Top Financial Advisors in Princeton, NJ

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KB Financial Partners, LLC just barely beat out second-place Roundview Capital, LLC as the top firm on our list. The firm employs seven financial advisors that manage nearly $600 million in client assets.

This fee-based firm boasts the highest number of advisory certifications on this list. Among these are six certified financial planners (CFPs), four chartered life underwriters (CLUs), three certified public accountants (CPAs), three chartered financial consultants (ChFCs), one certified plan fiduciary advisor (CPFA) and one chartered global management accountant (CGMA).

The vast majority of KB Financial Partners’ client base consists of individuals, both with and without a high net worth. The firm also works with pension and profit-sharing plans, charitable organizations and businesses. For the most part, KB calls for a minimum initial investment of $1 million.

Some of the advisors at KB Financial Partners can earn commissions from the sale of certain securities and insurance products. While such commission-based sales represent a potential conflict of interest, the firm is a fiduciary, legally binding it to act in your best interest.

KB Financial Partners, LLC Background

KB Financial Partners has been in business for around two decades, as it was established in 2000. The firm is under the ownership of financial services holding company KB Financial Companies, LLC. Besides its Princeton office, the firm has branches in Point Pleasant, New Jersey and Newtown, Pennsylvania.

The services at this firm are comprehensive, so there are plenty to pick from. These include investment management, retirement plan services, tax planning, business advisory, cash flow management, budget analysis, wealth transfer, risk management and more.

KB Financial Partners, LLC Investing Strategy

When you join KB Financial Partners, you and your advisor will take an in-depth look at your investor characteristics. This means going over your risk tolerance, time horizon, investment objectives, income needs, tax situation and more. Once you both feel comfortable with where you stand, an asset allocation plan will be built.

Diversification is an important principle that KB Financial implements in each portfolio it creates. In order to do this well, the firm may use a wide range of securities in your portfolio, like mutual funds, exchange-traded funds (ETFs), stocks, bonds, interests in partnerships and more.

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Roundview Capital, LLC is a fee-only financial advisory firm located in central Princeton. The firm is tied for the highest account minimum on this list at $1 million. Because of this, almost 60% of the firm’s client base consists of high-net-worth individuals. Roundview also works with individuals, trusts, estates, charitable organizations and businesses.

The four-person advisory team at this firm has four certifications between them. There are three certified financial planners (CFPs) and one chartered financial analyst (CFA).

Roundview Capital, LLC Background

This firm can trace its history back to 1992 when it was created under the name Alter Asset Management. In 2008, though, the firm rebranded as Roundview Capital. Managing partners Howard Alter and Stephen Shueh founded Alter and remain the principal shareholders of Roundview to this day.

Risk-adjusted investment management is the premier service at Roundview. It also provides family CFO services that cover estate planning, tax planning, risk management, financial planning, consulting, wealth transfer planning and philanthropic gift guidance.

Roundview Capital, LLC Investing Strategy

Roundview maintains a preference for “value investing with an emphasis on margin of safety,” according to its Form ADV. Beyond this, the firm looks to maximize clients’ after-tax returns, so the tax efficiency of investments is very important.

When it comes to specific securities, Roundview tends to invest in equities, bonds, commercial paper, CDs, mutual funds, money market funds, options, interests in partnerships and more.

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Princeton Portfolio Strategies Group, LLC (PPSG) has accumulated $400 million in assets under management (AUM). The firm’s five advisors manage these funds, with two chartered financial analysts (CFAs) between them. This is a fee-only firm, which means that client fees are its sole source of revenue; by eschewing commissions from the sale of securities and insurance products, it avoids potential conflicts of interest.

Technically speaking, the minimum account size at this firm is $1 million. The firm states in its Form ADV, though, that it’s willing to waive this minimum under the right circumstances. Evidently it does this often, as non-high-net-worth individual clients outnumber high-net-worth individuals by more than double. Charitable organizations, trusts, estates, businesses, wealth advisors and qualified retirement plans round out this client base.

Princeton Portfolio Strategies Group, LLC Background

Princeton Portfolio Strategies Group is an employee-owned firm. It was established in 2011. The firm’s management team includes partners William Hamill and Carlton Savoye and chief operating officer (COO) Suzanne Twitchell.

The firm’s central focus is managing the investments of its clients. In fact, PPSG does its own investment research and analysis. Financial planning is also a priority.

Princeton Portfolio Strategies Group, LLC Investing Strategy

PPSG has put together five different investment strategy models that it matches clients with. These include:

• Conservative - This strategy sticks to mid- and large-cap company stocks, as they provide solid returns and minimize volatility.
• Equity income - If you need income in the short-term, this strategy will invest in mid- to large-cap stocks that pay dividends.
• Growth equity - If you’re looking for strong, equity-centric returns and can handle the harsh volatility of the market, this strategy is made for you.
• Fixed-income - If you’d prefer to maintain your capital rather than risk it, this corporate and municipal bond-based strategy can help you do so.
• ETFs - This strategy invests mainly in exchange-traded funds (ETFs) for solid capital appreciation with some downside protection.

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Novi Wealth Partners has $212 million in client assets under management (AUM). Each member of its four-person advisory staff holds a certified financial planner (CFP) designation, along with one chartered financial analyst (CFA) and one chartered retirement planning counselor (CRPC). This is a fee-only firm.

Individuals without a high net worth are easily the most common client at Novi Wealth Partners. The firm also has services available for high-net-worth individuals, businesses, trusts, estates, charitable organizations and pension and 401(k) plans. There is no minimum to become a client of Novi.

Novi Wealth Partners Background

Novi Wealth Partners is one of the older firms on our list, as it was founded in 1998. The firm is under the principal ownership and leadership of president Robert B. Dunn. Although this firm does business as Novi Wealth Partners, its legal name is Private Wealth Management Group, LLC.

Clients of Novi will have access to both investment management and financial planning services. If you’re focused on investing, the firm can help you build a custom, tax efficient investment portfolio. Financial planning clients will also gain access to investment management, on top of estate planning, retirement planning, tax planning and more.

Novi Wealth Partners Investing Strategy

Novi Wealth Partners prefers passive investing over active management, as this style reduces trading fees and lowers volatility. The firm also looks to maximize your after-tax returns rather than your pre-tax ones. Last but not least, Novi tends to overweight small-cap and value stocks in its asset allocations, while its bond investments trend towards those that are high quality and low duration.

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For a firm with less than $200 million in assets under management (AUM), Princeton Global Asset Management, LLC (PGAM) boasts a solid seven advisory certifications. Among this group, there are three certified financial planners (CFPs), three chartered financial analysts (CFAs) and one certified investment management analyst (CIMA).

To become a client of this firm, you’ll need no less than $1 million in investable assets. PGMA’s entire client base is comprised of individuals - both high-net-worth and otherwise.

As a fee-based firm, Princeton Global Asset Management employs certain advisors that can earn commissions from the sale of insurance products or securities. This represents a potential conflict of interest, as your advisor has an incentive to recommend such products. Despite this, the firm abides by fiduciary duty, legally binding it to act in your best interest.

Princeton Global Asset Management, LLC Background

Established in 2008, Princeton Global Asset Management is among the younger firms on our list. It was founded by Walter Russyk and Paul Gerard. Gerard still serves as a managing partner and co-chairman, but Russyk no longer works there. Since 2009, Gerard and managing partner/co-chairman Adolf Herst have owned the firm.

The services at this firm revolve around investment supervising and advice. It has a number of proprietary investment strategies as well.

Princeton Global Asset Management, LLC Investing Strategy

The first step in any client-advisor relationship at Princeton Global Asset Management is to review your personal risk tolerance, time horizon, liquidity needs and investment objectives. Based on these findings, an appropriate asset allocation will be formulated for you.

As a starting point, this firm always looks to diversify client assets as strongly as possible. To execute this effectively, it may invest in exchange-traded funds (ETFs), bonds, warrants, CDs, stocks and mutual funds.

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EKS Associates is a fee-only firm with $163 million in assets under management (AUM). Each of the firm’s three advisors are certified financial planners (CFPs) and certified public accountants (CPAs). There are also two personal financial specialists (PFSs).

While the firm does not explicitly state a minimum investment to become a client of EKS Associates, its current client base consists entirely of high-net-worth individuals. According to the firm’s Form ADV, it also offers services to individuals, businesses, pension and profit-sharing plans, trusts, estates and charitable organizations.

EKS Associates Background

EKS Associates has been in business longer than any other firm on our list. Eleanore K. Szymanski, the firm’s principal, founded EKS back in 1983. Today, ownership of the firm has been transferred mostly to senior wealth advisors Darren Zagarola, Howard Milove and Howard Hook.

Investment management is an integral part of what EKS Associates does, but its hallmark service is financial planning. This comes in many variations, such as cash management, retirement planning, estate planning, intergenerational financial planning, charitable gift planning, education fund planning, insurance planning and tax planning.

EKS Associates Investing Strategy

Like many financial advisor firms on today’s market, EKS Associates maintains the belief that a long-term perspective is the best investing approach. In the end, though, the firm’s main objective is to match your asset allocation with your stated risk tolerance, time horizon and short-term liquidity needs.

EKS tends to avoid individual stock investments. Instead, it chooses to focus on inherently diversified securities such as mutual funds and exchange-traded funds (ETFs).

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Coming in at seventh place is Van Leeuwen & Company, LLC (VLC) which has three financial advisors and $160 million in assets under management (AUM). There is one certified financial planner (CFP) and one chartered financial analyst (CFA) working at the firm.

Van Leeuwen & Company primarily works with individuals (both with and without a high net worth), as well as businesses, pension and profit-sharing plans and charitable organizations. There is no minimum at this firm.

Certain members of the advisory staff at this fee-based firm earn commissions from the sale of insurance products or securities, which is considered a potential conflict of interest. The firm and its advisors still abide by fiduciary duty, though, legally binding them to act in clients’ best interests.

Van Leeuwen & Company, LLC Background

Van Leeuwen & Company was founded in 1997 by managing director and lead advisor Kenneth W. Van Leeuwen. He still owns 100% of the firm’s shares and has been employed in the financial services industry for 40 years.

Investment management and holistic financial planning are the core services at Van Leeuwen & Company. These break down into cash flow forecasting, asset allocation planning, risk management, retirement plan analysis, insurance needs analysis, investment consulting, estate planning, retirement planning, distribution planning and more.

Van Leeuwen & Company, LLC Investing Strategy

Van Leeuwen & Company has developed a five-step process that it utilizes to flesh out clients’ portfolios:

• Step One: At this stage, the firm will work with you to determine your required rate of return and specific investment goals.
• Step Two: Once your goals are clear, you and your advisor will figure out how much market risk and volatility you can stomach. This will be a major determining factor down the road.
• Step Three: This step is built around investing patience so as to avoid jumping at trendy-but-risky investment options.
• Step Four: Once your risk tolerance is firm, your advisor will apply it to each of Van Leeuwen’s portfolio models to see which fits best.
• Step Five: As soon as you are matched with a model, specific securities will be chosen for your portfolio.

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Kubhera Enterprises, LLC is a fee-based financial advisor firm focused on high-net-worth individuals, who comprise about 80% of the firm’s client base. Kubhera also works with individuals, businesses, charitable organizations and estates and trusts. There are no minimum investable asset requirements here.

The firm has one certified public accountant (CPA) on its two-person advisory staff. These advisors are responsible for $122 million in client assets.

Advisors at Kubhera may have the opportunity to earn compensation from the sale of certain insurance products or securities. Despite this potential conflict of interest, this firm is still a fiduciary and therefore must act in your best interest no matter what.

Kubhera Enterprises, LLC Background

Jishnu, LLC; Vyasa, LLC; and ELS3, LLC, a collection of financial services holding companies, combine to own Kubhera Enterprises. However, this trio of companies is owned by the firm’s principals, Venkat Krishnaswamy, Ganga Mukkavilli and Ethan Schneid, respectively. Kubhera has been in business since 2009.

If you join forces with Kubhera, you can subscribe to investment management services that come with financial planning and consulting. For those that are more interested in just financial planning or consulting, they are also available on a stand-alone basis.

Kubhera Enterprises, LLC Investing Strategy

Before any of your money is invested in the market, Kubhera Enterprises will do a deep dive into what kind of investor you are. This involves figuring out your risk tolerance, time horizon, investment objectives and liquidity needs. Additionally, the firm will take into account your “emotional ability to endure the inevitable ebbs and flows of the market,” according to its website.

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Halberstadt Financial Consultants, Inc. is the ninth and final firm on our roundup of the top financial advisors in Princeton. Like Kubhera Enterprises, LLC, the firm has two financial advisors. One is a certified financial planner (CFP) and a certified public accountant (CPA), while the other is a chartered market technician (CMT).

This fee-only firm calls for a minimum opening investment of $250,000. Halberstadt principally works with individuals without a high net worth, though high-net-worth individuals and pension and profit-sharing plans also deal with this firm.

Halberstadt Financial Consultants, Inc. Background

In 2000, current firm president and chief investment officer (CIO) Dave Walter purchased Halberstadt Financial Consultants. Walter remains the firm’s principal owner, and he has 30 years’ experience working in financial services.

Customizable investment management and personalized financial planning are Halberstadt’s  two main services. Financial planning includes retirement planning, tax planning and estate planning.

Halberstadt Financial Consultants, Inc. Investing Strategy

Halberstadt Financial Consultants generally adheres to a long-term investing strategy. This entails buying and holding onto an investment for one year or longer. If the specifics of your personal situation dictate it, though, the firm may also recommend using short-term investing within your portfolio.

To remain in line with this long-term strategy, Halberstadt will look to diversify your assets across multiple markets and asset classes. To do this effectively, the firm may include individual equities, bonds, exchange-traded funds (ETFs) and mutual funds in your asset allocation.