Finding a Top Financial Advisor Firm in Scottsdale, Arizona
Although it’s a small city of just under 300,000 people, Scottsdale, Arizona has plenty to offer when it comes to financial advisor firms. 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 an individual advisor, use SmartAsset’s financial advisor matching tool, which will pair you up with financial advisors near you based on your needs. For information on every advisor in your area, explore SmartAdvisor Match.
|Rank||Financial Advisor||Assets Managed||Minimum Assets||Financial Services||More Information|
|1||Total Investment Management, Inc. Find an Advisor||$1,010,023,110|| |
No set account minimum
| || |
No set account minimum
|2||Householder Group Estate & Retirement Specialists Find an Advisor||$769,992,186|| |
Varies based on account type
| || |
Varies based on account type
|3||Galvin, Gaustad & Stein, LLC Find an Advisor||$718,098,493|| |
| || |
Let us help match you with the right financial advisor for your needs.Answer a few questions to get a personalized match.
|4||WealthTrust Arizona, LLC Find an Advisor||$436,115,789|| |
| || |
|5||Verus Capital Partners, LLC Find an Advisor||$291,532,600|| |
| || |
|6||TMD & Associates, Inc. Find an Advisor||$284,884,400|| |
| || |
|7||Integrated Wealth Management, LLC Find an Advisor||$255,151,700|| |
| || |
|8||Copperwynd Financial, LLC Find an Advisor||$220,900,000|| |
| || |
|9||Ashton Thomas Private Wealth, LLC Find an Advisor||$214,436,400|| |
No set account minimum
| || |
No set account minimum
|10||Juncture Wealth Strategies, LLC Find an Advisor||$193,185,000|| |
No set account minimum
| || |
No set account minimum
How We Found the Top Financial Advisor Firms in Scottsdale, Arizona
All financial advisor firms located in Scottsdale, Arizona that are registered with the U.S. Securities and Exchange Commission (SEC) were considered for this list. 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 did not offer individual accounts, did not offer financial planning or did not have a clean record. The final firms were then ranked from most assets under management (AUM) to least. The top 10 firms according to AUM appear on this list.
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 and its clients are mostly non-high-net-worth individuals.
The firm has the most varied combination of advisor certifications on this list. The team includes two certified financial planners (CFPs), a chartered financial analyst (CFA), an accredited investment fiduciary (AIF), a chartered market technician (CMT) and an investment advisor certified compliance professional (IACCP).
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.
Your asset allocations and diversification are determined in an attempt to satisfy your financial goals within your 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.
Householder Group Estate & Retirement Specialists
As its name suggests, Householder Group Estate & Retirement Specialists focuses more than most firms on serving retirement-age individuals. Depending on the style of account you want to open, you’ll need anywhere from $15,000 to $250,000 in investable assets to do so. The fee-based firm primarily serves non-high-net-worth individuals.
Advisor certifications at this fee-based firm include one certified estate planner (CEP) and one chartered retirement planning counselor (CRPC). You may be offered insurance as part of your advisory package. Even though the firm’s advisors may earn commissions from sales, the firm is a fiduciary and therefore must act in your best interest.
Householder Group Estate & Retirement Specialists Background
Householder Group Estate & Retirement Specialists was founded in 1997 by CEO Scott A. Householder. The firm is wholly owned by ASG Trust. At the company’s Scottsdale office, David Romero and Adam Lunceford are the advisors on staff, and they average 15 years’ experience in the industry.
Both individuals and businesses can find relevant financial management services at this firm. More specifically, you can choose from:
- Portfolio management services
- Analysis, recommendation and monitoring of third-party-managed programs
- Financial planning and consulting services
- Pension consulting services
- Seminar and education programs
- Estate planning services
- Retirement plan services
Householder Group Estate & Retirement Specialists Investing Strategy
In Householder Group Estate & Retirement Specialists’ investing process, the first step is for clients to make clear their personal financial objectives, as well as their desired time horizon and risk tolerance. These factors will help the firm determine how to invest your money.
Using multiple methods, Householder says it then searches the market for potential investment opportunities that align with your goals. The firm then decides on an appropriate asset allocation and asset classes.
Galvin, Gaustad & Stein, LLC
Galvin, Gaustad & Stein, LLC (GG&S) 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 individuals, pension and profit-sharing plans and large and small businesses.
Out of the 10 financial advisors who work in the firm’s office, there are three chartered financial analysts (CFAs), two certified financial planners (CFPs) and one chartered life underwriter (CLU).
This firm’s advisors also act as insurance agents and may earn commissions from sales. But, like all the firms on this list, GG&S is a fiduciary, as such it can’t sell you insurance if it doesn’t believe it is in your best interest.
Galvin, Gaustad & Stein, LLC Background
Established in 2010, Galvin, Gaustad & Stein, LLC is in a three-way tie with Ashton Thomas Private Wealth, LLC and Juncture Wealth Strategies, LLC for the title of youngest firm on this list. GG&S is independently owned by founders Stephen Gaustad and Stephen Galvin. The duo has been in finance for a combined 73 years, while the rest of the firm’s advisory team averages more than 13 years in the field.
Investment management, estate planning and retirement planning 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, Galvin, Gaustad & Stein will diversify your money throughout major asset classes like exchange-traded funds (ETFs), stocks and bonds.
WealthTrust Arizona, LLC
You’ll need at least $1 million in investable assets to become a client of WealthTrust Arizona, LLC. This fee-based firm has two certified financial planners (CFPs), a chartered financial consultant (ChFC), a certified fund specialist (CFS) and a professional plan consultant (PPC) on staff.
Insurance policies are offered by this firm and its advisors may earn commissions from sales. However, the firm is legally bound by fiduciary duty to act in your best interest at all times.
WealthTrust Arizona Background
Partners Ben Wilson and Paul Ahern are two of the principal owners of WealthTrust Arizona. The firm’s third principal owner is HighTower Advisors, LLC, a massive Chicago-based wealth management firm with over $28 billion in assets under management. WealthTrust was formed in 2006, but its advisors have worked in the financial space for up to 22 years.
As a group, this firm says it can handle many different facets of your financial life. The firm’s in-depth services include financial planning, retirement planning, portfolio management, estate planning, risk management, tax planning and mitigation, asset management and ongoing wealth management.
WealthTrust Arizona Investment Strategy
Modern portfolio theory is the backbone of WealthTrust Arizona’s investment ideology. This theory is centered around the idea that investors will take on a higher level of risk only if they will see a worthwhile and corresponding uptick in portfolio growth. Your asset allocation will vary depending on your risk tolerance. Generally, WealthTrust Arizona invests its clients’ assets in equities, mutual funds, ETFs and real estate investment trusts.
Your time horizon is the second piece of the puzzle. The firm says it has experience working with both long-term and short-term investments, which are defined as those held for more than a year or less than a year, respectively.
Verus Capital Partners, LLC
With an advisory staff of 36, Verus Capital Partners, LLC possesses the second-largest team on this list, behind Householder Group Estate & Retirement Specialists’ team, which has 52 advisors. Verus’ team has a diverse array of certifications, including two chartered financial consultants (ChFCs), three chartered life underwriters (CLUs), one certified divorce financial analyst (CDFA), one certified financial educators (CFEd), one certified public accountant (CPA) and four certified financial planners (CFPs).
A minimum of $250,000 is needed to begin a client relationship with this firm. The majority of the firm’s client base are 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. Advisors may earn commissions for selling insurance policies and securities. However, the firm is a fiduciary, so the law requires it to act in your best interest at all times.
Verus Capital Partners, LLC Background
Stephen Bull is not only the principal owner of Verus Capital Partners, LLC, he also 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 18 years.
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 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 communicated to your advisor, your individual needs and preferences will be used 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.
TMD & Associates, Inc.
TMD & Associates, Inc. is a fee-based financial advisor firm that calls for a minimum of $600,000 in investable assets to open an account. The firm says it serves “business owners, corporate executives, professional athletes and similarly affluent clients.”
Three members of this firm’s staff currently hold the distinction of being a certified financial planner (CFP). Insurance may be offered to clients of this firm. While sales may result in commissions for the firm’s advisors, remember that this firm is a fiduciary and it therefore must act in your best interest.
TMD & Associates, Inc. Background
The longest tenured firm on this list, TMD & Associates, Inc. was founded in 1994 by Todd Douma, the firm’s current president and chief compliance officer. As a group, the firm has an average of 15 years’ experience in asset management and personal finance.
Retirement planning is the firm’s premier focus. Cash-flow management, tax minimization and estate planning round out its service offerings for individuals. TMD also offers pension consulting.
TMD & Associates, Inc. Strategy
TMD & Associates, Inc. has premade portfolio models that it applies to its clients after learning about their current financial situation and desires for the future. The firm uses both active and passive investment management to try to capitalize on short-term gains, as well as the “tried-and-true” method of safe, long-term investing.
Unlike most of its competitors, TMD & Associates, Inc. works with alternative investments. The firm uses pooled investments, private equity, oil and gas partnerships, real estate and hard-money lending. But pooled investments might be the most prolificly utilized of that group, as the firm consistently pools its clients’ assets to give lower-net-worth individuals the chance to invest in more prestigious markets.
Integrated Wealth Management, LLC
Integrated Wealth Management, LLC is one of just two other firms on this list - including Juncture Wealth Strategies, LLC - that solely charges advisory fees based on your assets under management. The firm requires a $100,000 account minimum.
Integrated Wealth Management’s three-person financial advisory team has two certifications: one certified public accountant (CPA) and one certified financial planner (CFP).
As a fee-based entity, this firm and its advisors may earn commissions based on the sales of insurance policies and securities. Fiduciary duty binds this firm to act in your best interest at all times though.
Integrated Wealth Management, LLC Background
Integrated Wealth Management, LLC was founded in 2001 by Brent Pine, the firm’s current owner. Pine has twice received the Five Star Wealth Manager award from market research consultant, Five Star Professional. He’s also been a featured voice in publications like the Wall Street Journal and Forbes.
As its name might suggest, this firm takes an integrated approach to wealth management, considering the holistic health of anything and everything related to your financial life. To be as comprehensive as possible, Integrated Wealth Management, LLC implements tax mitigation, insurance evaluation, investment management and legal strategies in all of its clients’ portfolio considerations.
Integrated Wealth Management, LLC Strategy
One of the pillars of Integrated Wealth Management's investment philosophy is diversification across as many asset classes as feasibly possible. The asset classes the firm typically uses in its portfolios include stocks, mutual funds, ETFs and alternative investments. Integrated Wealth Management believes this wide net of investment choices allows its advisors the flexibility they need to truly diversify your account.
In general, the firm strives to minimize the impacts of market volatility and adhere to a client’s risk tolerance.
Copperwynd Financial, LLC
Copperwynd Financial, LLC requires an account minimum of $500,000. The firm serves individuals, pension and profit-sharing plans and businesses.
Copperwynd is a fee-based firm with five members on its financial advisory team. The firm’s staff holds a total of seven certifications, including two certified college funding specialists (CCFSs), one certified long term care specialist (CLTC), three certified financial planners (CFPs) and one chartered financial analyst (CFA).
Copperwynd’s advisors may offer clients insurance policies and they may earn additional compensation for sales. The firm is registered as a fiduciary though, so it is required to act in your best interest.
Copperwynd Financial, LLC Background
Copperwynd Financial, LLC has been advising clients since 2007. It is principally owned by David Daughtrey, chief investment officer, Lynda Elley, investment advisor, and Erick Newton, chief compliance officer. The trio averages more than 22 years of experience in asset management and personal finance.
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, LLC Client Experience
Copperwynd Financial, LLC builds and manages clients’ accounts through a three-step process. In the first step - the discovery stage - 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.
Ashton Thomas Private Wealth, LLC
Ashton Thomas Private Wealth, LLC holds the most advisor certifications out of the 10 firms on this list. The firm’s staff has a total of 14 certifications, including five certified financial planners (CFPs), four accredited investment fiduciaries (AIFs), a chartered financial analyst (CFA), a chartered financial consultant (ChFC), a chartered life underwriter (CLU), a certified divorce financial analyst (CDFA) and a certified investment management analyst (CIMA).
This fee-based firm does not require a minimum account size. The firm’s clients include non-high-net-worth individuals, businesses, charitable organizations and individuals with estates or trusts. This firm also has a family office, allowing for multigenerational families to get their financial plans in order.
Advisors of this firm are also insurance agents and they may earn commissions from sales. However, the firm is a fiduciary, so it’s required to always act in your best interest.
Ashton Thomas Private Wealth, LLC Background
Like Juncture Wealth Strategies, LLC and Galvin, Gaustad & Stein, LLC, Ashton Thomas Private Wealth, LLC was founded in 2010. These firms are the youngest on this list. Ashton Thomas Private Wealth is owned by Ashton Thomas Management, LLC, a holding company.
Ashton Thomas Private Wealth offers everything from direct asset management to consulting. The firm’s services include estate planning, retirement planning, insurance evaluation, tax planning and tax minimization.
Ashton Thomas Private Wealth, LLC Strategy
Ashton Thomas Private Wealth, LLC strives to build portfolios that will withstand both the expected and unexpected events that lie in a client’s future. The firm considers risk management a “north star” for advisors to follow as they search for securities and other investments for a client’s portfolio.
To do this while also heeding a client’s liquidity needs, Ashton Thomas Private Wealth uses a balance of short-term and long-term investments. The placement of assets in long-term options is meant to keep your funds in a constant growth state, while short-term options can provide liquidity in the present.
Juncture Wealth Strategies, LLC
Aside from Integrated Wealth Management, LLC, Juncture Wealth Strategies, LLC is the only other firm on this list that only charges its clients a percentage of assets under management. The firm has no set account minimum, making it more accessible than many of the other firms on this list. More than half of the firm’s clients are non-high-net-worth individuals.
The firm employs two chartered financial analysts (CFAs), one certified public accountant (CPA), one chartered alternative investment analyst (CAIA) and one certified trust and financial advisor (CTFA).
As it is a fee-based firm, Juncture Wealth Strategies may offer insurance to its clients on a commission basis. Though this extra compensation could create a potential conflict of interest, the firm is a fiduciary and it’s therefore bound by law to act in your best interest at all times.
Juncture Wealth Strategies, LLC Background
Juncture Wealth Strategies, LLC is an employee-owned firm. Ownership is split between the firm’s founders, Barry Rhonemus and Michael Frost, as well as Jack Barker, chief fiduciary officer, Bradley Haines, head of strategy implementation, and private owners Ralph Nelson and David Maxey.
Juncture Wealth Strategies claims its financial planning services feature “individualized financial plans that look beyond bank and investment statements.” Beyond that, the firm also offers solutions for trust creation, retirement income planning, charitable giving and wealth transfers.
Juncture Wealth Strategies, LLC Strategy
Juncture Wealth Strategies, LLC takes into account your time horizon and risk tolerance when constructing your portfolio. In general, the firm strives to avoid market volatility by actively reassessing and managing your investments. If market conditions cause your portfolio to drift from your original plan, the firm will rebalance your portfolio.
Every investment decision Juncture’s advisors make will consider your current tax situation. Taxes are a major focus of the firm, because the larger your account grows, the more taxes will come into play.