Finding a Top Financial Advisor Firm in Pleasanton, California
It’s understandable if you’ve been putting off your search for a financial advisor in Pleasanton, California. Researching firms is hardly fun. They use a lot of jargon, after all, and fine print. Our list of the top registered investment advisors (RIAs) narrows the field - and explains things in plain English. As an alternative, SmartAsset's free financial advisor matching tool can connect you with 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||RPG Investment Advisory, LLC Find an Advisor||$716,457,779||No set account minimum|| || |
Minimum AssetsNo set account minimum
|2||Mirador Capital Partners Find an Advisor||$632,113,940||$500,000|| || |
|3||BayBridge Capital Group, LLC Find an Advisor||$109,837,144||No set account minimum|| || |
Minimum AssetsNo set account minimum
|4||Maxwell Wealth Find an Advisor||$145,000,000||$250,000|| || |
What We Use in Our Methodology
To find the top financial advisors in Pleasanton,, 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.
RPG Investment Advisory
RPG Investment Advisory starts off our list of Pleasanton's top financial advisor firms. Though the firm doesn’t impose a minimum account size, its team works solely with high-net-worth individuals.
Advisors at RPG Investment Advisory work on a fee-only basis. That means their compensation only comes from the fees charged to clients. They don’t earn sales commissions from third-party financial institutions.
RPG Investment Advisory Background
RPG Investment Advisory was founded in 2014. Currently, it’s owned by Matthew Vera and Richard Greer, while Robert Valentine owns a minority stake. They lead a team that offers portfolio management and financial planning services to individuals with a high net worth.
RPG Investment Advisory Investment Strategy
RPG Investment Advisory designs portfolios based on the needs, risk tolerance and financial profile of the client. It does not restrict itself to certain types of securities. It would consider the universe of securities and devise an asset allocation that is appropriate for you. Below, we list some common investments that the firm may recommend:
- Mutual funds
- Exchange-traded funds (ETFs)
- Real estate investment trusts (REITs)
- Individual stocks
- Certificates of deposit (CD)
Mirador Capital Partners
Coming in second on this list is feed-based firm Mirador Capital Partners. This firm's advisory team includes several certified financial planners (CFPs), among other certifications. The firm requires a minimum account size of $500,000 for investment advisory services. But it may waive this requirement at its discretion.
Some representatives of Mirador Capital Partners are also members of PKS or registered as insurance agents. Since they earn commissions from these roles, a potential conflict of interest is present. However, as an SEC-registered advisor, Mirador Capital Partners has a fiduciary duty to provide advice solely in the best interests of its clients.
Mirador Capital Partners Background
Founded in 2013, Mirador Capital Partners is primarily owned by Don Garman. The team has more than a combined 50 years of experience in the financial services industry. In addition to portfolio management services, advisors offer guidance on such topics as:
- Retirement planning
- Estate planning
- Charitable planning
- Education planning
- Corporate and personal tax planning
- Cost segregation study
- Corporate structure
- Real estate analysis
- Mortgage/debt analysis
- Insurance analysis
- Lines of credit evaluation
- Business and personal financial planning
The firm also offers access to separately managed accounts (SMAs) and a robo-advisor through Charles Schwab.
Mirador Capital Partners Investment Strategy
Mirador Capital Partners creates and monitors portfolios tailored to the client’s risk tolerance and long-term goals. To meet these objectives, the firm typically builds portfolios with the following securities:
- Individual stocks or bonds
- Exchange-traded funds (ETFs)
- Mutual funds
- Other public and private securities or investments
BayBridge Capital Group
BayBridge Capital Group come next on our Pleasanton list. Its advisory team includes certifications such as certified financial planner (CFP) and accredited investment fiduciary (AIF). The firm doesn’t require a minimum account size for investment advisory services and primarily works with individuals who do not have a high net worth.
As a fee-based firm, some advisors at BayBridge Capital Group are also insurance agents and/or brokers with Infinitiy Financial Services. However, the firm's fiduciary duty requires it to act in clients' best interests at all times.
BayBridge Capital Group Background
Kevin C. Batstone and Eugene M. Gurevich own BayBridge Capital Group, which was founded in 2015. The BayBridge team shares more than a combined 50 years of experience in the financial services industry. In addition to providing portfolio management and financial planning services to individuals, advisors also serve plan sponsors of qualified and non-qualified plans under the Employee Retirement Income Security Act (ERISA).
BayBridge Capital Group Investment Strategy
Advisors at BayBridge Capital Group build and manage investment portfolios based on the investment goals, time horizons, objectives and risk tolerance of their clients. The firm focuses on diversifying portfolios in order to capture returns and mitigate risk under varying market cycles. A typical portfolio invests across several asset classes, including equities and fixed income.
When evaluating individual securities like stocks, the firm may engage in fundamental analysis. This involves determining the intrinsic value of a stock by examining data such as company revenues, earnings and return on equity.
Maxwell Wealth, a fee-based firm, rounds out our list of top advisors in Pleasanton. The firm requires a minimum account size of $250,000 for investment advisory services and primarily serves individuals.
Advisors at Maxwell Wealth are registered insurance agents. Since they earn commissions from these roles, a potential conflict of interest is present. However, as an SEC-registered advisor, Maxwell Wealth has a fiduciary duty to provide advice solely in the best interests of its clients.
Maxwell Wealth Background
Eric Maxwell founded his namesake company in 2015. The team has 30 years of experience in the financial services industry. In addition to portfolio management, advisors also offer financial planning services.
Maxwell Wealth Investment Strategy
Maxwell Wealth bases its investment decisions on a combination of fundamental, technical and quantitative analysis, along with modern portfolio theory (MPT). Advisors focus on long-term investment opportunities and primarily construct client portfolios with mutual funds, fixed income securities, insurance products including annuities, large-cap domestic equities and exchange-traded funds (ETFs).