Finding a Top Financial Advisor Firm in Santa Rosa, California
Finding the best advisor for your financial situation doesn’t have to be difficult. We’ve compiled a list of the top advisors in Santa Rosa, California to make your search easier. If you’d like additional help with your search, try SmartAsset’s free financial advisor matching service. It will connect you with up to three advisors who serve your area.
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| Rank | Financial Advisor | Assets Managed | Minimum Assets | Financial Services | More Information |
|---|---|---|---|---|---|
| 1 |
Traverso Chambers Private Wealth Management, LLC
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$468,916,711 | No set account minimum |
|
Minimum AssetsNo set account minimumFinancial Services
|
| 2 |
Aljian Capital Management
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$426,431,517 | No set account minimum |
|
Minimum AssetsNo set account minimumFinancial Services
|
| 3 |
ZRC Wealth Management, LLC
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$284,295,181 | No set account minimum |
|
Minimum AssetsNo set account minimumFinancial Services
|
| 4 |
JDH Wealth Management, LLC
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$305,218,644 | $1,000,000 |
|
Minimum Assets$1,000,000Financial Services
|
| 5 |
Montgomery Taylor Wealth Management
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$121,229,683 | $500,000 |
|
Minimum Assets$500,000Financial Services
|
What We Use in Our Methodology
To find the top financial advisors in Santa Rosa, 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:
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AUMFirms with more total assets under management are ranked higher. -
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Individual Client CountFirms who serve more individual clients (as opposed to institutional clients) are ranked higher. -
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Clients Per AdvisorFirms with a lower ratio of clients per financial advisor are ranked higher. -
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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.
Traverso Chambers Private Wealth Management
At the top of the list is Traverso Chambers Private Wealth Management. The firm doesn’t have a set account minimum, and its client base consists mostly of non-high-net-worth and high-net-worth individuals. The practice also provides advisory services to pension and profit-sharing plans, trusts, estates, charitable organizations, corporations, limited liability companies and other business entities.
Traverso Chambers charges on an hourly or flat fee basis for financial planning and consulting. The firm's investment management fee is based on a percentage of client assets. As a fee-based firm, some advisors here collect commissions from selling insurance products. This may create an incentive for advisors to recommend certain products, but the firm has a fiduciary duty to put clients' interests first.
Traverso Chambers Private Wealth Management Background
Marc Traverso and Timothy Chambers founded their namesake firm. They also remain the firm's sole owners.
The firm offers a range of advisory services, including financial planning, portfolio management, pension consulting services and advisor referrals. Traverso Chambers’ consulting services may include estate planning, education planning, insurance analysis, charitable planning, and corporate and personal tax planning.
Traverso Chambers Private Wealth Management Investing Strategy
Traverso Chambers applies a number of investment strategies in its advisory and investment decisions. Its main tactics include fundamental analysis, cyclical analysis, modern portfolio theory, mutual fund and/or exchange-traded fund (ETF) analysis, technical analysis and third party money manager analysis.
The firm says it employs such strategies in conjunction with each client’s time horizons, investment objectives and risk tolerance.
Aljian Capital Management
Aljian Capital Management is next on our list. With no set account minimum at the firm, non-high-net-worth individuals outnumber high-net-worth ones. The firm also serves pension and profit-sharing plans, corporations, limited liability companies and other business entities.
For investment advisory services, the firm charges a percentage of assets under management. Its pension consulting fees are based on a percentage of client assets as well. Certain advisors at this fee-based firm can sell securities on a commission basis. While this presents a potential conflict of interest, the firm's fiduciary duty requires it to act in clients' best interests at all times.
Aljian Capital Management Background
Aljian is an independent advisory firm that was founded in 2013. It’s wholly owned by the Aljian Family Revocable Trust, which is, in turn, owned by Jim Aljian and Denise Aljian. The firm specializes in portfolio management and pension consulting. As noted before, it offers financial planning services only as part of its investment advisory services.
Aljian’s financial planning may include estate planning, charitable planning, education planning, corporate and income tax planning and insurance analysis.
Aljian Capital Management Investing Strategy
Aljian uses four key stages to define its advisor-client relationships: understand, design, report and manage. The firm identifies the client’s financial situation and investment goals in the first stage. In the design stage, Aljian forges a customized plan centered toward helping a client meet their goals. The firm monitors each client’s portfolio performance in the third stage, and it offers portfolio performance feedback in the final stage.
The firm generally creates portfolios with stocks and bonds. In evaluating securities, Aljian uses fundamental, technical, cyclical and charting analysis.
ZRC Wealth Management
ZRC Wealth Management is a fee-only firm, which means advisors are compensated for the services they provide, and not for the products they sell. The firm's investment advisory fees are asset-based, and its financial planning and consulting fees are provided at hourly rates.
High-net-worth individuals make up most of the firm’s client base, but it also serves non-high-net-worth individuals, families, pension and profit sharing plans, trusts, estates and charitable organizations. The credentials of ZRC’s advisors include the certified financial planner (CFP), personal financial specialist (PFS) and chartered financial analyst (CFA) designations.
There are no account minimums.
ZRC Wealth Management Background
ZRC Wealth Management was founded in 1999 as an independent and privately held investment management firm. Barry Mendelson recently became the sole owner of the firm, along with the Mendelson Family Trust.
The firm offers financial planning and investment management. It may also recommend third-party money managers.
ZRC Wealth Management Investing Strategy
ZRC Wealth Management says that it prioritizes personalized and long-term investment plans. The firm takes into account a number of factors in crafting client-specific investment advice, including time horizons, investment objectives, income and liquidity needs and risk tolerance. ZRC uses mutual funds and exchange-traded funds to develop diversified portfolios. Additionally, prospective clients receive two free consultations to help them decide whether ZRC is a good fit for their investment objectives.
JDH Wealth Management
JDH Wealth Management is up next on our Santa Rosa list. The firm has a $1 million account minimum for new investment management accounts, with an annual minimum fee of $12,500. For fixed-income portfolios, the minimum is a lower $400,000, though individual bonds can be bought in smaller increments. For 401(k) plans, there is a $5,000 minimum annual fee. Finally, for financial planning services, the firm charges hourly fees and fixed fees for its financial planning services.
JDH offers services to non-high-net-worth and high-net-worth individuals, qualified retirement plans, trusts and small business plans. As a fee-based firm, advisors may earn commissions from financial product sales, which is a potential conflict of interest. However, as a fiduciary, the firm is legally obligated to act in the best interests of clients.
JDH Wealth Management Background
Timothy Delany, Ralph Jones and Matthew Delaney founded JDH in 2000. Today, only Matthew Delaney works at the firm, and it's owned by him and Ralph Jones.
The firm provides financial, investment and retirement plan services. Clients can also benefit from the firm’s insurance, non-profit, charitable, business and tax and estate planning services. Some of the firm’s advisors are certified public accountants (CPAs).
JDH Wealth Management Investing Strategy
Committed to long-term investment plans, JDH creates an investment policy for each client to help ensure that their investment objectives are met. The firm principally uses asset allocation and portfolio diversification as a means of generating long-term investment returns. The advisory generally utilizes open-end mutual funds or conservative fixed-income securities as part of this strategy, plus mutual funds and ETFs invested in domestic and international equities.
Montgomery Taylor Wealth Management
Montgomery Taylor Wealth Management is a fee-based financial advisor firm that works almost entirely with individual clients with less than a high net worth. The rest of its client base is comprised of high-net-worth individuals and charitable organizations. The firm has a $500,000 minimum investment requirement, though it may accept clients with less than that.
The reason Montgomery Taylor is a fee-based firm is because certain on-staff advisors can receive compensation for selling clients insurance products. While this technically presents a potential conflict of interest, the firm's fiduciary duty means it must act in clients' best interests at all times.
Montgomery Taylor Wealth Management Background
Montgomery Taylor Wealth Management has been in business since 2002, though it wasn't registered at the federal level until 2021. The firm's majority owner is Montgomery Taylor, and its two minority owners are Sandra Loewen and Jonathan Weintraub.
The advisory services at this firm are comprised of investment management and financial planning offerings.
Montgomery Taylor Wealth Management Investing Strategy
Montgomery Taylor Wealth Management takes clients' needs and financial situations into account when investing their assets. This involves looking deeply into their risk tolerance, time horizon, income needs, liquidity needs and long-term goals. The firm mostly operates on a discretionary basis, meaning clients hand the right to choose and make investments over to the firm entirely.
