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 the city. As an alternative, SmartAsset’s free advisor matching tool can connect you with up to three local advisors, with the final choice of who to work with being up to you.
|Rank||Financial Advisor||Assets Managed||Minimum Assets||Financial Services||More Information|
|1||RZH Advisors, LLC Find an Advisor||$1,023,913,953||$3,000,000|| || |
|2||Eagle Ridge Investment Management, LLC Find an Advisor||$882,574,087||$1,000,000|| || |
|3||Asset Management Group, Inc. Find an Advisor||$498,541,953||No set account minimum|| || |
Minimum AssetsNo set account minimum
|4||Integra Global Advisors, LLC Find an Advisor||$392,927,645||$20,000,000|| || |
|5||Jackson Grant Investment Advisers, Inc. Find an Advisor||$363,438,089||$5,000,000|| || |
|6||5th Street Advisors, LLC Find an Advisor||$254,252,320||$300,000|| || |
|7||Scholtz & Co. Find an Advisor||$254,152,435||$500,000|| || |
|8||Phraction Management, LLC Find an Advisor||$225,083,746||$5,000,000|| || |
|9||Sovereign Financial Group, Inc. Find an Advisor||$221,911,652||No set account minimum|| || |
Minimum AssetsNo set account minimum
|10||Liberty Wealth Advisors, LLC Find an Advisor||$170,898,310||$500,000|| || |
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. All information is accurate as of the writing of this article.
RZH Advisors, LLC
The top financial advisor firm on our list, RZH Advisors, LLC has the most in client assets under management (AUM). The firm employs a small group of advisors. 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 Investment 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.
Eagle Ridge has the largest advisory staff on this list. Collectively, these financial advisors manage millions 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 Investment 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.
Asset Management Group, Inc.
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 millions 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. Investment 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.
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.
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 Investment Strategy
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.
Jackson, Grant Investments Advisers, Inc.
Jackson, Grant Investment Advisers, Inc. is a fee-only firm offering various advisory services to clients who meet a minimum account size of $5 million. The registered investment advisor (RIA) firm serves about 100 clients, including high-net-worth individuals, trustees and families.
The firm’s fees include asset-based fees and fixed fees. Its staff consists of two chartered financial analysts (CFAs) and one certified financial planner (CFP).
Jackson, Grant Investment Advisers, Inc. Background
Founded in 1992 by Julie Jason, Jackson provides financial planning, portfolio management and investment consulting services to its clients.
Jackson, Grant Investment Advisers, Inc. Investment Strategy
Jackson says on its website that its investment process targets the lifetime, legacy and charitable needs of each client. The firm generally invests in stocks, bonds, mutual funds and exchange-traded funds (ETFs).
When evaluating securities, the firm may use fundamental analysis and technical analysis.
5th Street Advisors, LLC
The team of advisors at 5th Street Advisors, LLC takes care of hundreds of millions 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 Investment 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 $500,000 in investable assets.
Of this firm's 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. Investment 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.
Phraction Management, LLC
Phraction Management, LLC is a fee-only firm providing investment management and other services to more than 20 clients. The firm has a minimum account size requirement of $5,000,000, and it charges asset-based fees and fixed fees for its advisory relationships.
The firm’s client base consists of individuals, high-net-worth individuals, estates, trusts, corporations and organizations.
Phraction Management LLC Background
Formed in 2018, Phraction Management primarily focuses on portfolio management, financial planning and selection of other advisors. However, the firm also provides consolidated report services and consulting services.
Phraction Management LLC Investment Strategy
Phraction Management generally employs fundamental analysis when providing investment advice. The firm’s investment strategies consist of long-term purchases, short-term purchases, option writing and uncovered options and spreading strategies.
In selecting investments, the firm also uses a global fixed income strategy, global equity markets investment strategy and an emerging markets strategy.
Sovereign Financial Group, Inc.
Sovereign Financial Group, Inc. is a fee-based firm serving more than 900 clients, including trusts, estates, corporate and business entities, charitable organizations, individuals and high-net-worth individuals.
When it comes to advisory fees, the firm charges asset-based fees, hourly fees and fixed fees. As for Sovereign Financial’s staff, its advisors present a range of credentials, including the certified financial planner (CFP), chartered retirement planning counselor (CRPC), financial paraplanner qualified professional (FPQP) designations.
The firm doesn’t have a minimum account size requirement.
Sovereign Financial Group, Inc. Background
Founded in 2003 by Charles Failla, Sovereign Financial specializes in portfolio management and financial planning services. The firm also participates in wrap fee programs sponsored by Raymond James & Associates, Inc.
Sovereign Financial Group, Inc. Investment Strategy
Sovereign Financial uses a range of analyses when offering investment recommendations. This includes mutual fund and/or exchange-traded fund (ETF) analysis and asset allocation. As for investment strategies, the firm mainly uses long-term purchases and short-term purchases.
Liberty Wealth Advisors, LLC
Liberty Wealth Advisors, LLC has a significant amount in assets under management (AUM). The advisory team includes 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 Investment 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.