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||$ 470,812,706||No set account minimum|| || |
Minimum AssetsNo set account minimum
|2||DecisionPoint Financial, LLC Find an Advisor||$ 320,973,474||No set account minimum|| || |
Minimum AssetsNo set account minimum
|3||Rovin Capital Find an Advisor||$ 239,759,145||No set account minimum|| || |
Minimum AssetsNo set account minimum
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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 that all firms on this list are fiduciaries, which means they are legally bound to act in clients’ best interests. We removed from contention any Mesa firms that reported legal or regulatory actions in their SEC filings. We also eliminated any firms that do not offer financial planning services or whose client base isn't at least half individuals (as opposed to institutional clients. The remaining three firms are listed below, arranged from the most assets under management to the least. All information is accurate as of the writing of this article.
Public Safety Financial/Galloway
At the top of the 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 (CFSes), 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 clients' best interests.
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. 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 hold 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.
DecisionPoint Financial, LLC
Three of the five advisors at DecisionPoint Financial, LLC hold a certified financial planner (CFP) designation. The team also has four accredited investment fiduciaries (AIFs) and two certified plan fiduciary advisors (CPFAs). (Advisors may have more than one certification.) DecisionPoint manages close to $321 million in client assets, and does not have a minimum investment requirement.
About 77% 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 businesses, 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 26 years. DecisionPoint is owned by the Johnson Family Trust, which in turn is owned by Scott 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 exchange-traded funds.
Rovin Capital, also known as Financial Advisory Corporation, is a fee-based financial advisor firm. Its team of four advisors manages close to $240 million in assets. Markell Staffieri, the CEO and president, is a chartered financial consultant (ChFC) and a certified wealth strategist (CWS). Two 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.
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 older of the firms on this list. Rovin is 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, 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.