Top Financial Advisors in Appleton, WI

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Sumnicht & Associates is a boutique family wealth manager whose staff includes a Certified Financial Planner™ (CFP®). 

The fee-based firm has a relatively small client base that includes a mix of high-net-worth and non-high-net-worth individuals. The minimum amount to open an account is $500,000, though Sumnicht & Associates may accept smaller accounts on a case-by-case basis.

Sumnicht & Associates also has institutional clients. Accounts are discretionary and non-discretionary. In addition to client-paid fees, advisors at Sumnicht & Associates receive commissions from third parties when recommending certain products to clients. This creates a conflict of interest because advisors have a financial incentive to recommend one product over another. However, the firm abides by fiduciary duty to always act in its clients' best interests.

The boutique firm offers a full range of family wealth investment services including financial counseling, investment management, insurance counseling, tax planning, trust and estate planning, retirement planning, intergenerational wealth planning, family governance issues, control and succession issues, family foundations, charitable giving strategies and education of future generations.

Sumnicht & Associates primarily uses ETF-based allocation models managed by its affiliated iSectors registered investment advisor. These models are a collection of proprietary investment strategies. The firm may also recommend mutual funds and institutional money managers.

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Gateway Wealth Partners is a fee-based firm that offers investment advisory services to individuals, high net worth individuals, businesses and retirement plans. There is no set required minimum account size, though the firm typically requires one based on the investor's needs. The advisor may, however waive or reduce the minimum at its sole discretion. 

As a fee-based firm, it's advisors may earn a commission for the sale of certain securities. This has the potential to create a conflict of interest, but the firm is bound by a fiduciary duty. This means that it must put the needs of its clients first.

Gateway Wealth Partners builds diversified investment plans that adjusts with each client throughout their lives. The firm does not sell its own funds. Instead, each client's needs are individually addressed in an initial plan. Once investments start, the firm stays on top of accounts and adjusts them as needed. The investment strategies are typically long-term focused. 

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McGlone Suttner Wealth Management is a fee-based financial advisory firm primarily serving individual clients, both above and below the high-net-worth threshold. The practice does not have a set account minimum. 

Individuals on the McGlone Suttner team hold the Certified Financial Planner™ (CFP®), chartered financial consultant (ChFC) and chartered life underwriter (CLU) designations. However, some advisors may sell insurance for commissions, making McGlone Suttner a fee-based firm. This form of compensation may create a conflict of interest, since advisors have a financial incententive to recommend certain products over others. But as a fiduciary advisory firm, McGlone Suttner and its advisors must always act in your best interests. 

Beyond these commissions, the firm charges asset-based fees, hourly charges and fixed fees.

Its primarily services are investment management, financial planning and consulting. 

McGlone Suttner tailors its services to the individual needs of clients, including its asset management. Before investing a client's money, the firm will identify their financial goals, risk tolerance and objectives. From there, the firm may utilize a combination of individual investments and model portfolios.

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Winch Advisory Services is a fee-based firm in Appleton. The firm has a staff that includes various professional certifications, including the Certified Financial Planner™ (CFP®), chartered market technician (CMT) and enrolled agent (EA) designations. 

The fee-based firm serves mostly non-high-net-worth clients, though it also has some high-net-worth clients. It states that it “prefers” accounts to start with at least $500,000, but may accept smaller accounts. All accounts are managed on a discretionary basis, meaning advisors have full control over transactions and trades.

The firm offers investment advice for what it calls “all seasons” of clients’ lives. It provides financial planning, tax and budgetary planning, business planning, estate planning, portfolio management and consulting services including retirement savings plan portfolio review. It launched a mutual fund in 2011.

Winch Advisory Services identifies client goals, such as maximum capital appreciation, growth, income or growth and income, and allocates investment assets accordingly. It also takes other factors like life situation and tax consequences into account. Clients may impose restrictions on investment choices (type or industry sector) that the firm deems reasonable.

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Copper Harbor Investment Advisors is a fee-only firm that primarily works with high-net-worth individuals. It requires $500,000 to open an account, though it gives you five years to reach that amount. The advisory also serves less wealthy individuals, pension and defined contribution plans, trusts, estates, charitable and non-profit entities, corporations and other business entities.

As a fee-only firm, Copper Harbor's revenue comes solely from client-paid fees. It's advisors do not collect commissions for selling third-party products and services. The firm has Certified Financial Planners™ (CFPs®) on staff.

The firm provides investment management primarily on a discretionary basis, as well as financial planning. It separates its services into three main divisions: investment advisory services, retirement plan services and self-directed accounts.

The firm customizes portfolios for clients generally using stocks, bonds, mutual funds, exchange-traded funds (ETFs) and other investment vehicles. Clients should not expect the firm to make a lot changes when the markets are volatile. Instead, the practice says that it will change positions when allocations stray from clients' investment policy statements or depending on macro trends, revised investment expectations and alterations in expense structure or other fundamental investment vehicle structures. 

When buying or selling investments, Copper Harbor Investment Advisors takes current market conditions into account, but does not attempt to perform market timing. If warranted, it will recommend sub-advisors for their niche expertise.

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Endowment Wealth Management has offices in Appleton, Milwaukee, Madison, Green Bay, Chicago and Hilton Head, South Carolina. Its team includes various professional designations, including Certified Financial Planner™ (CFP®), MBA, chartered financial analyst (CFA), certified public accountant (CPA), chartered alternative investment analyst (CAIA) and accredited wealth management advisor (AWMA). (Advisors may have more than one certification and degree.)  

This small, privately held firm serves a mix of high-net-worth and non-high-net-worth individuals. It also has pension and profit-sharing plan clients. Most of its accounts are managed on a discretionary basis. There is no minimum required to open an account.

Endowment Wealth Management may benefit from recommending that clients invest in its own in-house funds. As a result, the firm is considered fee-based. 

The firm provides financial planning and investment guidance to individuals, business leaders, real estate investors, philanthropic families, trusts and endowment and retirement plans. What is different about this advisor group is that it manages eight private funds.

As its private funds might suggest, the firm thinks beyond stocks and bonds to hedge strategies, private equity and real assets. It seeks to maintain a mix of growth, income and risk-managed investments, depending on the client’s situation and objectives. It does this through liquid investments (primarily stocks, ETFs, mutual funds, etc.), private placements (private equity, hedge funds, private debt, etc.) or a combination of both.

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The name of the firm Avaii is Latin for "life plan." Though the firm launched only in 2018, it has hundreds of million dollars in assets under management. Its team of advisors includes professional designations such as chartered financial consultant (ChFC), chartered life underwriter (CLU), certificationf for long-term care (CLTC), Certified Financial Planner™ (CFP®), chartered advisor for senior living (CASL) and retirement income certified professional (RICP). Advisors may have more than one credential.

The fee-based firm serves both non-high-net-worth and high-net-worth clients. Investment accounts are only on a discretionary basis. There is no account minimum requirement.

It offers customized financial planning, asset management, tax-reduction strategies, retirement cash flow management and insurance products.

Like most advisors, Avaii seeks to construct portfolios based on client objectives, circumstances, risk tolerance and time horizon. It primarily invests in mutual funds, exchange-traded funds (ETFs) and stocks.

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Kerntke Otto McGlone Wealth Management Group (KOM), another fee-based practice, is the next firm in Appleton. This means that some advisors may be insurance agents who receive commissions for sales, creating a potential conflict of interest. However, KOM is a fiduciary and must always act in a client's best interest. 

The firm primarily serves individuals and high-net-worth individuals. The vast majority of accounts are managed on a discretionary basis. KOM also offers its services to pension and profit-sharing plans, trusts, estates, charitable organizations, corporations and business entities. There is no minimum balance to open an individual account.

Some advisors at the firm hold the Certified Financial Planner™ (CFP®) designation. 

The firm does not impose an account balance minimum.

The firm’s services include financial planning, investment advice, tax management, retirement income strategies and estate planning.

KOM takes a goal-based investment approach, targeting clients’ objectives rather than market benchmarks. It tailors its services to each client and will allow them to impose parameters such as specific investment choices and sectors.

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Conceptual Financial Advisors is a fee-based financial advisory firm that offers services to individuals, high-net-worth individuals, pension and profit-sharing plans and charitable organizations. There is no minimum account size in order to enlist the services of the firm. 

As a fee-based advisory firm, its advisor may earn commissions for the sale of certain securities. However, the firm is bound to a fiduciary duty, meaning it must put the needs of each client above its own.

Conceptual Financial Advisors starts the investment process by reviewing any existing investment portfolio, analyzing a test of your goals and risk tolerance and then making specific recommendations that are unique to the needs of each client. The firm will explore potential retirement income scenarios as well as specific tax strategies to maximize the effectiveness of the investment strategy to meet the needs of that client. 

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Cornerstone Financial Group is a fee-based firm headquartered in Appleton, Wisconsin.

The firm serves a range of clients including individuals, high-net-worth individuals, business owners, retirees, trusts, estates, charitable organizations and corporate retirement plans. As a fee-based firm, it may receive commissions for the sale of insurance products through associated persons who are licensed insurance agents. However, as a registered investment advisor, Cornerstone Financial Group is held to a fiduciary standard and is obligated to act in the best interests of its clients.

There is no account minimum required to become a client of the firm.

Cornerstone tailors its advisory services to meet each client’s specific investment objectives, time horizon, risk tolerance and liquidity needs. The firm uses a variety of analytical approaches and constructs portfolios using asset allocation strategies. Its investment selections may include individual stocks and bonds, exchange-traded funds (ETFs), mutual funds, options and fixed income securities. Cornerstone employs both strategic and tactical asset allocation to manage portfolios, and uses a mix of short- and long-term investment strategies based on client goals.