Finding a Top Financial Advisor Firm in Northfield, Illinois
There are a few financial advisors to choose from in Northfield, Illinois, so SmartAsset assembled this list of the city's top financial advisor firms so you can easily compare them. We provide information on each firm, including their advisory services, account minimums, investment strategies and more. SmartAsset also offers a free financial advisor matching tool that can connect you directly to as many as three advisors who serve your area.
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|Rank||Financial Advisor||Assets Managed||Minimum Assets||Financial Services||More Information|
|1||Moller Financial Services Find an Advisor||$501,571,674||No set account minimum|| || |
Minimum AssetsNo set account minimum
|2||Mack Investment Securities, Inc. Find an Advisor||$203,485,844||No set account minimum|| || |
Minimum AssetsNo set account minimum
|3||The Planning Group Find an Advisor||$198,565,334||No set account minimum|| || |
Minimum AssetsNo set account minimum
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|4||Baker & Yoest Investment Advisors Find an Advisor||$100,440,790||$500,000|| |
|5||Treetop Wealth Management Find an Advisor||$140,000,000||$250,000|| || |
What We Use in Our Methodology
To find the top financial advisors in Northfield, 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 obtained through public records and is updated annually after the firms’ form ADV filing. 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. SmartAsset is not a client of the aforementioned firms, and did not receive compensation for including any of the firms on the aforementioned list.
Moller Financial Services
Moller Financial Services provides clients with investment management and financial planning services. Its clients are currently individuals, including both those with and without a high net worth. It also offers services to families and trusts. There is no minimum investment or account balance requirement at the firm.
Moller Financial is a fee-only firm. This means that it only receives client-paid fees, and does not receive any third-party sales commissions. (A fee-based firm, on the other hand, receives third-party commissions in addition to normal fees.)
Moller Financial Services Background
Jack Moller and his father Bill Moller founded Moller Financial Services in 1991. Among the firm's financial advisors are four certified financial planners (CFPs), one chartered retirement planning counselor (CRPC), one financial paraplanner qualified professional (FPQP) and one chartered financial analyst (CFA). The firm is owned by Nate Eads, Faith Charles, Brian Fritzsche, Jack Moller and Dawn Moller. Jack Moller serves as chairman and chief investment officer (CIO).
This firm provides clients with both financial planning and investment management services. It also offers a wealth planning service, which combines financial planning and investment management services. This allows the firm to help clients create and implement financial plans that work for every part of their lives. The firm also offers an automated investment program.
Moller Financial Services Investment Strategy
Advisors at Moller Financial Services consider the overall financial situation of a client when it comes to developing and implementing investment strategies. This includes gathering information on a client's financial resources, tax situation and overall financial and investment objectives.
When it comes to selecting investments, advisors at Moller Financial typically use mutual funds and exchange-traded funds (ETFs). They also tend to buy stocks and bonds in an effort to drive growth in client portfolios. Advisors also place significant emphasis on effective asset allocation. They look to regularly monitor portfolios and rebalance when necessary. They also primarily employ fundamental methods of analysis.
Mack Investment Securities
Mack Investment Securities, Inc. works with individuals - both with and without a high net worth - along with pensions, profit-sharing plans and corporations or other businesses. It provides these clients with a range of investment management services, as well as pension consulting, financial planning, market-timing services and general consulting. The minimum investment requirements at this firm vary from $25,000 all the way up to $100,000, depending on the services you're utilizing.
As a fee-based firm, advisors at Mack Investment Securities may receive commissions for selling financial products to clients. This is a potential conflict of interest, but the firm is a fiduciary, legally binding it to act in the best interests of clients.
Mack Investment Securities Background
Mack Investment Securities was created in 1986. The president of the firm, Stephen W. Mack, is also its principal owner. He is a certified financial planner (CFP) and a registered financial consultant (RFC) who has over three decades of investment experience.
Despite being a relatively small firm, Mack Investment Securities offers a wide range of services. Its investment portfolio management services are provided on either an individualized basis or via a selection of model portfolios.
Mack Investment Securities Investment Strategy
Investment strategies at Mack Investment Securities depend fully upon the type of investment services a client chooses. The firm's model portfolios, of which there are several, are each designed to pursue and meet a particular investment goal. For individualized portfolio management, the firm and its advisors meet with clients to determine their overall financial situation, crafting investment strategies based on information such as their risk tolerance, liquidity needs and time horizon.
Advisors at this firm invest client assets in multiple asset classes, including, but not limited to, exchange-listed securities, debt securities, certificates of deposit (CDs) variable annuities and mutual funds. Clients are permitted to place reasonable restrictions on where their assets are invested. Methods of analysis include fundamental, technical, charting, cyclical and even seasonal analysis.
The Planning Group
The Planning Group, also known as TPG Advisors, LLC, provides clients with both portfolio management and financial planning services. The firm's client base includes both high-net-worth and non-high-net-worth individuals, as well as a handful of pension and profit-sharing plans and businesses. The firm does not impose any minimum investment requirements for new clients.
The Planning Group is a fee-based firm, as some of its advisors may also be insurance agents who can receive commissions for selling insurance to clients. This is a potential conflict of interest, but the firm is still bound by fiduciary duty to act in its clients' best interests.
The Planning Group Background
The Planning Group was formed in 2018. The firm's ownership is split between three other firms: NJ Brown & Associates, Barron Wealth Management and Shuman Financial Consulting, LLC. Nick J. Brown is the firm's founder, and he works alongside Michael D. Brown, Dani G. Barron and Paul S. Shuman. Brown is a chartered financial analyst (CFA) and a certified public accountant (CPA), and Shuman is a CPA and a certified financial planner (CFP).
The Planning Group provides clients with a relatively standard suite of advisory services. They can choose from either financial planning services or investment management services. Investment management is typically ongoing and comprehensive. Financial planning services can include investment planning, life insurance, taxes, retirement planning, college planning and debt or credit planning.
The Planning Group Investment Strategy
The Planning Group's investment strategies are designed around the financial and investment objectives of each individual client. The firm looks to craft investment strategies that work for clients on a personal level instead of trying to fit clients into a predetermined model portfolio. Advisors make sure that they're effectively allocating and selecting assets for clients based on their risk tolerance and overall financial profile. They then conduct ongoing and regular portfolio monitoring to ensure that the goals of each client are being met.
While advisors at The Planning Group typically recommend and invest in exchange-traded funds (ETFs) and mutual funds, they also invest in fixed income securities, real estate investment trusts (REITs), annuities, equities, bonds and foreign securities. The specific range of investments used depends entirely on the client. Advisors invest on a long-term basis and use fundamental analysis and modern portfolio theory to help inform their investment decisions.
Baker & Yoest Investment Advisors
Treetop Wealth Management
Treetop Wealth Management is a fee-only firm that works with individuals only, evenly split between those with a high net worth and those without. There are no institutional clients at the firm.
Fees are based on a percentage of assets under management. The minimum account size is $250,000.
The firm's team includes three certified financial planners (CFPs).
Treetop Wealth Management Background
Treetop was founded in 2010. It is owned by Patrick Ryan Nord, David J. Pedley and Kevin M. Yeoman. Each owner also works as an advisor.
Services include investment management, financial planning, retirement planning, investment planning, estate planning, insurance planning and tax planning.
Treetop Wealth Management Investment Strategy
After TreeTop evaluates a client's financial needs, the advisor will design investment and risk-management strategies to help the client achieve his or her financial goals. As the firm believes risk reduction is a key element to long-term investment success, asset allocation principles are a key part of the firm's overall approach in preparing advice for clients.
More than two-thirds of the money managed at Treetop is invested in individual stocks. Bonds are also used, as are cash holdings.