Finding a Top Financial Advisor Firm in Stamford, Connecticut
Looking for a financial advisor in the Stamford, Connecticut area to help you manage your money? SmartAsset has created the following list to help you find the top financial advisor firms in Stamford. If you’d like more tailored recommendations, SmartAsset’s financial advisor matching tool can help you find an advisor who meets your specific needs. Just spend a few minutes answering our short questionnaire about your finances and the tool will match you with up to three local advisors.
|Rank||Financial Advisor||Assets Managed||Minimum Assets||Financial Services||More Information|
|1||RZH Advisors, LLC Find an Advisor||$863,260,610||$3,000,000|| || |
|2||Eagle Ridge Investment Management, LLC Find an Advisor||$752,273,862||$1,000,000|| || |
|3||Integra Global Advisors, LLC Find an Advisor||$435,130,200||$20,000,000|| || |
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|4||Asset Management Group, Inc. Find an Advisor||$410,602,534||$2,700 minimum annual fee|| || |
Minimum Assets$2,700 minimum annual fee
|5||5th Street Advisors, LLC Find an Advisor||$215,267,227||$300,000|| || |
|6||Scholtz & Co. Find an Advisor||$187,565,427||$250,000|| || |
|7||Liberty Wealth Advisors, LLC Find an Advisor||$144,559,391||$500,000|| || |
|8||Personal Business Management Group, Ltd. Find an Advisor||$107,903,885||$6,000 minimum annual fee|| || |
Minimum Assets$6,000 minimum annual fee
|9||Lake Partners, Inc. Find an Advisor||$31,214,486||Varies based on account type|| || |
Minimum AssetsVaries based on account type
How We Found the Top Financial Advisor Firms in Stamford, Connecticut
In putting together this list, we only considered firms that are located in Stamford and registered with the U.S. Securities and Exchange Commission (SEC). We only included SEC-registered advisors because those advisors must abide by fiduciary duty, legally binding them to act in clients’ best interests. We also removed any firms that didn’t manage individual accounts, didn’t offer financial planning or had disclosures listed on their Form ADV. The firms that made the cut are organized from the most assets under management (AUM) to the least.
RZH Advisors, LLC
The top financial advisor firm on our list, RZH Advisors, LLC has more than $860 million in client assets under management (AUM). The firm only employs four financial advisors, though the small group is well-qualified: Three are certified financial planners (CFPs), two are certified public accountants (CPAs) and two are accredited investment fiduciaries (AIFs). There’s also a chartered divorce financial analyst (CDFA) and a certified investment management analyst (CIMA) for good measure.
In order to open an account with this fee-only firm, you will need at least $3 million in investable assets. As you might expect, the firm’s client base consists of mostly high-net-worth individuals. In fact, 96% of the firm’s AUM belongs to these clients. Outside of this group, RZH works with non-high-net-worth individuals, businesses, estates, trusts and charitable organizations.
RZH Advisors, LLC Background
RZH Advisors has been in business for nearly two decades, having opened for business in 2000. This independently-owned firm is under the leadership of three principals: chief investment strategist Carl Zuckerberg, chief planning strategist Dana Hanson and director of research and strategy Spencer Cooper.
Clients of this firm will have access to services including investment advisory, stand-alone financial planning and divorce consulting. More specifically, these services include estate planning, investment planning, asset allocation determination, insurance planning and more.
RZH Advisors, LLC Investing Strategy
Because RZH Advisors utilizes a variable investment philosophy, it’s open to using both long- and short-term purchases. So if you’re looking for safer, sustainable financial growth, your money will likely be invested in the same or similar assets for an extended period of time. However, if you can stomach more risk and prefer quick returns, then short-term active trading will be utilized more within your account.
RZH uses a range of securities to flesh out its clients’ portfolios. For example, your assets might be invested in stocks, fixed-income securities, mutual funds and exchange-traded funds (ETFs).
Eagle Ridge Investment Management, LLC
Fee-only Eagle Ridge Investment Management, LLC is focused on high-net-worth individual clients. Consequently, the firm has a minimum account size of $1 million. Eagle Ridge also works with individuals, families, trusts, estates, businesses, other investment advisors, retirement accounts, pension plans and charitable organizations.
With six advisors in its offices, Eagle Ridge has the largest advisory staff on this list. Collectively, these financial advisors manage over $750 million in assets. There are five chartered financial analysts (CFAs), one certified financial planner (CFP) and one enrolled agent (EA) at this firm.
Eagle Ridge is one of two firms on this list that charge performance-based fees. The other firm is Integra Global Advisors, LLC.
Eagle Ridge Investment Management, LLC Background
Established in 2008, Eagle Ridge Investment Management is one of the youngest firms on this list. Co-chief investment officer (CIO) David A. Tillson and chief compliance officer (CCO) John J. Knox III founded the firm. While they both still serve as principals, Co-CIO David K. Laidlaw, senior investment officer Nicholas L. Frelinghuysen and director of research Benjamin D. Connard also own parts of the firm. Tillson Family Holdings, LLC, a holding company, holds a stake as well.
Much of what Eagle Ridge does revolves around the management of investments within clients’ portfolios. The firm analyzes investments, creates asset allocations, rebalances portfolios and more.
Eagle Ridge Investment Management, LLC Investing Strategy
Eagle Ridge Investment Management has a collection of investment strategies that are based on different securities. Here are a few examples:
- Equity investing: This tends to focus on large-, mid- and small-cap stocks, as well as international equity offerings. In order to ensure the best investment opportunities are chosen, the firm will dig through a range of 5,000 stocks to find the best fit.
- Fixed-income investing: These long-term strategies consist of investment-grade bonds and ETFs that hold bonds and other fixed-income securities.
- Hedge fund investing: In some cases, client assets are invested in East Pier Capital, Eagle Ridge’s hedge fund.
- Cash balances: To maintain strong liquidity, Eagle Ridge may keep a sizable portion of your assets in cash accounts.
Integra Global Advisors, LLC
Integra Global Advisors, LLC is a fee-only firm that’s mostly concerned with the needs of ultra-high-net-worth individuals, families and charitable institutions. In keeping with this focus, the firm has a $20 million account minimum. Pension and profit-sharing plans, as well as businesses, are also clients of the firm.
In total, Integra has $435 million in assets under management (AUM) and five financial advisors on staff. The team of advisors here has no special advisory certifications.
Integra Global Advisors, LLC charges performance-based fees as part of its fee schedule.
Integra Global Advisors, LLC Background
Gil Orbach, Integra Global Advisors’ sole owner, created the firm in 2017. Aside from Orbach, the firm’s leadership team includes head of client advisory Michael Devlin, head of research Jeremy Shaw and chief financial officer (CFO) Barry M. Luden.
Investment portfolio management is the premier service at Integra Global Advisors. This comes in both a discretionary and non-discretionary variation.
Integra Global Advisors, LLC Client Experience
Integra Global Advisors works with its clients to develop a strong investor profile before any assets are invested. This involves doing a deep dive into the client’s risk tolerance, time horizon, liquidity needs and overall financial goals. Based on this information, the firm will develop a sophisticated asset allocation that takes all of your considerations into account.
Asset Management Group, Inc.
With just two financial advisors, Asset Management Group, Inc. is tied for the smallest advisory staff on this list. It boasts one certified financial planner (CFP), one chartered life underwriter (CLU) and one chartered financial consultant (ChFC). The fee-based firm has $410 million in assets under management (AUM).
Rather than institute a minimum initial investment, Asset Management Group has a $2,700 minimum annual fee, which may be cost-prohibitive for clients with smaller account sizes. The firm is known to work with individuals, high-net-worth individuals, businesses and pension and profit-sharing plans.
Some advisors at this firm can earn additional compensation from the sale of certain securities and insurance products. Despite this, the firm is a fiduciary, meaning it is legally bound to act in clients’ best interests.
Asset Management Group, Inc. Background
Current firm president and CEO LeGrand S. Redfield, Jr. is the founder of Asset Management Group. The firm was originally opened in 1983. Redfield has worked in the investing and financial spheres for 40 years.
The firm’s services are divided into three sections: comprehensive financial planning, portfolio management and consulting. Here’s a more specific breakdown:
- Cash flow planning
- Tax planning
- Retirement planning
- Investment planning
- Insurance planning
- Portfolio supervision
- Estate planning
Asset Management Group, Inc. Investing Strategy
Asset Management Group adjusts its investment portfolio plans for each client. So depending on your risk tolerance, liquidity needs and time horizon, the structure and complexion of your portfolio will vary.
As your portfolio ages, the firm will keep a close eye on your asset allocation and make changes as needed. Additionally, if your needs or risk tolerance change at any point in time, you can let your advisor know and they will make changes to your portfolio accordingly.
5th Street Advisors, LLC
The five-person team of advisors at 5th Street Advisors, LLC takes care of $215 million in client assets under management (AUM). Across this group, you’ll find two certified financial planners (CFPs) and one certified long-term care (CLTC) specialist.
Individuals, high-net-worth individuals, trusts, estates, charitable organizations, businesses and pension and profit-sharing plans make up the client base of 5th Street Advisors. There is a $300,000 minimum investment to work with this firm.
5th Street Advisors is a fee-based firm and some members of the advisory team have the opportunity to sell insurance products for commissions. While this may present a conflict of interest, the firm abides by fiduciary duty, legally binding it to act in your best interest.
5th Street Advisors, LLC Background
5th Street Advisors was co-founded in 2006 by partners Abelardo S. Curdumí and Cesar G. Manent. This duo still independently owns the firm.
Financial planning and investment management are this firm’s main services. These services comprise:
- Asset management
- Wealth management
- Corporate retirement plan consultations
- Fiduciary investment advice
5th Street Advisors, LLC Investing Strategy
Diversification is the name of the game when it comes to 5th Street Advisors’ investment ideology. In order to fully diversify your asset allocation, the firm will create a broad equity and fixed-income strategy that’s proportioned based on your risk tolerance. Rather than invest solely in individuals stocks and bonds, the firm may utilize mutual funds and ETFs that hold these types of securities.
Depending on how your portfolio performs, the firm may need to rebalance your investments periodically. In other words, if one type of security outperforms another, the firm may make trades to align more closely with your original asset allocation.
Scholtz & Co.
Scholtz & Co.’s client base primarily consists of non-high-net-worth individuals. The rest of the firm’s clientele is comprised of high-net-worth individuals, charitable organizations, pension and profit-sharing plans and trusts. New clients of the firm are required to have at least $250,000 in investable assets.
This fee-only firm has five financial advisors that manage its $188 million in client assets under management (AUM). Of those advisors, two are chartered financial analysts (CFAs).
Scholtz & Co. Background
In 1994, firm president Peter Scholtz founded Scholtz & Co. after working for a decade at Smith Barney, which has since been acquired by Morgan Stanley. Today, Scholtz remains the firm’s primary shareholder.
Although this firm offers estate planning, retirement planning and other forms of financial planning, it mainly deals with investment portfolio management. The firm customizes its investment plans for each client and reviews them consistently to ensure the original asset allocation stays intact.
Scholtz & Co. Investing Strategy
Scholtz & Co. has put together five separate investment strategies that it pairs clients with based on their needs. Check them out below:
- All-Cap Equity - This stock-driven strategy utilizes all types of stocks to achieve capital appreciation and maintain strong liquidity.
- Small-Cap Equity - Portfolios using this strategy will stick mostly to stocks with market caps below $5 billion. Should your risk tolerance call for it, some mid-cap stocks may be included as well.
- Balanced - This strategy will include a mix of stocks and corporate and government bonds. When selecting stocks, the firm will place an added importance on choosing ones with high-yield dividends.
- Income - In an effort to maximize your short-term income and financial safety, this strategy mostly uses bonds and stocks with dividends.
- Tactical Allocation - For risk-averse investors, this strategy will look for safer equity, fixed-income and convertible securities.
Liberty Wealth Advisors, LLC
Liberty Wealth Advisors, LLC has $145 million in assets under management (AUM). The advisory team at the firm is made up of two people, including one certified financial planner (CFP).
While Liberty Wealth Advisors works with plenty of high-net-worth individuals, it works with twice as many individuals who fall below that net-worth threshold. The firm also offers services to endowments, trusts, estates, pension and profit-sharing plans, businesses, retirement plan participants and institutions. A $250,000 opening investment is required for new accounts at Liberty.
As a fee-based firm, Liberty Wealth employs some advisors that can receive commissions for the sale of insurance products to clients. The firm abides by fiduciary duty, though, legally forcing it to act in clients’ best interests.
Liberty Wealth Advisors, LLC Background
Liberty Wealth Advisors has been in business since 2012. Today, the firm is led by president Michael Parry. Liberty is under the ownership of two financial services holding companies in Liberty LWA Holdings, LLC and R. Michael Parry Enterprises, LLC.
There’s no shortage of service available for clients’ use at Liberty Wealth. You can take advantage of:
- Wealth management
- Retirement planning
- College savings planning
- Financial life goal planning
- Investment management
- Estate planning
- Strategic tax planning
- Philanthropic gift planning
Liberty Wealth Advisors, LLC Investing Strategy
Liberty Wealth Advisors has a strong affinity for utilizing ETFs and mutual funds within its client portfolios. This is because these funds are inherently diversified, meaning the firm will have less diversification to take care of on its own. So rather than invest in individual stocks and securities, Liberty’s advisors will select funds that invest in various portions of the market.
Personal Business Management Group, Ltd.
Personal Business Management Group, Ltd. (PBMG) is a fee-only financial advisor firm located on the north side of Stamford with $108 million in assets under management (AUM). The firm’s advisory team does not have any advisory certifications.
PBMG’s client base is split almost evenly between individuals with and without a high net worth. Charitable foundations, corporate accounts, retirement plans and trusts are other common clients of PBMG. The only minimum requirement at the firm is a $6,000 minimum annual fee.
Personal Business Management Group, Ltd. Background
Firm chairman Carl Friedman and president James Friedman opened Personal Business Management Group in 1981. That makes PBMG the oldest firm on this list. The two founders continue to own the firm to this day.
The investment management services at PBMG center around long-term portfolio management, asset allocation and performance reviews. The firm also offers financial planning.
Personal Business Management Group, Ltd. Investing Strategy
Personal Business Management Group has a long-term focus for its clients’ portfolios. To ensure that your portfolio performs well over time, it will look to actively identify new investment opportunities to take advantage of. The firm has instituted this philosophy in response to what it sees as considerable recent market volatility.
When it comes to specific investments, PBMG tends to use a combination of fixed-income securities and equities. It will also maintain cash accounts with your assets.
Lake Partners, Inc.
Lake Partners, Inc. is a small firm that has around 30 clients and $31 million in assets under management (AUM). The firm’s team is two members strong and includes a certified public accountant (CPA). This is a fee-only operation.
The account minimum at Lake Partners varies depending on the type of service you’re looking for. For mutual fund and ETF portfolios, the minimum investment is $250,000. The firm’s third-party ETF model-based service has a $100,000 minimum. On the other hand, consulting clients must adhere to a $50,000 minimum annual fee.
Lake Partners, Inc. Background
Frederick Lake and Ronald Lake co-founded Lake Partners in 1989 and still run the firm, with the two serving as the firm’s co-chairmen. They have a combined 70 years of experience in the investment management and financial services industries.
While Lake Partners’ multiple investment management programs are the highlight of its offerings, the firm has extensive financial planning services. These include cash flow management, net worth determination, investment planning and retirement planning.
Lake Partners, Inc. Investing Strategy
Lake Partners has a few different investment programs that it will enroll its clients in. The final decision for which program they’ll receive is dependent upon the firm’s review of the client’s investment preferences. This evaluation involves a deep dive into your personal risk tolerance, liquidity needs, investment goals and a rough estimate of your time horizon.
Once your assets are invested, the firm will begin to monitor their performance. Should market conditions or any other noteworthy changes occur, the firm may adjust your asset allocation.