Finding a Top Financial Advisor Firm in Mequon, Wisconsin
Financial advisor help their clients with a wide range of financial services, including investment management and financial planning. If you're looking for an advisor is Mequon, Wisconsin, SmartAsset created the list to help you pick a financial advisor that best aligns with your needs. You can also use SmartAsset's free advisor matching tool to get connected with local advisors.
Find a Fiduciary Financial AdvisorWe match more than 50,000 people with financial advisors per month. Get connected to an advisor that serves your area today.
|Rank||Financial Advisor||Assets Managed||Minimum Assets||Financial Services||More Information|
|1||Pegasus Partners Find an Advisor||$2,027,147,841||$5,000,000|| || |
|2||Spectrum Investment Advisors, Inc. Find an Advisor||$461,215,091||No set account minimum|| || |
Minimum AssetsNo set account minimum
|3||Highland Investment Advisors LLC Find an Advisor||$117,842,258||$100,000|| || |
|4||Denali Wealth Management, Inc. Find an Advisor||$93,427,000||No set account minimum|| || |
Minimum AssetsNo set account minimum
What We Use in Our Methodology
To find the top financial advisors in Mequon, 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 accurate as of the writing of this article. 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.
Pegasus Partners takes the top spot on our list, as it has billions in client assets under management (AUM). The firm's client base consists of mainly high-net-worth individuals, though it also advises non-high-net-worth individuals, pension, profit sharing and 401(k) plans, corporations, business entities, trusts, estates, foundations, endowments, charitable organizations and other separate accounts. The firm imposes a $5 million minimum account size for clients, though smaller investments may be accepted on occasion.
This is a fee-only firm. As a result, it only receives advisory fees directly from clients, and does not earn third-party sales commissions. As for its advisory team, the firm employs chartered financial analyst (CFA), certified public accountants (CPAs) and a certified financial planner (CFP).
Pegasus Partners Background
Chairman and CEO Todd Krieg, president and chief investment officer (CIO) Matt D’Attilio and director of wealth management services Bill Wernecke founded Pegasus Partners in 2015, and all three of them remain with the firm to this day. Krieg has nearly three decades of wealth management experience and is the owner of the firm. D'Attilio has a similar amount of experience and is also a CFA.
The firm primarily provides comprehensive wealth management services to clients. These services typically entail asset and portfolio management on an ongoing basis. However, the firm may also provide financial planning advice as a part of its wealth management services. For pension clients, the firm provides consulting services.
Pegasus Partners Investment Strategy
Pegasus Partners provides custom asset allocation strategies to its clients on a typically discretionary basis. Advisors use a variety of investments to flesh out client portfolios. These include separately managed account (SMA) managers, mutual funds, exchange-traded funds (ETFs), private illiquid investments and other securities.
Advisors develop an investment policy statement, or IPS, with each client to detail their investment goals and profile. Advisors go to great lengths to uncover as much as they can about a client's financial situation, from risk tolerance to tax status to any debts. Advisors also conduct continuous and ongoing portfolio monitoring so that they can rebalance on an as-needed basis.
Spectrum Investment Advisors, Inc.
Spectrum Investment Advisors, Inc. employs a relatively large team of financial advisors who manage a variety of clients. While the vast majority of this firm's clients are individuals (both with and without a high net worth), Spectrum also manages assets for pension and profit-sharing plans and businesses. The firm does not impose a minimum account size, but it does have a minimum annual fee of $2,000.
As a fee-only firm, the only fees received by Spectrum are advisory fees charged directly to clients. In other words, the firm does not earn income from third-party sources.
Spectrum Investment Advisors Background
Spectrum Investment Advisors was founded in 1999 by James Marshall. Today, he is the firm's chairman, and he has over 50 years of experience in the retirement planning world. The firm offers a wide array of advisory services across topics like investment management, wealth management and pension plan consulting. Spectrum will work with both pension plan sponsors and participants to manage their investments and provide support. Wealth management services revolve around the personal handling of individuals' retirement and other accounts.
Manuel Rosado, a parter at Spectrum, serves as president. Partner Jonathan Marshall, James Marshall's son, serves as chief investment officer (CIO) and chief compliance officer (CCO).
Spectrum Investment Advisors Investment Strategy
Spectrum's investment strategies revolve heavily around the client and their needs. Advisors meet and work with all clients to gain a deep understanding of their objectives. This involves familiarizing themselves with their risk tolerance, time horizon, liquidity needs, financial history, debt obligations and other important factors.
Advisors use a range of investments when building portfolios, though they ususally stick to mutual funds and exchange-traded funds (ETFs). When necessary, and in accordance with client needs, they may also purchase and trade stocks, bonds, annuities, real estate investment trusts (REITs) and more. They typically recommend a balance of fixed-income and equity securities, with fundamental, cyclical and charting methods of analysis informing these investment decisions.
Highland Investment Advisors provides services to a variety of clients, including individuals, corporations and other business entities. In order to open a new account with the firm, clients will need at least $100,000. The firm may decide to waive this minimum, however, in certain instances.
As for its advisory team, the firm represents various professional financial certifications, including chartered financial analyst (CFA), certified public accountants (CPAs), certified financial planner (CFP) and accredited investment fiduciary (AIF). As a fee-only firm, the only fees received by Highland Investment Advisors are advisory fees charged directly to clients. In other words, the firm does not earn income from third-party sources.
Highland Investment Advisors Background
Founder Kenneth Karr formed Highland Investment Advisors, LLC in September 2006. Karr serves as president and chief compliance officer (CCO) of the firm.
Since November 2014, the firm has owned and run Fund Management Corporation (FMC) as a separate entity, but effective Dec. 31, 2020, FMC was officially dissolved and all of its former clients reassigned to Highland Investment Advisors, LLC doing business as Fund Management.
The firm provides investment advice mostly for securities, which include but are not limited to: mutual funds, ETFs, closed-end funds and some individual securities. The firm also offers financial planning services, which may include but are not limited to: retirement planning, education, estate planning, cash flow analysis, insurance planning and tax planning.
Highland Investment Advisors Investment Strategy
The firm uses a combination of fundamental, technical and psychological analysis to develop its strategies. It seeks to emphasize long-term growth of capital appreciation or total return alongside controlling for risk. The way the firm achieves these goals is by investing in a diverse range of assets in the U.S. and globally as well.
Denali Wealth Management, Inc.
Rounding out this list is Denali Wealth Management. This firm works primarily with non-high-net-worth individuals, though a handful of its clients are high-net-worth individuals, retirement plans and businesses. The firm also works with trusts, estates and charitable organizations. It does not impose a minimum account size requirement, but it's important to note that there may be a minimum fee for services.
As a fee-based firm, some of Denali's advisors may be licensed to sell insurance products to clients. This creates a potential conflict of interest. Despite this dynamic, the firm is a fiduciary, legally obligating it to act in the best interests of clients at all times.
Denali Wealth Management Background
Denali Wealth Management was founded in 2010, and it registered with the SEC as an investment advisor in the same year. The firm is owned by president Carl A. Valimont and CEO Daniel J. Ringsred.
Despite being a relatively small firm, Denali Wealth Management provides clients with four main types of advisory services: asset management, investment consulting, retirement plan consulting and financial planning. Financial planning services are typically comprehensive (as opposed to just addressing just a few areas of concern). The firm manages assets on a discretionary basis for the majority of its asset management clients.
Denali Wealth Management Investment Strategy
Denali's investment strategies are all based upon the individual financial situation of clients. Advisors work with clients to develop a profile for them, taking into account information about their personal risk tolerance, time horizon, net worth, investment restrictions and taxes. Advisors then use this information to develop investment plans that are suited for that client.
When crafting portfolios, advisors tend to invest in a range of securities (which may include stocks, bonds, mutual funds, ETFs, private placements and convertible securities). Advisors also conduct ongoing portfolio monitoring and periodic rebalances to ensure that the goals of each client are being met. When it comes to evaluating potential investments for client portfolios, the firm tends to stick to fundamental and cyclical methods of analysis.