Finding a Top Financial Advisor Firm in Seal Beach, California
Seal Beach, California offers an array of financial advisor firms, but selecting the most suitable one is crucial to your short- and long-term financial success. We’ve formed a list of the top firms in Seal Beach to help you with your search. Our ranking analyzes each firm’s assets under management (AUM), advisory services, investment philosophy, minimum account size requirements and more. SmartAsset’s free financial advisor matching tool can also help you with your search.
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| Rank | Financial Advisor | Assets Managed | Minimum Assets | Financial Services | More Information |
|---|---|---|---|---|---|
| 1 |
Regal Wealth Group, Inc.
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$233,615,485 | $1,000,000 |
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Minimum Assets$1,000,000Financial Services
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| 2 |
Erman Retirement Advisory
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$210,521,000 | No set account minimum |
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Minimum AssetsNo set account minimumFinancial Services
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What We Use in Our Methodology
To find the top financial advisors in Seal Beach, 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.
Regal Wealth Group
Regal Wealth Group tops our list of the top financial advisor firms in Seal Beach. The firm has multiple on-staff advisors managing the assets of hundreds of individual and institutional clients. Regal Wealth’s client base includes non-high-net-worth individuals, high-net-worth individuals, endowments and pension and profit sharing plans.
The fee-only firm charges asset-based fees, hourly charges and fixed fees for its advisory services. Regal Wealth has a $1 million minimum for new clients, though it may be willing to accept clients with less than that.
Regal Wealth Group Background
Regal Wealth Group is owned by the Beeler Family Trust, which is, in turn, owned by William M. Beeler and Jacqueline A. Bailey-Beeler. William Beeler and Gary P. Klein founded Regal Wealth in 2005.
The firm specializes in investment advisory, retirement planning, IRA distribution strategies, financial planning and consulting services.
Regal Wealth Group Investment Strategy
Regal Wealth Group uses long- and short-term purchases and trading as its primary investment strategies. Driven by research, discipline, innovation and conviction, Regal says it relies on independent quantitative, qualitative and fundamental research, according to its website. The firm tailors its investment strategies to the needs of its clients.
Erman Retirement Advisory
Erman Retirement Advisory is a fee-based firm. Its client base includes individuals, families, trusts and estates. The firm’s fee-based fee structure allows it to earn commission-based compensation from the sale of investment or insurance products, which is a potential conflict of interest. However, it is legally obligated to honor a fiduciary duty to work in each client’s best interest.
Erman’s team includes certifications such as enrolled agent (EA), certified financial planner (CFP) and certified retirement counselor (CRC). When it comes to compensation, Erman mainly charges clients asset-based fees, hourly charges and commissions. The firm doesn’t have a minimum account size requirement.
Erman Retirement Advisory Background
Established in 2000 by Howard Erman, Erman Retirement Advisory provides a variety of advisory services, including: financial planning, Tactical Asset Management Services (TAMS) and “financial snapshot” services. The firm also provides concierge and special projects services.
Erman Retirement Advisory Investment Strategy
Erman Retirement Advisory mainly relies upon tactical asset allocation and modern portfolio theory when making investment decisions. The firm adheres to a long-term investing approach and ensures that portfolios are globally diversified to control the risk associated with traditional markets, according to its website.
In offering investment advice, Erman utilizes passively-managed index and ETFs, actively-managed funds, dividend paying stocks and individual municipal bonds.
