Top 4 Financial Advisors in Littleton, CO

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Wambolt & Associates holds the top spot on our list. The firm provides clients with asset and wealth management services, as well as financial planning and consulting. Its client base mostly consists of individuals both with and without a high net worth, though it also works with a handful of retirement plans, charities, trusts and businesses. There is no minimum account size needed to become a client of this firm.

Wambolt & Associates is a fee-based firm. This means that some of its advisors can earn commissions from the sale of insurance products to clients. This is a potential conflict of interest, though the firm's fiduciary duty legally binds it to act in the best interests of clients at all times.

Wambolt & Associates Background

Wambolt & Associates began doing business in 1986 under Northwestern Mutual. Nearly 25 years later, in 2010, the firm registered as an independent investment advisor with the SEC. Gregory Wambolt is one of the firm's owners and a senior wealth management advisor. He is a certified financial planner (CFP), chartered life underwriter (CLU) and chartered financial consultant (ChFC) with over 30 years of experience in the financial services industry. Other owners are Cindy Alvarez and Andrew Jenkins.

Wambolt & Associates offers wealth management, asset management and financial planning services. Asset management services bundle portfolio management with financial planning, and wealth management services bundle asset management, financial planning and consulting with tax preparation services.

Wambolt & Associates Investment Strategy

Wambolt & Associates looks to tailor its investment strategies to the individual needs of clients on a case-by-case basis. The firm begins client relationships by conducting interviews to determine their personal risk tolerance, liquidity needs, current financial resources and  objectives. This gathered information is then used to determine the best course of action for their portfolio.

Advisors then populate client portfolios using a mix of stocks, bonds, exchange traded funds (ETFs), options and other securities. Portfolios are routinely monitored and rebalanced. Advisors use fundamental, technical and cyclical analysis in conjunction with long-term purchases, short-term purchases, trading and margin transactions.

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Fee-only firm Custos Family Office, LLC has a small staff of advisors serving just over 100 clients. For its advisory services, the firm charges asset-based fees, hourly fees, fixed fees and performance-based fees. Custos’ client base includes individuals, high-net-worth individuals, defined benefit plans, charitable organizations, foundations, trusts and estates. 

Among the firm’s advisors is a certified financial planner (CFP). Custos has a minimum account size requirement of $1 million.

Custos Family Office Background

Founded in 2018, Custos provides portfolio management, financial planning, advisor selection, wrap fee programs and consulting services. The firm’s owners are Anthony Lopiccolo, Mitchell Herr and Chase Rodawig.

Custos Family Office Investing Strategy 

Custos’ investment philosophy is centered around the beliefs that concentration risk is real, asset allocation drives returns, taxes hinder returns and that asset class returns should be captured efficiently, according to its firm brochure. 

The firm generally allocates client assets across cash, fixed income, exchange-traded funds (ETFs), mutual funds, separately managed accounts, options, private investments, real estate and commodities.

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Marshall Investment Management is a fairly small advisory firm that works almost entirely with individual clients. The majority of these individuals do not have a high net worth, though a good amount do. The firm has two institutional clients: retirement plans and corporations.

This firm provides clients with portfolio management, financial planning and consulting services. You'll need a $25,000 minimum aggregate account balance to work with Marshall Investment Management. This minimum may be negotiable under certain circumstances.

As a fee-based firm, some of the advisors who work here may receive commissions from the sale of insurance products or securities. This is a potential conflict of interest, though the firm is still a registered fiduciary, legally binding it to act in clients' best interests.

Marshall Investment Management Background

Marshall Investment Management was founded relatively recently, in 2015. Firm founder Dennis Edward Marshall, lead advisor Kristin Schoenfelder and compliance officer Sharon Evans are the three principal owners of this firm. Marshall has two decades of experience in the investment advisory industry, while Schoenfelder has just over 10 years of experience.

This firm's services include asset management, financial planning and consulting. Asset management services include portfolio management, which is provided on an ongoing and discretionary basis. Financial planning and consulting services may touch on topics such as retirement planning, estate planning and tax planning.

Marshall Investment Management Investment Strategy

Marshall Investment Management's investment philosophy varies based on the specific needs of the client they are working with. Advisors here use an LPL Financial-sponsored asset management program called the Advisor Managed Portfolios Platform. This program offers a fully customizable set of services that can fit the needs of any client.

Investments may include stocks, bonds, mutual funds and closed-end funds. Portfolios are managed with an eye towards the risk tolerance and time horizon of clients.

WhippleWood Advisors is the smallest firm on this list, but not by much. The firm serves over 100 clients, most of whom are a combination of individuals with and without a high net worth. The firm's lone institutional clients include charitable organizations. There is no specific minimum for prospective clients of WhippleWood.

Insurance products can be sold by some of the advisors at WhippleWood Advisors on a commission basis. However, the firm's fiduciary duty limits this potential conflict of interest, as it requires advisors to act in clients' best interests at all times.

WhippleWood does not have a website, so you'll need to research the firm through its SEC filings.

WhippleWood Advisors Background

WhippleWood Advisors is the youngest firm on this list, as it was created in 2016. The firm's founders, Rick Whipple and Mona Feeley, are still its owners, along with Joe Hubbard.

Investment management services are offered on both a discretionary and non-discretionary basis at WhippleWood. Financial planning covers a wide variety of issues, such as tax planning, investment planning, estate planning, risk management and more.

WhippleWood Advisors Investing Strategy

WhippleWood Advisors meets and speaks with each client individually before making any investment recommendations on their behalf. That's because the firm wants to get to know you before placing your money anywhere. This involves taking a deep look into your financial goals, both long- and short-term, as well as your personal time horizon, risk tolerance and income needs. Once these factors become clearer, the firm will make a physical, written copy to ensure everything is accounted for.

Because WhippleWood uses an asset allocation approach, your portfolio's structure may lose shape as returns begin coming in. However, the firm can rebalance your portfolio to ensure your asset allocation remains intact.