Finding a Top Financial Advisor Firm in Scottsdale, Arizona
Although it’s a relatively small city with just under 300,000 people, Scottsdale, Arizona has many financial advisor firms to choose from. To guide you in your search, SmartAsset has created a comprehensive review of the top 10 financial advisor firms in Scottsdale. Below, you can compare each firm’s account minimums, investing strategies and fees to figure out which firm is right for you. To find a financial advisor, use SmartAsset’s free matching tool to pick between up to three advisors near you.
|Rank||Financial Advisor||Assets Managed||Minimum Assets||Financial Services||More Information|
|1||WealthPlan Advisors, LLC Find an Advisor||$1,623,808,171||Varies based on account type|| || |
Minimum AssetsVaries based on account type
|2||Total Investment Management, Inc. Find an Advisor||$1,173,407,847||No set account minimum|| || |
Minimum AssetsNo set account minimum
|3||Galvin, Gaustad & Stein, LLC Find an Advisor||$1,067,820,765||$500,000|| || |
|4||Trajan Wealth, LLC Find an Advisor||$491,588,862||$10,000|| || |
|5||Verus Capital Partners, LLC Find an Advisor||$470,062,063||Varies based on account type|| || |
Minimum AssetsVaries based on account type
|6||Capital Insight Partners, LLC Find an Advisor||$394,793,217||No set account minimum|| || |
Minimum AssetsNo set account minimum
|7||Copperwynd Financial Find an Advisor||$365,987,456||$750,000|| || |
|8||Henry + Horne Wealth Management Find an Advisor||$364,930,000||Varies based on account type|| || |
Minimum AssetsVaries based on account type
|9||Stonegate Capital Advisors, LLC Find an Advisor||$302,000,000||$250,000|| || |
|10||Exeter Financial, LLC Find an Advisor||$289,715,437||$1,000,000|| || |
How We Found the Top Financial Advisor Firms in Scottsdale, Arizona
For this list, we considered all financial advisor firms located in Scottsdale, Arizona that are registered with the U.S. Securities and Exchange Commission (SEC). SEC-registered firms are bound by fiduciary duty, which means the firms must act in their clients’ best interests at all times. From that initial list of firms, we eliminated any that do not offer individual accounts, do not offer financial planning or do not have a clean legal and regulatory record. Then we ranked the final firms from most assets under management (AUM) to least. The top 10 firms according to AUM appear on this list. All information is accurate as of the writing of this article.
WealthPlan Advisors, LLC
Nearly seven out of every 10 clients that WealthPlan Advisors, LLC has are either an individual with or without a high net worth. The firm also maintains relationships with a wide range of institutional clients, as it works with retirement plans, foundations, charitable organizations, ERISA trusts and businesses as well. Rather than pose a single minimum investment requirement, WealthPlan calls for the following:
- Individual portfolio management: $500,000 in investable assets
- Retirement plan and institutional consulting services: $10,000 minimum annual fee
The advisory team at WealthPlan Advisors has a few certifications to its credit. Clients will find three certified financial planners (CFPs), two certified plan fiduciary advisors (CPFAs), one chartered retirement plans specialist (CRPS), two accredited investment fiduciary analysts (AIFAs), one accredited investment fiduciary (AIF) and one certified employee benefit specialist (CEBS) at the firm.
As a fee-only operation, all of the firm's compensation comes from the advisory fees that clients pay.
WealthPlan Advisors, LLC Background
Brothers Scott and Todd Schlappi established WealthPlan Advisors in 2009. The duo has around 50 years of combined experience in the finance space. The firm is under the principal ownership of Wealth Management, Inc. and Retirement Plan Advisors, Inc. However, Scott Schlappi and chief compliance officer (CCO) Rick Horton indirectly own WealthPlan through those entities.
WealthPlan Advisors is divided into two sections, with one side focused on individual services and the other on corporate retirement plan services. Scott Schlappi heads up the corporate retirement plan offerings and Rick Horton manages the firm's individual clientele.
WealthPlan Advisors, LLC Investing Strategy
The first step to become a client of WealthPlan Advisors is to take part in a rigorous data-gathering process with your new advisor. More specifically, you'll iron out your risk tolerance, time horizon, individual investment objectives and liquidity needs to come up with a clear personal investment policy. Your advisor will then use this information to create an investment plan that will help you get where you want without violating any of your personal specifications. To appease its clients further, WealthPlan will allow you to provide written instructions for how the firm should manage your portfolio, though there are limitations.
Total Investment Management, Inc.
Total Investment Management, Inc. is a fee-based financial advisor firm that serves a niche group: aviation professionals. The firm caters to commercial and military pilots, flight attendants and anyone else with an occupation directly related to flying. Total Investment Management does not require a set account minimum, but rather a $600 minimum annual fee. The firm's clients are mostly non-high-net-worth individuals.
The firm has one of the most varied combinations of advisor certifications on this list. The team includes two certified financial planners (CFPs), one chartered financial analyst (CFA), one accredited investment fiduciary (AIF) and one chartered market technician (CMT).
This firm offers clients insurance and its advisors may make commissions from these sales. However, Total Investment Management is a fiduciary, so it is legally bound to act in your best interest at all times.
Total Investment Management, Inc. Background
John Edward Foster II and his son, Todd Michael Foster, are the principal owners of Total Investment Management, Inc. The independent firm was initially founded in 1998.
The firm offers three main tiers of investment management: TIM Basic, TIM Portfolio and TIM Premier. The TIM Basic portfolio is intended for clients who have employer-sponsored retirement plans and is centered around mutual funds and exchange-traded funds (ETFs). Far more retirement accounts are covered when you move to the TIM Portfolio, including IRAs, trusts and individual/joint accounts. For TIM Premier members, everything above is included, in addition to quarterly and annual check-in calls from your advisor, insurance analysis, estate planning and Social Security optimization.
Total Investment Management, Inc. Strategy
To determine exactly how it will invest a client’s assets, Total Investment Management, Inc. uses two types of analysis: fundamental analysis and technical analysis. Fundamental analysis refers to a strategic examination of the overall financial health of a company, as well as the market risks that could negatively or positively affect the future of that company. Technical analysis is focused on spotting trends to predict where the market could be headed.
The firm determines your asset allocation mix and diversification in an attempt to satisfy your financial goals within your desired time horizon. The firm actively manages your investments, as it believes this is the best way to find outperforming stocks. Your account will be rebalanced if your allocated assets fall out of their predetermined percentages.
Galvin, Gaustad & Stein, LLC
Galvin, Gaustad & Stein, LLC (GGS) is a fee-based financial advisor firm. To open an account, you’ll need at least $500,000 in assets. The firm’s typical clients include non-high-net-worth individuals, high-net-worth individuals, pension and profit-sharing plans and large and small businesses.
Out of the financial advisors who work in the firm’s office, there are three chartered financial analysts (CFAs), three certified financial planners (CFPs), one advisor with a certificate in investment performance measurement (CIPM) and one chartered life underwriter (CLU).
This firm’s advisors also act as insurance agents and may earn commissions from any related sales. But, like all the firms on this list, GGS is a fiduciary, which means it must act in your best interest at all times.
Galvin, Gaustad & Stein, LLC Background
Established in 2010, Galvin, Gaustad & Stein, LLC is one of the youngest firms on this list. GGS is independently owned by founders Stephen Gaustad and Stephen Galvin. The duo has been in finance for over a combined 75 years, while the rest of the firm’s advisory team averages more than 15 years in the field.
Investment management, financial planning and retirement plan services are the firm’s three primary focuses.
Galvin, Gaustad & Stein, LLC Strategy
Galvin, Gaustad & Stein, LLC goes through a three-step process to ensure that it makes the right investment decisions regarding your assets. This process begins with a proprietary research-based screening of the various stocks currently available. Next, your advisor will take a deep dive into estimates on where the stock’s price is headed and how that can affect your future returns. Lastly, the firm narrows down the remaining choices based off of which one has the fewest red flags and the strongest revenue growth.
The firm ultimately selects your investments based on your personal financial goals and risk profile. Depending on your financial situation, GGS will diversify your money throughout major asset classes like exchange-traded funds (ETFs), stocks and bonds.
Trajan Wealth, LLC
Trajan Wealth, LLC's advisory services should be fairly accessible to most clients, as the firm's minimum initial investment is just $10,000. In turn, the vast majority of the firm's client base is comprised of non-high-net-worth individuals, with a handful of high-net-worth individuals rounding it out.
This firm works to integrate investment and financial planning services into a single offering called asset management. This involves investment planning and portfolio creation, retirement planning, tax planning, insurance review, cash flow management, estate planning and more.
Certain on-staff advisors at Trajan can earn commissions when they sell insurance products. Although this creates a potential conflict of interest, the firm is bound by fiduciary duty to act in clients' best interests.
Trajan Wealth, LLC Background
Trajan Wealth was formed in 2010 under the name Valley Financial Wealth Management, LLC. But in 2011, the firm changed its name to what it currently is. The firm's founder and CEO, Jeff Junior, still principally owns the firm.
The advisory staff at this firm has a rather robust set of certifications. These include three certified financial planners (CFPs), one certified wealth strategist (CWS), one certified divorce financial analyst (CDFA), one chartered retirement planning counselor (CRPC), one registered financial consultant (RFC), one accredited investment fiduciary (AIF), one chartered financial consultant (ChFC), one chartered advisor for senior living (CASL), one retirement income certified professional (RICP) and certified financial educator (CFEd).
Trajan Wealth, LLC Investment Strategy
Before making any investment decisions on your behalf, Trajan Wealth will gather intel on the type of investor you are. This will involve looking into your short- and long-term financial goals, risk tolerance, time horizon, income needs and more. Based on these insights, the firm will recommend a personalized asset allocation.
The firm is technically open to any investment, but it tends to invest in stocks, bonds, mutual funds, exchange-traded funds (ETFs), annuities and cash. Depending on your situation, cash holdings may occupy a small or large percentage of your overall asset allocation.
Verus Capital Partners, LLC
Verus Capital Partners, LLC boasts one of largest advisory teams on this list. The firm's leadership team includes one chartered retirement planning counselor (CRPC) and one certified divorce financial analyst (CDFA). Prospective clients of this firm will need a minimum investment of $25,000 to $250,000, depending on the services they choose to subscribe to.
The majority of the firm’s client base is comprised of non-high-net-worth individuals. More specifically, Verus says its typical clients are individuals with pension plans or individuals who are looking to save for retirement, build a trust or manage an estate.
Verus Capital Partners is a fee-based firm, so advisors may earn commissions for selling insurance products and securities. However, the firm is a fiduciary, legally binding it to act in clients' best interests.
Verus Capital Partners, LLC Background
Stephen Bull, the principal owner of Verus Capital Partners, LLC, founded the firm in 2009. Bull has been a part of the asset management world since 1993, and the rest of the firm’s advisors have been in the business for an average of around a decade.
The firm provides financial planning, estate and trust creation and retirement planning services. It will also supplement those services with tax planning and liquidity incorporation.
Verus Capital Partners, LLC Investment Strategy
There are many factors Verus Capital Partners, LLC takes into account to ensure your portfolio fits your needs. Some of these factors include your time horizon and risk tolerance, as well as your current tax status and overall financial status.
Once you communicate your individual needs and preferences to your advisor, he or she will use them to determine the investments that will make up your portfolio. To decide where to invest its clients’ assets, Verus says it relies on extensive market research through various publications, outside research, corporate rating services and related filings with the SEC.
The asset allocation applied to your portfolio will remain flexible, allowing for the firm to rebalance when necessary. If there are major market changes, the firm may formulate an entirely new plan.
Capital Insight Partners, LLC
Capital Insight Partners, LLC is a fee-based financial advisor firm. Across its advisory team, there are three chartered financial analysts (CFAs), one certified financial planner (CFP) and one accredited investment fiduciary (AIF). Unlike some of its competition on this list, Capital Insight does not require a specific minimum initial investment. However, a $1,000 minimum annual fee is required for its retirement plan consulting services.
On the whole, this firm is focused on working with high-net-worth and non-high-net-worth individuals. This doesn't preclude it from holding relationships with other client types, like trusts, estates, pension plans and profit-sharing plans.
Certain members of the advisory staff at Capital Insight Partners are licensed to sell insurance products or securities for an extra commission. This has the potential to cause a conflict of interest, which the firm mitigates by being a fiduciary, legally binding it to act in clients' best interests.
Capital Insight Partners, LLC Background
Prior to forming Capital Insight Partners, co-founders Susan Anastasiadis and Steven Nelson worked together at Merrill Lynch in Scottsdale. Nelson has worked in the financial advisor space for about 30 years, while Anastasiadis' experience level sits around 20 years. Nelson and Anastasiadis are the principal owners of the firm.
Financial planning is the clear centerpiece of Capital Insight's advisory services. This is based around a comprehensive ideology, as the firm can provide budgeting, estate planning, retirement planning, business planning, insurance analysis, investment management and planning, tax management and more.
Capital Insight Partners, LLC Investing Strategy
Many of Capital Insight Partners' investment decisions are based on a long-term strategy that looks to avoid the pitfalls of stock-picking and other risky investment moves. Despite this affinity, the firm's advisors are not opposed to additionally utilizing short-term purchases to try and take advantage of riskier securities. Prior to employing this type of philosophy, the firm will project the tax implications it could have on your portfolio. Should they remain too great to realize a true profit, your advisor may stick to long-term strategies.
Copperwynd Financial requires a minimum account size of $750,000. The firm serves individuals with and without a high net worth, pension and profit-sharing plans, businesses and other investment advisors.
On Copperwynd’s advisory staff, there's a total of seven certifications. These include two certified college funding specialists (CCFSs), one certified long term care specialist (CLTC), three certified financial planners (CFPs) and one chartered financial analyst (CFA).
This firm’s advisors may offer clients insurance policies that they can then earn commissions for selling. The firm is registered as a fiduciary, though, so it is required to act in your best interest, no matter what.
Copperwynd Financial Background
Copperwynd Financial has been advising clients since 2007. It is principally owned by four employees: David Daughtrey, Lynda Elley, Erick Newton and Jacob Eggett. This group averages around 20 years of experience in the asset management industry.
The firm works with clients across the age spectrum, offering services like retirement planning, estate planning, higher education cost planning, Social Security management and tax minimization.
Copperwynd Financial Client Experience
Copperwynd Financial builds and manages clients’ accounts through a three-step process. In the first step, the firm works with you to determine your strict time horizon and risk tolerance, which will lay the foundation for how your portfolio will be diversified across different asset classes.
Once the necessary information has been communicated, your advisor will approach you with an investment strategy and asset allocation, which is based on your objectives. The firm typically invests its clients’ assets in individual stocks, bonds, ETFs, mutual funds, options and other public securities.
The final step, monitoring and supporting your portfolio, is an ongoing process. Copperwynd says your advisor will aim to remain in contact with you as often as possible and you’ll also sit down for an annual meeting. In rare situations, the firm says that it may rebalance your account if your financial goals change or if certain investments in your portfolio are underperforming or over-performing. This is done in an effort to keep your overall portfolio strategy in place regardless of how well a portion of it is currently doing.
Henry + Horne Wealth Management
The premier service available through Henry + Horne Wealth Management is its investment management offering. Through this, the firm will provide ongoing investment advice based on your personal needs and goals. All investment clients will also receive access to a wide selection of financial planning services, or they can access them on a stand-alone basis.
Although Henry + Horne Wealth Management manages the assets of a few retirement plans, its real focus is on high-net-worth and non-high-net-worth individuals. Investment minimums at the firm vary based on the service, though they typically don't surpass $1 million.
As a fee-based operation, this firm employs advisors who can earn commissions when they sell certain securities or insurance products. Despite the potential conflict of interest this creates, the firm is bound by fiduciary duty to act in your best interest.
Henry + Horne Wealth Management Background
Before changing its name to Henry + Horne Wealth Management in 2017, this firm was called Carlin Wealth Management since 2005. The firm is under the principal ownership of its founder and president, Michael J. Carlin.
The advisory team at this firm includes two chartered financial analysts (CFAs), one accredited investment fiduciary (AIF) and one certified divorce financial analyst (CDFA).
Henry + Horne Wealth Management Investment Strategy
Henry + Horne Wealth Management believes your risk tolerance, investment goals and liquidity needs should be the most important factors in the portfolio construction process. To ensure the firm understands what kind of investor you are, it will review your overall financial situation. More specifically, it will look into your assets, liabilities, total net worth and taxes.
Generally speaking, this firm prefers to invest with an eye towards long-term success. However, that doesn't mean the firm is completely averse to investing in securities on a more short-term basis. In its Form ADV, the firm says it does this "to take advantage of conditions that we believe will soon result in a price swing in the securities we purchase."
Stonegate Capital Advisors, LLC
Stonegate Capital Advisors, LLC is distinctive in that its current client base is completely devoid of high-net-worth individuals. In turn, the firm works mostly with non-high-net-worth individuals. The firm is also known to maintain advisory relationships with estates, trusts, retirement plans and charitable organizations.
You'll need at least $250,000 in investable assets to become a client of this firm. Stonegate's staff boasts two certified financial planners (CFPs) and one chartered retirement plans specialist (CRPS).
Some of the advisors at this fee-based firm can earn commissions from the sale of specific insurance products or securities. Stonegate does abide by fiduciary duty, though, legally binding it to act in clients' best interests at all times.
Stonegate Capital Advisors, LLC Background
Founded in 2004, Stonegate Capital Advisors was opened by CEO Jameson Van Houten. Van Houten is the principal owner of the firm, although it's in an indirect manner. Van Houten is the sole trustee of Stoneblu Revocable Trust which, in turn, owns Stonegate Financial Group, LLC, a holding company. Stonegate Financial Group is the direct owner of Stonegate Capital Advisors.
Wealth management clients of this firm will be privy to its proprietary system aptly titled "The Stonegate Model." You can also take advantage of general financial planning, insurance analysis, education cost planning, estate planning, retirement planning and more.
Stonegate Capital Advisors, LLC Investing Strategy
Contrary to many financial advisory firms that adhere to either long- or short-term securities purchases, Stonegate uses both together. Much of the firm's investments include stocks, but bonds, no-load mutual funds and options remain integral as well. When creating a diversified set of equities for one of its portfolios, Stonegate sticks to the following assumptions for the long term:
- Equities outperform fixed-income
- Small companies outperform large companies
- Value companies outperform larger, higher-priced growth stocks
Exeter Financial, LLC
With less than 100 total clients to its name, Exeter Financial, LLC is a relatively small firm. However, the assets from its high-net-worth individual clients alone make up around two-thirds of its overall asset base. Other clients that typically work with the firm include non-high-net-worth individuals, pension and profit-sharing plans and charitable organizations. The firm has a minimum investment requirement of $1 million, though the firm reserves the right to change it.
Exeter Financial has a number of offerings within its comprehensive wealth management service. These include strategic investment planning, investment consulting, estate planning, tax planning, long-term goal planning and more.
Certain advisors at this fee-based firm may be able to sell insurance products on a commission basis. This creates a potential conflict of interest. To mitigate that, the firm and its advisors abide by fiduciary duty, legally binding them to act in clients' best interests no matter what.
Exeter Financial, LLC Background
Exeter Financial was established in 2006 by co-managing members Peter Helms and Stephen Harrison. Today, the firm is still principally owned by Helms and Harrison, with managing directors Kurt Gusinde and Brian Brummell rounding out its leadership team.
The staff at this firm includes on chartered financial analyst (CFA), one certified financial planner (CFP) and one accredited investment fiduciary (AIF).
Exeter Financial, LLC Investment Strategy
Because your personal needs and market conditions are continually changing, Exeter Financial will follow suit and make adjustments as things shift. As a result, the firm does not believe in holding a single investment strategy over time. Even still, Exeter tends to hold securities within clients' portfolios for at least year, though that's not always the case.
When deciding what securities to invest in, Exeter will engage in multiple methods of analysis. These include charting analysis, fundamental analysis and technical analysis, as well as an analysis of various economic trends.