Finding a Top Financial Advisor Firm in Mesa, Arizona
Because there are so many factors to consider when choosing a financial advisor firm, it can be a difficult to find the one that best matches your needs. In response to this challenge, SmartAsset created this list of the top Mesa financial advisor firms. Each firm’s characteristics, such as its account minimum, advisor certifications and fee structure, are organized in tables and reviews below so you can more easily compare what these firms offer. If you are interested in a more tailored recommendation, try SmartAsset’s financial advisor matching tool, which will match you with an advisor in your area.
|Rank||Financial Advisor||Assets Managed||Minimum Assets||Financial Services||More Information|
|1||Public Safety Financial/Galloway Find an Advisor||$394,677,000||No set account minimum|| || |
Minimum AssetsNo set account minimum
|2||Rovin Capital Find an Advisor||$234,983,300||No set account minimum|| || |
Minimum AssetsNo set account minimum
|3||DecisionPoint Financial, LLC Find an Advisor||$221,298,900||No set account minimum|| || |
Minimum AssetsNo set account minimum
How We Found the Top Financial Advisor Firms in Mesa, Arizona
For this list, SmartAsset only considered financial advisor firms in Mesa, Arizona that are registered with the U.S. Securities and Exchange Commission (SEC). Our experts took this approach in an effort to ensure all firms on this list are fiduciaries, which legally binds them to act in clients’ best interests at all times. We removed from contention any Mesa firms that did not manage accounts for individuals, did not offer financial planning services or that had disciplinary issues on record with the SEC. The remaining firms are listed below, organized from the most assets under management (AUM) to the least.
Public Safety Financial/Galloway
Public Safety Financial/Galloway is a fee-based firm focused on working with military members, first responders and government employees at all levels. The firm’s entire client base consists of individuals, trusts and estates.
Galloway does not require a minimum amount of assets to open an account. There are four certified fund specialists (CFSs), one certified financial planner (CFP) and one chartered financial analyst (CFA) on staff.
Advisors at this firm may offer clients insurance policies, and sales could result in commissions for them. The firm is a fiduciary, though, requiring it to act in your best interest, no matter what.
Public Safety Financial/Galloway Background
Public Safety Financial/Galloway opened in 2006. Public Safety Financial, LLC, a financial services organization, owns it. Much of the advisory staff at this firm has spent more than 10 years in the financial industry.
Those who are newer to the business typically worked as first responders previously. Other staff members were government employees or in the military before joining the firm. For instance, CEO Mike Galloway is a former member of the U.S. Marine Corps and Mesa Police. Benefits coordinator Kevin Roche used to work at the Phoenix Fire Department, while CFO Cindy Lance was a member of the Mesa Police.
Public Safety Financial/Galloway built its service offerings based on the philosophy that it wants its clients to be able to make smart financial decisions on their own. As a result, the following services are available:
- Financial investment advice
- Pension consulting and maximization
- Pension buyback strategies
- Deferred compensation management
- Custom retirement and debt management strategies
- Portfolio asset allocation planning
- DROP rollovers and strategies
Another unique service the firm offers is the Public Safety Financial/Galloway Financial Wellness Academy, which focuses on educating both current and prospective clients on the steps they can take to achieve financial independence and a stable financial future. It is usually led by CEO Mike Galloway and one of the firm’s advisors.
Public Safety Financial/Galloway Investing Options
There are three account types you can open with this firm: all-inclusive portfolios, exchange-traded fund (ETF) active portfolios and ETF passive portfolios. All-inclusive portfolios consist of mutual funds, ETFs, equities, closed-end funds and real estate investment trusts (REITs). These portfolios offer a wide range of risk levels, depending on a client’s preferences, including low risk, medium-low risk, medium risk, medium-high risk and high risk.
Active portfolios are almost totally made up of ETFs, though the firm does leave some room to add in mutual funds as it sees fit. With this account, you can only choose from medium, medium-high or high risk, though.
The firm only uses ETFs in its passive portfolio accounts, unlike its active counterpart that may also use mutual funds. Passive portfolio accounts also span from medium to medium-high to high risk, with your level of risk tolerance ultimately determining your portfolio’s composition.
Rovin Capital, otherwise known as Financial Advisory Corporation, is a fee-based financial advisor firm. It has a varied group of advisor certifications, especially for a smaller firm. The firm has two chartered financial consultants (ChFCs), one registered financial planner (RFP), one accredited estate planner (AEP) and one certified wealth strategist (CWS) on staff.
Although more than a quarter of the firm’s clients are high-net-worth individuals, it does not require a minimum account size. Rovin also has a history of managing finances for trusts, estates, corporations, qualified retirement plans and charitable organizations.
Some of the advisors at this firm are insurance agents who may earn commissions from sales. The firm is a fiduciary, though, so it is legally bound to act in your best interest.
Rovin Capital Background
Chairman Michael Staffieri established Rovin Capital's predecessor, Financial Advisory Corporation, in 1978, making it the older of the three firms on this list. Rovin remains independently owned by Staffieri’s son Markell Staffieri, the firm's CEO and president.
The services offered by this firm reflect its belief that all clients’ financial needs are different. The firm can provide retirement planning, estate planning, tax minimization, risk management, portfolio analysis and evaluations of existing investment accounts.
Rovin Capital Investing Strategy
Rovin Capital believes that a long-term approach will best enable its clients to achieve their financial goals. In support of this, the firm primarily invests its clients’ assets in exchange-traded funds (ETFs), individual debt and equity securities, stocks, bonds, options, alternative investments and mutual funds.
Your advisor takes into account your personal preferences when determining how to invest your funds. The firm also integrates your risk tolerance, time horizon and any applicable tax considerations when creating your portfolio.
DecisionPoint Financial, LLC
Nearly every one of the four advisors at DecisionPoint Financial, LLC holds a certified financial planner (CFP) designation, as there are three CFPs, four accredited investment fiduciaries (AIFs) and one certified plan fiduciary advisor (CPFA) at the firm. DecisionPoint manages $221 million in client assets, but it does not institute a minimum investment requirement.
About three-quarters of this fee-only firm's client base is individuals, though most of them do not possess a high net worth. Other common clients of DecisionPoint are businesses, government entities, retirement plans, estates and trusts.
Besides its Mesa location, DecisionPoint operates an office in Gig Harbor, Washington.
DecisionPoint Financial, LLC Background
DecisionPoint's CEO and president Scott Johnson founded the firm in 2018. On the firm's website, it states that Johnson is a third-generation financial advisor who has worked in the industry for about 26 years. DecisionPoint is owned by the Johnson Family Trust, which is in turn owned by Scott Johnson and Sarah Johnson.
Client of DecisionPoint will be privy to a number of advisory services, most notably investment management. Outside of this, clients can also take advantage of stand-alone financial planning and consulting.
DecisionPoint Financial, LLC Investing Strategy
Following your initial interview with your new DecisionPoint advisor, the firm will look to pair you with one of its proprietary investment strategies. This will lead to a specific asset allocation that your advisor will build your portfolio according to. As an overall statement, the firm has four typical investment types: mutual funds, individual equities, bonds and exchange-traded funds (ETFs). In an effort to preserve your original asset allocation percentages, DecisionPoint may sell and purchase securities at its discretion.