Finding a Top Financial Advisor Firm in Princeton, New Jersey
Princeton, New Jersey is home to many financial advisor firms, so it might be difficult to sort through them all and figure out which ones are best suited for you. To help you decide, we compiled this list of the top financial advisor firms in Princeton. SmartAsset’s financial advisor matching tool can also help, as it will let you decide between up to three financial advisors who serve in your area.
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|Rank||Financial Advisor||Assets Managed||Minimum Assets||Financial Services||More Information|
|1||Roundview Capital, LLC Find an Advisor||$1,214,660,707||$1,000,000|| || |
|2||KB Financial Partners, LLC Find an Advisor||$1,064,257,973||$1,000,000|| || |
|3||Princeton Global Asset Management, LLC Find an Advisor||$522,259,309||$1,000,000|| || |
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|4||Novi Wealth Partners Find an Advisor||$295,729,545||No set account minimum|| || |
Minimum AssetsNo set account minimum
|5||Kubhera Enterprises, LLC Find an Advisor||$225,617,783||No set account minimum|| || |
Minimum AssetsNo set account minimum
|6||EKS Associates Find an Advisor||$234,462,987||No set account minimum|| || |
Minimum AssetsNo set account minimum
|7||Van Leeuwen & Company, LLC Find an Advisor||$315,755,159||No set account minimum|| || |
Minimum AssetsNo set account minimum
|8||Next Horizon Advisors, LLC Find an Advisor||$202,492,049||$750,000|| || |
|9||Halberstadt Financial Consultants, Inc. Find an Advisor||$135,475,188||$400,000|| || |
|10||Optimal Portfolio, LLC Find an Advisor||$114,257,362||minimum requirement varies|| || |
Minimum Assetsminimum requirement varies
What We Use in Our Methodology
To find the top financial advisors in Princeton, 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.
Roundview Capital, LLC
Roundview Capital, LLC is a fee-only financial advisory firm located in central Princeton. The firm has an account minimum of $1 million. Because of this, a majority of the firm’s client base consists of high-net-worth individuals. Roundview also works with individuals, trusts, estates, charitable organizations and businesses.
The 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. Howard T. Alter, Stephen K. Shueh and Andrew S. Lieu are the principal owners of the firm.
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 Investment Strategy
Roundview looks to adjust for risk and 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. It may use fundamental and technical analysis in its evaluations.
KB Financial Partners
KB Financial Partners, LLC employs several financial advisors who manage millions in client assets.
This fee-based firm boasts a relatively high number of advisory certifications. Among these are certified financial planners (CFPs), chartered life underwriters (CLUs), certified public accountants (CPAs), chartered financial consultants (ChFCs), certified plan fiduciary advisor (CPFA) and 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 a branch in Point Pleasant, New Jersey.
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 Investment 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.
Princeton Global Asset Management
Princeton Global Asset Management, LLC (PGAM) staff represents professional designations such as chartered financial analysts (CFA) among them.
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 - and pension and profit-sharing plans. The firm also serves partnerships, estates, trusts and corporations.
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. Currently, the firm is principally owned and managed by Gerard along with Brett M. Shaver.
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 Investment 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. The firm's primary method of analysis is fundamental analysis, but it also considers global market conditions and macroeconomic developments in these evaluations, among other factors.
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.
Novi Wealth Partners
Novi Wealth Partners is a fee-only firm that has millions in client assets under management (AUM). Its advisory staff holds four certified financial planner (CFP) designations among them, along with one chartered financial analyst (CFA) and one chartered retirement planning counselor (CRPC) and accredited wealth management advisor (AWMA).
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 Investment 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.
Kubhera Enterprises, LLC is a fee-based financial advisor firm focused on high-net-worth individuals, who comprise a majority 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 advisory staff.
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 Investment 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.
The firm may use charting, fundamental and/or technical analysis to evaluate securities. Investment strategies include long- and short-term purchases.
EKS Associates is a fee-only firm, and each of the firm’s 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 Investment 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).
Van Leeuwen & Company
Van Leeuwen & Company, LLC (VLC) has multiple financial advisors and a notable amount in assets under management (AUM). There are two certified financial planners (CFPs) 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 Investment 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.
The firm uses fundamental analysis when evaluating investments and emphasizes a long-term approach.
Next Horizon Advisors
Next Horizon Advisors is a fee-only firm that works with clients who are individuals, high-net-worth individuals, investment companies and charitable organizations. The team at Next Horizon Advisors consists of one certified financial planner and one certified public accountant.
The firm provides a wide range of personalized services which includes the following:
- Goal-based investment management
- Comprehensive financial planning
- Retirement planning
- Education planning
- Estate and income tax planning
- Business exit and succession planning
The firm's minimum requirement is $750,000. However in its sole discretion, the firm may waive the minimum size requirement.
Next Horizon Advisors' Background
Founded in 2014, Next Horizon Advisors is principally owned and managed by Shrikant Nadkarni, who offers over 25 years of industry experience. The firm prides itself on acting as fiduciaries for its clients and providing unbiased advice that clients can trust.
Next Horizon Advisors' Investment Strategy
The firm's investment strategy involves portfolio diversification with the use of multiple asset classes. When the firm has an understanding of the portfolio's objective for any client, the firm will develop a set of asset allocation guidelines, which consists of making percentage-based allocations of total value of the account to multiple asset classes.
Halberstadt Financial Consultants
Halberstadt Financial Consultants, Inc. is the ninth firm on our roundup of the top financial advisors in Princeton. The firm has a very small staff of 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 $400,000. Halberstadt works with individuals without a high net worth, those with a high-net-worth individuals, pensions and profit-sharing plans. It also offers services to trusts, estates, charitable organizations, corporations and other business entities.
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. Investment Strategy
Halberstadt Financial Consultants looks to maximize total return within your risk tolerance and time horizon. It 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.
The last firm on our list is Optimal portfolio, which is a fee-only firm that provides services to individuals and high-net-worth individuals as well as trusts, estates, charitable organizations, corporations and pension plans.
The firm's minumum requirement is $1 million under the firm's family wealth management services with a $9,500 per family wealth management fee that is anually. With a balance plan relationship, $3,000 per cash is required annually.
However, the firm's minimum annual fee and minimum asset under management requirements can be waived or reduced at the sole discretion of Optimal Portfolio.
Optimal Portfolio's Background
Founded in 2010, Optimal Portfolio is 100% owned by its principal owner, Yu Oen. Yu has over 30 years of experience in corporate and institutional finance. He started his carrer in Merrill Lynch's investment banking unit where he advised on corporate mergers and acquisitions transactions. In the private equity field, he specialized in corporate restructurings for the Lodestar Group.
Optimal Portfolio's Investment Strategy
The firm's investment management focuses on designing model portfolios on the behalf of clients who are looking for appropriate risk-adjusted returns. The firm will invest client's accounts mainly in stocks, bonds, mutual funds, exchange traded funds (ETFs) while seeking diversification among several asset classes with the goal of maximizing their client's investment returns with lower volatility.
The firm uses security analysis methods that include fundamental, valuation-based assessments, which are looking at factors that may include, but are not limited to, companies’ cash-flow, competitive advantages and position vs. its peers, among others.