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. To help with this challenge, SmartAsset researched and found the top financial advisor firms in Mesa, Arizona. 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. For more recommendation, try SmartAsset’s free, no-obligation financial advisor matching tool. It will connect you with up to three advisors in your area.
|Rank||Financial Advisor||Assets Managed||Minimum Assets||Financial Services||More Information|
|1||Public Safety Financial/Galloway Find an Advisor||$545,968,838||No set account minimum|| || |
Minimum AssetsNo set account minimum
|2||Rovin Capital Find an Advisor||$295,198,923||No set account minimum|| || |
Minimum AssetsNo set account minimum
|3||DecisionPoint Financial, LLC Find an Advisor||$405,706,223||No set account minimum|| || |
Minimum AssetsNo set account minimum
How We Found the Top Financial Advisor Firms in Mesa, Arizona
To find the top financial advisors in Mesa, Arizona, 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:
Public Safety Financial/Galloway
At the top of our list, 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) 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 clients' best interests at all times.
Public Safety Financial/Galloway Background
Public Safety Financial/Galloway opened in 2006. Public Safety Financial, LLC, a financial services organization, owns it. Most 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, 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 four portfolio types you can get with Public Safety Financial/Galloway: Venture Portfolios, All-Inclusive Portfolios, exchange-traded fund (ETF) Active Portfolios and ETF Passive Portfolios. Here's a brief breakdown of each:
- Venture Portfolios: These are the most aggressive portfolios the firm offers. They generally focus on stocks and ETFs.
- All-Inclusive Portfolios: These 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.
- ETF Active Portfolios: These 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.
- ETF Passive Portfolios: These accounts, like their active counterpart, may also hold mutual funds and ETFs. 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 is a fee-based financial advisor firm. Some advisors are also insurance agents, who may earn commissions from sales. The firm is a fiduciary, though, so it is legally bound to act in clients' best interests.
This firm's team of advisors manage millions of dollars in client assets. The staff holds certifications like registered financial planner (RFP), chartered finanical consultant (ChFC), accredited estate planner (AEP) and more.
With no set account minimum, the firm's clients are mostly individuals who do not have high net worths. Rovin also serves investors who do have high net worths, trusts, estates, corporations, qualified retirement plans and charitable organizations.
Rovin Capital Background
Chairman Michael Staffieri established Rovin Capital's predecessor, Financial Advisory Corporation, in 1978, making it the oldest firm on this list. Rovin is independently owned by Blue King Momentum, Inc. and Snowy River Corporation. Chief operating officer (COO) Kimball Eric Pierce and and Whitnite Pierce own Blue King Momentum, while CEO and president Markell Staffieri owns Snowy River Corporation.
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, 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.
A few of the advisors at DecisionPoint Financial hold a certified financial planner (CFP) designation. The team also has five accredited investment fiduciaries (AIFs) and two certified plan fiduciary advisors (CPFAs). DecisionPoint does not have a minimum investment requirement for new clients.
About three-quarters of this fee-only firm's client base is individuals, most of whom do not have a high net worth. DecisionPoint's other clients are government entities, retirement plans, estates and trusts. Besides its Mesa location, DecisionPoint operates an office in Gig Harbor, Washington.
DecisionPoint Financial 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 30 years. DecisionPoint is owned by the Johnson Family Trust, which in turn is owned by Johnson and Sarah Johnson.
Clients of DecisionPoint will have access 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 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 for your portfolio. Generally, the firm uses four investment vehicles: mutual funds, individual equities, bonds and ETFs.