities, securities traded over-the-counter, corporate debt securities, certificates of deposit, municipal securities, variable life insurance, variable annuities, mutual fund shares, U.S. governmental securities and interests in partnerships investing in real estate.
Lebenthal Global Advisors
Lebenthal Global Advisors (LGA), a fee-based firm with no minimum account size requirement, is next on our Hauppauge list. The firm works primarily with individuals, most of whom do not have high net worths. The only institutional clients at the firm are pension and profit-sharing plans.
Portfolio management fees are based on a percentage of assets under management and financial planning fees are generally fixed and determined in advance. However, some advisors have also licensed insurance agents and/or representatives of a broker-dealer. As a result, they can earn commissions on certain transactions, creating a conflict of interest. Despite this conflict, the firm must abide by its fiduciary duty to always act in its clients' best interests.
Lebenthal Global Advisors Background
LGA was founded in 2017 and is principally owned by Dominick Tavella.
Services provided by LGA include portfolio management, a wrap fee program and financial planning. The firm can also assist in the selection of third-party advisors, including private fund managers. Financial planning services may involve advice on budgeting and cash flow, retirement planning, estate planning and other areas of a client's financial life.
Lebenthal Global Advisors Investment Strategy
Like most other financial advisory firms, LGA starts by working with a client to determine their investment objectives, risk tolerance and any other relevant information about their financial situation. The firm then designs a customized portfolio or allocates the client's assets to pre-built model portfolios. Mutual funds and exchange-traded funds (ETFs) make up the majority of the investments at LGA.
United Financial Planning Group
United Financial Planning Group, the next firm on our list, only works with individual clients, the majority of whom have high net worths. The firm does not impose an account balance minimum for those looking to open an account. United Financial is a fee-only firm, which means that its compensation comes only from client fees — not commissions from third-party companies.
The team at United Financial includes certified financial planners (CFPs), certified public accountants (CPAs) and personal financial specialists (PFS). Advisors may hold more than one professional designation.
United Financial Planning Group Background
Gerald Barrasso is the president, principal owner, and financial advisor at United Financial. Barrasso, who founded the firm in 2007, holds the CFP, CPA and PFS designations. He has been working in the financial services industry since 1991.
United Financial provides an array of asset management services, which are tailored to fit the individual needs and objectives of clients. The firm also offers financial planning services to help clients meet their own individual goals. These offerings include retirement planning, investment planning, income tax planning, college savings planning, cash flow analysis and more.
United Financial Planning Group Investment Strategy
In an effort to help clients work towards their ultimate investment goals, United Financial places their needs at the center of the firm's portfolio management strategy. This involves doing a deep dive into the client's profile, detailing their risk tolerance, time horizon, income needs and more. Clients have the right to impose reasonable restrictions on the discretionary management of their assets.
In general, though, the firm pursues passive investment strategies as opposed to active trading. It favors a long-term approach to investing and uses a range of mutual funds, exchange-traded funds (ETFs), individual stocks and other securities.
NestEgg Advisors, Inc.
NestEgg Advisors is a fee-based advisor requiring a minimum investment of $250,000. The only clients at the firm are individuals, most of whom do not have a high net worth.
Some advisors at the firm earn commissions for selling securities and/or insurance. This is a conflict of interest, but all advisors must still act in the best interest of the client. Advisory fees, meanwhile, are charged based on a percentage of assets under management.
Certifications earned at the firm include certified financial planner (CFP) and chartered financial consultant (ChFC).
NestEgg Advisors Background
The firm was founded in 1996 and is owned and operated by Buddy Levy.
Services include investment management, financial planning, investment planning, retirement planning and personal savings.
NestEgg Advisors Investment Strategy
Around three-fifths of the money held by NestEgg is put into mutual funds or similar assets. Around from a small amount held in cash, the rest is used to buy individual stocks.
Conrad Capital Management
The final practice on our list of top-rated firms in Hauppauge is Conrad Capital Management. This fee-based firm has a client base primarily composed of non-high-net-worth individuals, although Conrad also works with some with high net worths, as well as pension and profit-sharing plans.
Account minimums range from $100,000 for the firm's money management and concierge services to $250,000 for fixed income portfolio management.
As a fee-based firm, some Conrad advisors are representatives of a broker-dealers and/or licensed insurance agents. As a result, they may earn commissions on the sale or recommendation of certain products or services, creating a conflict of interest. However, Conrad and its advisors have a fiduciary duty to always serve the client's best interests.
Conrad Capital Management Background
Donald Conrad founded his namesake firm in 1997 after serving as a vice president at both Shearson, Lehman, Hutton and PaineWebber. Conrad remains the firm's principal owner.
Conrad Capital Management offers both discretionary and non-discretionary money management services, meaning some clients give the firm full control over their accounts while others want to sign off on individual moves and decisions. The firm also provides concierge or consulting services that can touch on a variety of topics, including estate planning, accounting needs, business services and general financial needs, like a real estate sale or car purchase.
Conrad Capital Management Investment Strategy
In general, the firm offers investment advice on a range of asset classes, including mutual funds, exchange-traded funds (ETFs), equity securities, warrants, corporate debt, commercial paper, certificates of deposit (CDs), municipal securities, U.S. government securities and initial public offerings (IPOs). Conrad Capital Management has proprietary investment strategies but typically focuses on long-term investments that are held for over a year.
Individual investment approaches may focus more heavily on equities, mutual funds or ETFs, fixed income instruments, and alternative investments, depending on the client's needs and tolerance for risk.
